UNITED STATES OF AMERICA

MERIT SYSTEMS PROTECTION BOARD 

DONALD J. EIMER,

Appellant,

v. 

DEPARTMENT OF THE ARMY,

Agency. 

DOCKET NUMBER

DE-0752-15-0135-I-1

DATE: September 28, 2015

THIS FINAL ORDER IS NONPRECEDENTIAL1

Donald G. Gilpin, Esquire, Albuquerque, New Mexico, for the appellant. 

Elizabeth Pitrolo and Laura E. Sanchez-Rivet, Albuquerque, New Mexico, 

for the agency. 

BEFORE

Susan Tsui Grundmann, Chairman

Mark A. Robbins, Member

FINAL ORDER

¶1 The agency has filed a petition for review of the initial decision, which 

reversed the appellant’s removal action on due process grounds. Generally, we 

grant petitions such as this one only when: the initial decision contains erroneous 

findings of material fact; the initial decision is based on an erroneous 

 1 A nonprecedential order is one that the Board has determined does not add 

significantly to the body of MSPB case law. Parties may cite nonprecedential orders, 

but such orders have no precedential value; the Board and administrative judges are not 

required to follow or distinguish them in any future decisions. In contrast, a 

precedential decision issued as an Opinion and Order has been identified by the Board 

as significantly contributing to the Board’s case law. See 5 C.F.R. § 1201.117(c). 
2

interpretation of statute or regulation or the erroneous application of the law to 

the facts of the case; the administrative judge’s rulings during either the course of 

the appeal or the initial decision were not consistent with required procedures or 

involved an abuse of discretion, and the resulting error affected the outcome of 

the case; or new and material evidence or legal argument is available that, despite 

the petitioner’s due diligence, was not available when the record closed. See

Title 5 of the Code of Federal Regulations, section 1201.115 (5 C.F.R. 

§ 1201.115). After fully considering the filings in this appeal, and based on the 

following points and authorities, we conclude that the petitioner has not 

established any basis under section 1201.115 for granting the petition for review. 

Therefore, we DENY the petition for review. We VACATE the administrative 

judge’s alternative finding that the deciding official’s ex parte communications 

that led him to reject some of the appellant’s asserted mitigating factors violated 

the appellant’s right to due process. Except as expressly MODIFIED by this 

Final Order, we AFFIRM the initial decision. 

¶2 The agency removed the appellant from his GS-11 Park Ranger position, 

effective December 13, 2014, based on his failure to maintain a condition of 

employment and his inability to perform his duties. Initial Appeal File (IAF),

Tab 4 at 23-29. Specifically, effective September 17, 2014, the appellant’s 

driver’s license was revoked for a period of at least 6 months as a result of his 

June 8, 2014 arrest in New Mexico for Driving While Under the Influence of 

Intoxicating Liquor (DWI). Id. at 32-33; see IAF, Tab 25 at 3-4. Following this 

revocation, the appellant was not permitted to operate any vehicle without 

obtaining an ignition interlock license and installing an ignition interlock device. 

IAF, Tab 4 at 33. The agency determined that, because the appellant’s position 

required him to be able to lawfully drive government-owned vehicles, which are 

not equipped with ignition interlock devices, he could not perform the duties of 

his position and failed to meet a condition of his employment. Id. at 25-29, 

49-53. 
3

¶3 The appellant filed an appeal with the Board regarding his removal. IAF,

Tab 1. He disputed the reasonableness of the removal penalty and asserted that 

the deciding official failed to properly consider mitigating factors. Id.; IAF,

Tab 18 at 5. He did not raise any affirmative defenses. IAF, Tab 25 at 2. He 

requested a hearing. IAF, Tab 1. 

¶4 The administrative judge held the requested hearing. IAF, Tab 29, Initial 

Decision (ID) at 1. At the end of the hearing, the administrative judge noted his 

concern that the deciding official may have considered an aggravating factor of 

which the appellant was not informed in the proposal notice and to which the 

appellant did not receive an opportunity to respond before the agency rendered its 

decision, in possible violation of Ward v. U.S. Postal Service, 634 F.3d 1274

(Fed. Cir. 2011), and Stone v. Federal Deposit Insurance Corporation, 179 F.3d 

1368 (Fed. Cir. 1999). Hearing Transcript (HT) at 80. He directed the parties to 

address this issue in their closing arguments. Id. The appellant’s counsel argued 

that the appellant’s due process rights were violated because he should have 

received an opportunity to respond to the deciding official’s conclusion, based on 

a New Mexico statute not cited in the proposal notice, that his driving restrictions 

could continue for several years, rather than ending after the minimum 6-month 

period. Id. at 83-85. 

¶5 The administrative judge issued an initial decision reversing the agency’s 

removal action. 2 ID. He found that the deciding official consulted a New Mexico 

statute and, based upon his knowledge of the appellant’s previous DWI 

convictions, concluded that the appellant’s driving restrictions could continue in 

excess of the 6-month minimum, which he viewed as an aggravating factor 

supporting the penalty of removal. ID at 4-6. The administrative judge found 

 2 The administrative judge ordered the agency to provide the appellant with interim 

relief in the event that either party filed a petition for review. ID at 10. With its 

petition for review, the agency’s counsel certified that the agency has complied with the 

interim relief order. Petition for Review (PFR) File, Tab 1 at 21. The appellant did not 

challenge this certification. 
4

that, because the deciding official did not inform the appellant of this aggravating 

factor and provide him with an opportunity to address that issue, he violated the 

appellant’s right to due process. ID at 6. The administrative judge also found, in 

the alternative, that the deciding official violated the appellant’s due process 

rights by obtaining information regarding the status of the criminal matter and 

using that information to discount the alleged mitigating factors, without first 

providing the appellant notice of and an opportunity to respond to that 

information. ID at 6-8. 

¶6 The agency has filed a petition for review. Petition for Review (PFR) File,

Tab 1. It argues that no due process violation occurred.

3

 Id. The appellant filed 

a response in opposition, to which the agency replied. PFR File, Tabs 3-4. 

The agency violated the appellant’s constitutional due process rights. 

¶7 In the agency’s decision notice, the deciding official noted that the 

appellant’s June 8, 2014 DWI arrest was not his first offense. IAF, Tab 4 at 27. 

The deciding official was aware that the appellant had two previous offenses

because he had served as the deciding official in a previous disciplinary action 

relating to the appellant’s Driving Under the Influence (DUI) conviction in Texas. 

Id.; HT at 36:9-13, 40:20-23 (testimony of the deciding official). The deciding 

official consulted the New Mexico statute that the appellant was charged with 

violating, which stated, in relevant part, that an individual convicted for a third 

 3 The agency also asserts that the appellant’s removal was performance based and that, 

as such, it was only required to prove by substantial evidence that he could not perform 

his duties, and mitigating and aggravating factors should not have been part of the 

administrative judge’s inquiry. PFR File, Tab 1 at 10-11. However, the agency 

removed the appellant under chapter 75, not chapter 43, procedures. IAF, Tab 4 at 23. 

The proper standard of proof in an action brought under chapter 75 is the preponderant 

evidence standard, a higher standard of proof than the substantial evidence standard. 

5 U.S.C. § 7701(c)(1)(B); 5 C.F.R. § 1201.56(b)(ii). In any event, the appellant was 

removed based on his failure to maintain a condition of his employment, not based on 

his job performance. Moreover, we need not determine if the Douglas penalty factors 

apply to the instant appeal in light of our determination that the agency violated the 

appellant’s constitutional due process rights. 
5

time pursuant to the statute would be required to obtain an ignition interlock 

license and have an ignition interlock device installed and operating in all motor 

vehicles driven for a period of 3 years, and for life following a fourth conviction. 

IAF, Tab 4 at 27, 36; see id. at 21, 70. Based on this statute and his knowledge of 

the appellant’s previous DUI/DWI offenses, the deciding official concluded that 

the appellant’s driving restriction could be in place for 3 years or longer. 4

 IAF,

Tab 4 at 27; HT at 35:22-36:15, 46:1-19 (testimony of the deciding official). The 

agency’s proposal notice did not indicate that the deciding official would rely 

upon this information as an aggravating factor in reaching his decision. Compare

IAF, Tab 4 at 49 (proposal notice stating: “The revocation period specified in the 

Order is a minimum of six months, but continues until all conditions for 

reinstatement are met by you”), with id. at 27 (decision notice stating: 

“New Mexico law is clear that a person convicted of multiple DUIs could be 

required to use an interlock ignition device for longer than the six month 

revocation you received already”). 

¶8 Where, as here, a public employee has a property interest in his continued 

employment, the government cannot deprive him of that interest without due 

process. Cleveland Board of Education v. Loudermill, 470 U.S. 532, 546 (1985). 

Minimum due process requires notice of the charges, an explanation of the 

agency’s evidence, and an opportunity to present a response. Id. Providing an 

employee a meaningful opportunity to present his side of the story is essential to 

the issue of whether the allegations are true and also with regard to whether the 

 4 We question the accuracy of this interpretation. The appellant was charged with 

“DWI Driving While Under the Influence of Liquor and/or Drugs (.08 or Above) (1st 

Offense).” IAF, Tab 4 at 21 (emphasis added). The relevant section of the 

New Mexico statute at issue indicates that offenders convicted for the first time 

“pursuant to this section” shall be subject to an interlock restriction for 1 year. Id. at 36 

(emphasis added). It appears that the appellant’s other convictions were not pursuant to 

the section at issue because they occurred in other states. See HT at 36:9-13, 43:22-24 

(deciding official testifying that the appellant’s DUIs were in multiple states and that he 

had never been told that the appellant was convicted of a DWI in New Mexico). 
6

level of penalty to be imposed is appropriate. Id. at 543; Wilson v. Department of 

Homeland Security, 120 M.S.P.R. 686, ¶ 7 (2014), aff’d, 595 F. App’x 995 (Fed. 

Cir. 2015). 

¶9 If a deciding official engages in ex parte communications that introduce 

new and material information that was previously unknown to him, or considers 

information personally known to him that was not included in the notice of 

proposed removal to the appellant, the employee is no longer on notice of 

portions of the evidence relied upon by the agency in imposing the penalty, 

resulting in a potential constitutional violation. Wilson, 120 M.S.P.R. 686, ¶ 9. 

Similarly, an agency’s proposal notice must identify any aggravating factors upon 

which it relied in imposing a penalty and its failure to do so may constitute a 

constitutional violation. Id. In assessing whether a constitutional due process 

violation has occurred, the Board may consider, among other factors: (1) whether 

the information is cumulative, rather than new; (2) whether the employee knew of 

the error and had a chance to respond to it; and (3) whether the communication 

was of the type likely to result in undue pressure upon the deciding official to 

rule in a particular manner. Id., ¶ 8; Stone, 179 F.3d at 1377. 

¶10 The agency argues that the deciding official did not commit a due process 

violation because the appellant was aware that the consequences of his arrest 

formed the basis for the proposed removal action and received a sufficient 

opportunity to “present his side of the story” regarding the facts and 

circumstances surrounding his arrest. PFR File, Tab 1 at 9-10. The agency 

contends that the information obtained from the New Mexico statute was merely 

cumulative because the appellant was subject to an ongoing interlock restriction 

when the agency proposed its action and reached its decision, and the “fact that a 

further interlock restriction penalty could be imposed . . . merely confirmed the 

existing gravity of the situation” and “simply lead [the deciding official] to 

believe that the six-month restriction might not have been the end of it.” Id.

at 16-17. Further, the agency asserts that the deciding official acted properly in 
7

obtaining information regarding the New Mexico statute as part of his effort to 

give consideration to the appellant’s alleged mitigating factors; namely, the 

appellant’s claim that he expected the criminal matter to be dismissed and his 

unrestricted driver’s license to be restored within a few months. Id. at 13-14; see

IAF, Tab 4 at 39. 

¶11 The agency’s arguments are unpersuasive. The agency did not inform the 

appellant that the deciding official would rely upon his knowledge of the 

appellant’s previous DUI/DWI convictions to interpret the New Mexico statute 

and construe the expected duration of his interlock restriction as an aggravating 

factor. Thus, the information was new. The information also was material 

because it is clear that the expected duration of the appellant’s interlock 

restriction influenced the deciding official’s penalty determination. See Ward, 

634 F.3d at 1280 n.2 (finding that, notwithstanding a lack of undue pressure, the 

materiality of ex parte communications appeared self-evident where the deciding 

official admitted that they influenced his penalty determination). Specifically, 

the deciding official testified at the hearing that he viewed the potential for the 

appellant’s interlock restriction to continue for several years as an aggravating 

factor because “there is just no end in sight to the situation.” 5

 HT at 46:11-19. 

He further testified that he did not consider the appellant’s request to take leave 

 5 The agency asserts that the administrative judge asked “leading” questions and 

improperly introduced the concept of an aggravating factor, which was not mentioned in 

the decision notice, to the deciding official. PFR File, Tab 1 at 10-12. Assuming for 

the sake of argument that the trier of fact is not allowed to ask leading questions, the 

agency did not raise any objection to this line of questioning during the hearing and 

therefore is precluded from doing so now. See HT at 45:23-49:15; see also Harbo v. 

U.S. Postal Service, 53 M.S.P.R. 450, 453-55 (1992) (holding that the agency waived 

its objection to the sua sponte raising of a handicap discrimination claim by the 

administrative judge when it failed to object to the acceptance of testimony on the issue 

at the hearing); Whitehurst v. Tennessee Valley Authority, 43 M.S.P.R. 486, 491 (1990)

(explaining that a party is obligated to preserve for review its objections to an 

administrative judge’s conduct of a hearing and cannot wait until after the adjudication 

is complete to object for the first time to the administrative judge’s 

hearing-related rulings). 
8

until his criminal matter was resolved to be a viable alternative to a removal 

action because “there was no end in sight to the situation.” Id. at 39:13-23. 

¶12 We also disagree with the agency that this information was merely 

cumulative. It is true that the order imposing the interlock restriction indicated 

that the restriction would continue “for six (6) months or later until all conditions 

for reinstatement are met.” IAF, Tab 4 at 33. However, the issue is that when the 

deciding official gleaned from the New Mexico statute that not only could the 

restriction extend beyond the 6-month minimum, but that it could be 3 years or 

longer, he viewed the latter as an aggravating factor. Indeed, it is unclear why 

the deciding official would have needed to look into the expected duration of the 

restriction if he would have imposed the penalty of removal, even if the 

restriction were expected to conclude at the end of the 6-month minimum period. 

¶13 We find that the deciding official’s consideration of an aggravating factor 

without the appellant’s knowledge was “so likely to cause prejudice that no 

employee can fairly be required to be subjected to a deprivation of property under 

such circumstances.” Stone, 179 F.3d at 1377. Consequently, because the agency 

violated the appellant’s due process rights, its error cannot be excused as 

harmless, and the agency must cancel the appellant’s removal. See Lopes v. 

Department of the Navy, 116 M.S.P.R. 470, ¶ 13 (2011). The agency may not 

remove the appellant unless and until it affords him a new, constitutionally 

correct, removal procedure. 

We vacate the administrative judge’s alternative findings. 

¶14 In his written reply, the appellant requested that the deciding official 

consider various mitigating factors. He alleged that he was “vigorously fighting 

the [DWI] charge” and “expect[ed] to have the matter dismissed within the next 

few months.” IAF, Tab 4 at 39. The deciding official obtained court records that 

indicated the appellant failed to attend the hearing regarding his license 

revocation, and subsequently requested and received two continuances in his DWI 

matter. Id. at 26. Based on this, the deciding official found that it did not appear 
9

that, as the appellant claimed, he was diligently pursuing resolution of the matter 

and the deciding official concluded that the appellant’s assertions to the contrary 

were not credible. Id.; HT at 34:23-35:10 (testimony of the deciding official). 

¶15 The appellant also asserted that he filed a motion with the court “to allow 

him a special government license to drive a government vehicle without an 

interlock system during work hours.” IAF, Tab 4 at 39. The deciding official 

obtained a copy of this motion and discussed the matter with the agency’s Office 

of General Counsel (OGC). Id. at 26; HT at 36:21-37:23 (testimony of the 

deciding official). OGC informed him that the motion was almost certain to fail 

because it contained multiple flaws; the appellant had not cited legal authority 

establishing the court’s authority to grant the relief he requested; and the 

Assistant District Attorney opposed it. IAF, Tab 4 at 26; HT at 36:21-37:23 

(testimony of the deciding official). Thus, the deciding official did not accord 

much weight to this alleged mitigating factor “because it didn’t seem like [the 

motion] was viable.” HT at 37:19-23 (testimony of the deciding official). 

¶16 The administrative judge made an alternative finding that the deciding 

official’s consideration of the aforementioned additional information, which 

called into question the appellant’s alleged mitigating factors and thus factored 

into the penalty determination, without first informing the appellant and affording 

him an opportunity to respond, also constituted a due process violation. ID 

at 6-8. 

¶17 We disagree with, and thus vacate, this alternative finding. A deciding 

official does not violate an employee’s right to due process when he considers 

issues the employee raises in his response to the proposed adverse action and then 

rejects those arguments in reaching a decision. Mathis v. Department of 

State, 122 M.S.P.R. 507, ¶ 9 (2015). An employee is not entitled to know the 

particular weight the deciding official will attach to his arguments raised in 

response to the proposed adverse action in advance of the final decision. Id. 

Moreover, a deciding official does not violate an employee’s due process rights 
10

by initiating an ex parte communication that only confirms or clarifies 

information already contained in the record. Id., ¶ 10; see Blank v. Department of 

the Army, 247 F.3d 1225, 1229-30 (Fed. Cir. 2001). Here, the deciding official 

sought information to confirm the appellant’s assertion that he was vigorously 

pursuing his criminal matter and expected it to be dismissed soon, as well as his 

implication that he could obtain a “special government license” that would allow 

him to continue performing his job duties. While, if true, these may have been 

mitigating factors, we see no evidence that the deciding official viewed the 

results of his inquiry as an aggravating factor. We therefore find it was not a due 

process violation for the deciding official to investigate these claims and then, 

based on the information he obtained, choose not to accord them any weight as 

mitigating factors in making a penalty determination. 

ORDER

¶18 We ORDER the agency to cancel the appellant’s removal and to restore the 

appellant effective December 13, 2014. See Kerr v. National Endowment for the 

Arts, 726 F.2d 730 (Fed. Cir. 1984). The agency must complete this action no 

later than 20 days after the date of this decision. 

¶19 We also ORDER the agency to pay the appellant the correct amount of back 

pay, interest on back pay, and other benefits under the Office of Personnel 

Management’s regulations, no later than 60 calendar days after the date of this 

decision. We ORDER the appellant to cooperate in good faith in the agency’s 

efforts to calculate the amount of back pay, interest, and benefits due, and to 

provide all necessary information the agency requests to help it carry out the 

Board’s Order. If there is a dispute about the amount of back pay, interest due, 

and/or other benefits, we ORDER the agency to pay the appellant the undisputed 

amount no later than 60 calendar days after the date of this decision. 

¶20 We further ORDER the agency to tell the appellant promptly in writing 

when it believes it has fully carried out the Board’s Order and to describe the 
11

actions it took to carry out the Board’s Order. The appellant, if not notified, 

should ask the agency about its progress. See 5 C.F.R. § 1201.181(b). 

¶21 No later than 30 days after the agency tells the appellant that it has fully 

carried out the Board’s Order, the appellant may file a petition for enforcement 

with the office that issued the initial decision in this appeal if the appellant 

believes that the agency did not fully carry out the Board’s Order. The petition 

should contain specific reasons why the appellant believes that the agency has not 

fully carried out the Board’s Order, and should include the dates and results of 

any communications with the agency. 5 C.F.R. § 1201.182(a). 

¶22 For agencies whose payroll is administered by either the National Finance 

Center of the Department of Agriculture (NFC) or the Defense Finance and 

Accounting Service (DFAS), two lists of the information and documentation 

necessary to process payments and adjustments resulting from a Board decision 

are attached. The agency is ORDERED to timely provide DFAS or NFC with all 

documentation necessary to process payments and adjustments resulting from the 

Board’s decision in accordance with the attached lists so that payment can be 

made within the 60-day period set forth above. 

¶23 This is the final decision of the Merit Systems Protection Board in this 

appeal. Title 5 of the Code of Federal Regulations, section 1201.113(c) (5 C.F.R. 

§ 1201.113(c)). 

NOTICE TO THE APPELLANT

REGARDING YOUR RIGHT TO REQUEST

ATTORNEY FEES AND COSTS

You may be entitled to be paid by the agency for your reasonable 

attorney fees and costs. To be paid, you must meet the requirements set out 

at Title 5 of the United States Code (U.S.C.), sections 7701(g), 1221(g), 

1214(g) or 3330c(b); or 38 U.S.C. § 4324(c)(4). The regulations may be found 

at 5 C.F.R. §§ 1201.201, 1202.202, and 1201.203. If you believe you meet these 

requirements, you must file a motion for attorney fees WITHIN 60 CALENDAR 
12

DAYS OF THE DATE OF THIS DECISION. You must file your attorney fees 

motion with the office that issued the initial decision on your appeal. 

NOTICE TO THE APPELLANT REGARDING

YOUR FURTHER REVIEW RIGHTS

The initial decision, as supplemented by this Final Order, constitutes the 

Board’s final decision in this matter. 5 C.F.R. § 1201.113. You have the right to 

request the United States Court of Appeals for the Federal Circuit to review this 

final decision. You must submit your request to the court at the following 

address: 

United States Court of Appeals

for the Federal Circuit

717 Madison Place, N.W.

Washington, DC 20439

The court must receive your request for review no later than 60 calendar 

days after the date of this order. See 5 U.S.C. § 7703(b)(1)(A) (as rev. eff. 

Dec. 27, 2012). If you choose to file, be very careful to file on time. The court 

has held that normally it does not have the authority to waive this statutory 

deadline and that filings that do not comply with the deadline must be dismissed. 

See Pinat v. Office of Personnel Management, 931 F.2d 1544 (Fed. Cir. 1991). 

If you need further information about your right to appeal this decision to 

court, you should refer to the Federal law that gives you this right. It is found in

Title 5 of the United States Code, section 7703 (5 U.S.C. § 7703) (as rev. eff. 

Dec. 27, 2012). You may read this law as well as other sections of the

United States Code, at our website, http://www.mspb.gov/appeals/uscode.htm. 

Additional information is available at the court’s 

website, www.cafc.uscourts.gov. Of particular relevance is the court’s “Guide 

for Pro Se Petitioners and Appellants,” which is contained within the 

court’s Rules of Practice, and Forms 5, 6, and 11. 
13

If you are interested in securing pro bono representation for an appeal to 

the United States Court of Appeals for the Federal Circuit, you may visit our 

website at http://www.mspb.gov/probono for information regarding pro bono 

representation for Merit Systems Protection Board appellants before the Federal 

Circuit. The Merit Systems Protection Board neither endorses the services 

provided by any attorney nor warrants that any attorney will accept representation 

in a given case.

FOR THE BOARD:

Washington, D.C.

______________________________

William D. Spencer

Clerk of the Board
14

DFAS CHECKLIST

INFORMATION REQUIRED BY DFAS IN 

ORDER TO PROCESS PAYMENTS AGREED 

UPON IN SETTLEMENT CASES OR AS 

ORDERED BY THE MERIT SYSTEMS 

PROTECTION BOARD

AS CHECKLIST: INFORMATION REQUIRED BY IN ORDER TO PROCESS PAYMENTS AGREED UPON IN SETTLEMENT 

CASES 

CIVILIAN PERSONNEL OFFICE MUST NOTIFY CIVILIAN PAYROLL 

OFFICE VIA COMMAND LETTER WITH THE FOLLOWING:

1. Statement if Unemployment Benefits are to be deducted, with dollar amount, address 

and POC to send. 

2. Statement that employee was counseled concerning Health Benefits and TSP and the 

election forms if necessary. 

3. Statement concerning entitlement to overtime, night differential, shift premium, 

Sunday Premium, etc, with number of hours and dates for each entitlement. 

4. If Back Pay Settlement was prior to conversion to DCPS (Defense Civilian Pay 

System), a statement certifying any lump sum payment with number of hours and 

amount paid and/or any severance pay that was paid with dollar amount. 

5. Statement if interest is payable with beginning date of accrual. 

6. Corrected Time and Attendance if applicable.

ATTACHMENTS TO THE LETTER SHOULD BE AS FOLLOWS:

1. Copy of Settlement Agreement and/or the MSPB Order. 

2. Corrected or cancelled SF 50's. 

3. Election forms for Health Benefits and/or TSP if applicable. 

4. Statement certified to be accurate by the employee which includes:

 a. Outside earnings with copies of W2's or statement from employer. 

b. Statement that employee was ready, willing and able to work during the period. 

c. Statement of erroneous payments employee received such as; lump sum leave, severance 

pay, VERA/VSIP, retirement annuity payments (if applicable) and if employee withdrew 

Retirement Funds. 

5. If employee was unable to work during any or part of the period involved, certification of the 

type of leave to be charged and number of hours.
15

NATIONAL FINANCE CENTER CHECKLIST FOR BACK PAY CASES

Below is the information/documentation required by National Finance Center to process 

payments/adjustments agreed on in Back Pay Cases (settlements, restorations) or as 

ordered by the Merit Systems Protection Board, EEOC, and courts. 

1. Initiate and submit AD-343 (Payroll/Action Request) with clear and concise 

information describing what to do in accordance with decision. 

2. The following information must be included on AD-343 for Restoration: 

 a. Employee name and social security number. 

 b. Detailed explanation of request. 

 c. Valid agency accounting. 

 d. Authorized signature (Table 63) 

 e. If interest is to be included. 

 f. Check mailing address. 

 g. Indicate if case is prior to conversion. Computations must be attached. 

 h. Indicate the amount of Severance and Lump Sum Annual Leave Payment to 

be collected. (if applicable) 

Attachments to AD-343 

1. Provide pay entitlement to include Overtime, Night Differential, Shift Premium, Sunday 

Premium, etc. with number of hours and dates for each entitlement. (if applicable) 

2. Copies of SF-50's (Personnel Actions) or list of salary adjustments/changes and 

amounts. 

3. Outside earnings documentation statement from agency. 

4. If employee received retirement annuity or unemployment, provide amount and address 

to return monies. 

5. Provide forms for FEGLI, FEHBA, or TSP deductions. (if applicable)

6. If employee was unable to work during any or part of the period involved, certification of 

the type of leave to be charged and number of hours. 

7. If employee retires at end of Restoration Period, provide hours of Lump Sum Annual 

Leave to be paid. 

NOTE: If prior to conversion, agency must attach Computation Worksheet by Pay 

Period and required data in 1-7 above. 

The following information must be included on AD-343 for Settlement Cases: (Lump 

Sum Payment, Correction to Promotion, Wage Grade Increase, FLSA, etc.) 

 a. Must provide same data as in 2, a-g above. 

 b. Prior to conversion computation must be provided. 

 c. Lump Sum amount of Settlement, and if taxable or non-taxable. 

If you have any questions or require clarification on the above, please contact NFC’s 

Payroll/Personnel Operations at 504-255-4630.