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DepartmentoftheInterior

DepartmentalManual

EffectiveDate 12/22/06

Series PersonnelManagement

Part370 DepartmentalPersonnelProgram

Chapter752 DisciplineandAdverseActions

OriginatingOffice OfficeofHumanResources

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1.1This Purpose. chapterestablishesthepolicy, proceduresandauthority/responsibilityfor

administeringemployeedisciplinewithintheDepartmentoftheInterior (Department), andfor

takingappropriatecorrectiveactionfordisciplinaryorcertainnon-disciplinaryreasons, whenit

isdeterminedthatsuchactionswillpromotetheefficiencyoftheservice. Requirementsstatedin

thischapterareconsistentwithlaw, regulationsandotherDepartmentpolicyapplicableatthe

timeofitsissuance. Actionstakenthroughtheapplicationofthischaptermustcomplywiththe

requirementsofpertinentlaws, rulesandregulations, aswellasthelawfulprovisionsof

applicablenegotiatedagreementsforemployeesinexclusivebargainingunits. 

1.2Chapter Authority. 75ofTitle5, UnitedStatesCodeandPart752ofTitle5, Codeof

FederalRegulations. 

1.3 Coverage. 

A. ThischapterappliestoallbureausandofficesoftheDepartment. Bureaus/offices

willnotissuesupplementaldisciplinarypolicy, exceptwhereotherwiseprescribedinthis

chapter. Employeescoveredbyacollectivebargainingagreementmaybesubjecttoadditional

procedureswhichmaysupersede/supplementthosedescribedinthischapter. Bureaus/offices

mayissuesupplementalimplementingguidanceasneeded. 

B. Thedisciplinary/adverseactionproceduresdescribedinthischapterdonotapplyto

anAdministrativeLawJudge (ALJ), whosedisciplineisgovernedbyseparatestatutory

requirements. Additionally, onlytheadverseactionproceduresdescribedin1.7Cofthischapter

areapplicabletoDepartmentappointeesintheSeniorExecutiveService (SES), althoughSES

employees (andALJs) maybecounseled/reprimandedforengaginginmisconduct. Management

mustconsultwiththeservicingHumanResourcesOfficeforguidanceregarding

employee/actioncoverage. 

C. Employees

1) Thefollowingemployeesarecoveredbytheprovisionsofthischapter: 
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a) Anemployeeinthecompetitiveservicewhohascompleteda

probationaryortrialperiod, orwhoisservinginanappointmentthatrequiresnoprobationaryor

trialperiodandwhohascompletedoneyearofcurrentcontinuousemploymentinthesameor

similarpositionsunderotherthanatemporaryappointmentlimitedtooneyearorless; 

b) Apreferenceeligibleemployeeintheexceptedservicewhohas

completedoneyearofcurrentcontinuousemploymentinthesameorsimilarpositions; 

c) Anon-preferenceeligibleemployeeintheexceptedservicewhohas

completedtwoyearsofcurrentcontinuousemploymentinthesameorsimilarpositionsunder

otherthanatemporaryappointmentlimitedtotwoyearsorless; 

d) AnemployeewithcompetitivestatuswhooccupiesaScheduleB

position; and

e) Anemployeewhowasinthecompetitiveserviceatthetimehis/her

positionwasfirstlistedaspartoftheexceptedserviceandstilloccupiesthatposition. 

2) Thefollowingemployeesareexcludedfromcoverage: 

a) AnindividualappointedbythePresident; 

b) Anemployeewhosepositionhasbeendeterminedtobeofaconfidential, 

policy-determining, policy-making, orpolicy-advocatingcharacterbythePresident, theagency

head, ortheOfficeofPersonnelManagement (suchthatthepositionisexceptedfromthe

competitiveservice – “ScheduleC”); 

c) Areemployedannuitant; 

d) Anemployeewhoseappointmentismadewiththeadviceandconsentof

theSenate; 

e) Anon-preferenceeligibleemployeeservingaprobationaryortrial

periodunderaninitialappointmentintheexceptedservicependingconversiontothe

competitiveservice; 

f) AdministrativeLawJudges; 

g) Anemployeeinthecompetitiveserviceservingaprobationaryortrial

period; and

h) Individualswhoareotherwiseexcludedbythestatutoryprovisionsof

Title5, UnitedStatesCode. 

D. Actions
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1) Thefollowingactionsarecoveredbythischapterwhentakenwithrespecttoa

coveredemployee: 

a) WrittenReprimands; 

b) Suspensions; 

c) Removals; 

d) Reductionsingrade; 

e) Reductionsinpay; and

f) Furloughswithoutpayfor30daysorless. 

2) Thefollowingactionsarenotcoveredbythischapter: 

a) Areduction-in-forceaction; 

b) Asuspensionorremovalintheinterestofnationalsecurity; 

c) AnactiontakenagainstanAdministrativeLawJudge; 

d) Thereductioningradeofasupervisorormanagerwhofailsto

successfullycompleteanewprobationaryperiodasasupervisorormanager, ifsuchreductionis

tothegradeheldimmediatelybeforebecomingasupervisorormanager; 

e) Anactionwhichentitlesanemployeetograderetention, andanactionto

terminatethisentitlement; 

f) Avoluntaryactioninitiatedbytheemployee; 

g) Terminationofappointmentontheexpirationdatespecifiedasabasic

conditionofemploymentatthetimetheappointmentwasmade; 

h) Anactionwhichterminatesatemporaryortermpromotionandreturns

theemployeetothepositionfromwhichtemporarilypromoted, ortoadifferentpositionof

equivalentgradeandpay, iftheDepartmentinformedtheemployeethatitwastobeoflimited

duration; 

i) Cancellationofapromotiontoapositionnotclassifiedpriortothe

promotion; 

j) Reductionofanemployee'srateofpayfromaratewhichiscontrarytoa

rateallowedorpermittedbylaworregulation; 
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k) Placementofanemployeeservingonanintermittentorseasonalbasisin

atemporarynon-duty, non-paystatusinaccordancewithconditionsestablishedatthetimeof

appointment; 

l) AnactionimposedbytheMeritSystemsProtectionBoard; 

m) Areductioningradeorremovalbasedsolelyonunacceptable

performanceandtakenunder5U.S.C. 4303; and

n) AnactiontakenordirectedbytheOfficeofPersonnelManagement

basedonasuitabilitydetermination. 

o) AnactionotherwisenotcoveredbythestatutoryprovisionsofTitle5, 

UnitedStatesCode, andtheregulatoryprovisionsofTitle5, CodeofFederalRegulations. 

1.4 Definitions. 

A. AdministrativeLeave. Anexcusedabsencefromdutywithoutchargetoleaveor

lossofpay. 

B. AdverseAction. Forpurposesofthischapterapersonnelactiontakenby

management, appealabletotheMeritSystemsProtectionBoard (MSPB), toeffectanemployee’s

removal, suspensionformorethan14days, furloughwithoutpayfor30daysorless, or

reductioningradeorpay. 

C. Day. Acalendarday (exceptwhereotherwisespecified). 

D. DecidingOfficial. ADepartmentsupervisorormanagerwhomakesadecisionona

proposedadverseactionordisciplinaryaction. 

E. DisciplinaryAction. Forpurposesofthischapter, anactiontakenbymanagement, 

notappealabletotheMSPB (i.e., writtenreprimand; suspensionfor14daysorless) toaddress

employeemisconduct. 

F. Furlough. Theplacementofanemployeeinatemporarystatuswithoutdutiesand

paybecauseoflackofworkorfundsorothernon-disciplinaryreasons. 

G. Grade. Alevelofclassificationunderapositionclassificationsystem. 

H. IndefiniteSuspension. Theplacementofanemployeeinatemporarystatuswithout

dutiesandpaypendinginvestigation, inquiry, orfurtheragencyaction. Theindefinite

suspensioncontinuesforanindeterminateperiodoftimeandendswiththeoccurrenceofthe

pendingconditionssetforthinthenoticeofactionwhichmayincludethecompletionofany

subsequentadministrativeaction. 
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I. Pay. Therateofbasicpayfixedbylaworadministrativeactionforthepositionheld

byanemployee. 

J. PreponderanceoftheEvidence. Thatdegreeofrelevantevidencewhicha

reasonableperson, consideringtherecordasawhole, mightacceptassufficienttofindthata

contestedfactismorelikelytobetruethanuntrue. 

K. ProposingOfficial. ADepartmentsupervisorormanagerwhoproposesanadverse

ordisciplinaryaction. 

L. Removal. Theinvoluntaryseparationofanemployeefromemploymentwiththe

DepartmentandFederalservice, exceptwheneffectedduetoareduction-in-forceorthe

expirationofanappointment. 

M. Suspension. Theinvoluntaryplacementofanemployeeinatemporarynon-duty, 

non-paystatusfordisciplinaryreasons. 

1.5 . Responsibilities

A. HeadsofBureausandOfficesareResponsiblefor: 

1) Implementing, supportingandprovidingoversightfortheeffective

managementofemployeeconductanddiscipline; 

2) Communicatinginformationtotheworkforceregardingconductrequirements

anddisciplinaryparameters; 

3) Delegatingappropriateauthority, establishingroles/responsibilitiesforpolicy

implementationwithinthebureau/office, andensuringthatapplicabletrainingisprovidedfor

supervisorstoproperlyexercisetheirdisciplinaryresponsibilities; 

4) Ensuringadherencetothepolicyandproceduralrequirementsofthischapter, 

aswellastheapplicableprovisionsofestablishedcollectivebargainingagreements; and

5) Providingandimplementingbureau/office-wideguidanceandinstructions

otherthanthoseoutlinedinthischapter, asappropriate. 

B. Director, OfficeofHumanResourcesisResponsiblefor: 

1) DevelopingandissuingDepartmentalpolicyandguidanceregardingemployee

conductanddiscipline; 

2) Monitoringandevaluatingtheadministrationofdisciplinethroughoutthe

Department, andrevisingthedisciplinarypolicyandproceduresasappropriate; 
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3) Providingadviceandassistancetobureaus/officesontheprovisionsofthis

chapter (aswellasrelatedlaws, rulesandregulations) andonmanagingemployeeconductand

discipline; 

4) Establishingandimplementingreportingrequirementsforactionstakenunder

thischapter, aswellascomplyingwithreportingrequirementsestablishedbyOPM; and

5) EstablishingoverallparametersforDepartment-wideconduct/discipline

trainingandcoordinatingtheavailabilityofrelatedtrainingopportunities. 

C. ServicingHumanResourcesOffices (HRO) areResponsiblefor: 

1) Advisingsupervisorsonemployeeconductissuesanddisciplinaryoptions

includingprocedural/regulatoryparameters); 

2) Draftingorreviewingalldisciplinarynoticespriortoissuanceandapplicable

casefiles, toensurereasonablenessofpenaltyandstatutory/regulatorycompliance; 

3) Advisingemployeesandsupervisorsoftheirproceduralrightsand

responsibilitiesrelativetothischapter (andapplicablelaws, regulationsandnegotiated

agreements); 

4) ConsultingforlegalsufficiencywiththeOfficeoftheSolicitoronadverse

actionproposalsanddecisions, andprovidingtechnicalassistancetotheOfficeoftheSolicitor

onactionstakenunderthischapter; 

5) Maintainingdisciplinaryandadverseactionfilesandaninformationsystem

fortrackingandperiodicallyreportingtheactionseffected; and

6) Providingoperationaltrainingsupporttoensuretheworkforceissufficiently

awareoftheprovisionsofthischapter. 

D. OfficeoftheSolicitorisResponsiblefor: 

1) Providingreviewsforlegalsufficiencyandoverallappropriatenessofadverse

actionsbeingconsidered, proposed, ortakenunderthischapter; 

2) RepresentingtheDepartmentduringsettlementnegotiations, MSPBappeals, 

arbitrationsandotheractivitiesrelatedtotheadministrativeandfederalpersonnellitigation

process; inaccordancewithestablishedDepartmentalpolicy, coordinatingsettlementsofactions

takenunderthischapterwhichimposeafinancialobligationontheDepartmentand

3) Reviewingandprovidinginputonconduct/disciplinetrainingandrelated

instructionalguidanceforDepartmentsupervisorsandemployees. 

E. SupervisorsareResponsiblefor: 
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1) Establishingandmaintainingasafe, productive, supportiveandwell-ordered

workenvironment; 

2) Providingaworkenvironmentfreeofillegaldiscrimination; 

3) Advisingemployeesregardingassigneddutiesandconductexpectationsand

observingemployeeperformanceandconducttoensurecompliancewiththestandardsofethical

conductandotherestablishedworkrequirements; 

4) Promptlyinvestigatinganddocumentingcircumstancesrelatedtoincidentsof

employeemisconduct; 

5) ConsultingwiththeservicingHROregardingemployeemisconductand

initiatingappropriate, timelyandrelativelyconsistentcorrectiveactionaswarranted; and

6) Recognizingandcomplyingwiththerequirementsofthischapterandthe

applicableprovisionsofestablishedcollectivebargainingagreements. 

F. EmployeesareResponsiblefor: 

1) HavingafamiliaritywithFederalandDepartmentalstandardsofethical

conduct, complyingwithallestablishedconductandperformancerequirements, andrequesting

clarificationifnecessary; 

2) Reportingincidentsofwaste, fraud, abuse, corruptionandothermisconductto

appropriateauthorities; and

3) Cooperatinginofficialinvestigationsandfurnishingtestimony. 

1.6 Policy. 

A. General. EmployeesoftheDepartmentareexpectedtodemonstratehighstandards

ofintegrity, bothonandoffthejob, abidingbytheDepartment’sconductregulations (43CFR

Part20) andotherFederalandDepartmentallaws, rulesandregulations. Whenestablished

standardsofconductareviolated, ortherulesoftheworkplacearedisregarded, correctiveaction

iswarrantedtomotivateemployeestoconformtoacceptablebehavioralstandardsandprevent

prohibitedand/orunsafeactivities. Suchcorrectiveactions, whentakenunderthischapter, 

shouldcomportwithapplicablelawsandregulations, shouldbeadministeredwithrelative

consistencyandshouldbetakenforsuchcauseaswillpromotetheefficiencyoftheservice. 

B. StandardforTakingAction. Managementmustbeabletoshowthattheactions

takenunderthischapterpromotetheefficiencyoftheservice. Todemonstratethis, thewritten

noticesofproposalanddecisionmustclearlyspecifythecharge(s) orreason(s) uponwhichthe

actionisbased, beabletoprovethespecificbasisforitsactionbyapreponderanceofthe

evidence, beabletoshowtheconnection (“nexus”) betweenthecharge(s) andpromotionofthe

efficiencyoftheservice, andbeabletoestablishthereasonablenessoftheactiontakenunderthe
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circumstances. IntakingacorrectiveactionagainstanappointeeintheSES, management’s

optionsarelimitedtoawrittenreprimandoranadverseactioncoveredbythischapter (i.e., 

suspensionformorethan14days; removalfromtheFederalservice); managementmaytakean

adverseactionagainstanSESemployeeonlyformisconduct, neglectofduty, malfeasance, or

failuretoacceptadirectedreassignmentortoaccompanyapositioninatransferoffunction. 

C. UseandChoiceofDiscipline. Disciplineshouldbeimposedtocorrectimproper

employeeconductandtomaintainorder, moraleandworkplacesafetythroughouttheworkforce. 

Afterdeterminingthatmisconductoccurredandthatcorrectiveactioniswarranted, discipline

shouldbeinitiatedassoonaspracticableafterthemisconductwhichprompteditandeffectedon

aprogressiveandequitablebasisasmuchaspossible. Progressivedisciplineprovidesthatin

dealingwithaninstanceofemployeemisconduct, theresponsiblemanagementofficial (oftenthe

first-levelsupervisor) shouldselecttheminimumdisciplinary/adverseactionmostlikelyto

correctthespecificbehavioralproblem, withpenaltiesselectedatanescalatinglevelfor

subsequent (butnotnecessarilyidentical) offenses, whenappropriate. Managementofficials

mustexercisereasonablejudgmentandconsiderallrelevantfactors, bothmitigatingand

aggravating (asreflectedintheguidancefoundatAppendixA), indeterminingthemost

appropriatecorrectiveactionforeachsituation. Asaguideforconsideringdisciplinaryoptions, 

theDepartment’sTableofOffensesandPenaltiesisincludedasAppendixBtothischapter. 

ThisTabledoesnotmandatetheuseofspecificpenaltiesinmostdisciplinarysituations. 

Supervisors/managersretainfullauthority, exceptinlimitedcircumstances (i.e., discipline

prescribedbystatuteortheMSPB), tosetpenaltiesastheydeemappropriate, basedonthe

particularcircumstancesandspecificationsoftheoffense Consultationandclosecoordination

withtheservicingHROshouldensurethataparticularpenaltyisproportionaltotheoffenseand

employeeswhocommitsimilaroffensesaretreatedwithrelativeconsistency. 

D. DelegationsofAuthority. Eachbureauwilldeterminethelevelofsupervisory

authorityrequiredfortakingactionscoveredbythischapter. Foractionsthatrequirethe

issuanceofaproposalandadecision (e.g., suspensions; removals; reductionsingrade/pay), 

ordinarilythesamesupervisory/managementofficialshouldnotserveasboththeproposingand

decidingofficialontheaction. Generally, thedecisiononaproposedactionshouldbemadeby

amanagementofficialatahigherorganizationallevelthantheproposingofficial; ifthereisno

higher-levelofficialwithintheBureau/Officeorifitisnotfeasibletousethehigher-level

official, anothermanagementofficialwithintheDepartmentmaybedelegatedthedecisionmakingauthority (insuchexceptionalsituations, determinationsregardingthedelegationof

decision-makingauthoritymustbeapprovedbytheBureau/Officehead, withtheconcurrenceof

theDirector, OHR). Bureauofficials, managersandsupervisorswhoaredelegatedauthorityfor

implementingtheprovisionsofthischapterandmanagingtheworkforceareaccountablefor

complyingwithandproperlyadministeringallcontrollinglaws, rules, policies, regulationsand

negotiatedagreementspertainingtoemployeeconductanddiscipline. 

1.7 Procedures. 

A. General. Takingacorrectiveactionagainstanemployeeisappropriateonlywhen

theemployeehasengagedinidentifiablemisconductadverselyaffectingtheefficiencyofthe

service. Beforeinitiatingsuchaction, managementshouldconductathoroughinquiryintoany
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apparentoffense (collectinginformationtothegreatestextentpracticabledirectlyfromthe

subjectemployee) toensuretheobjectiveconsiderationofallrelevantfactsandaspectsofthe

situation. Ordinarily, thisinquirywillbeconductedbytheappropriatelinesupervisor, with

guidancefromtheservicingHRO. Howevercertainsituations (particularlythoseinvolving

possiblecriminalactivity) warrantaninvestigationbytheOfficeofInspectorGeneraland/or

internalBureaulawenforcement/criminalinvestigationoffices. Onceitisestablishedthatan

employeeengagedinmisconductnecessitatingcorrectiveaction, asupervisororother

managementofficial (usingtheguidanceatAppendicesAandB, andinconsultationwiththe

servicingHRO) mustdeterminetheaction/penaltyrequiredtodetertherecurrenceofthe

unacceptablebehavior. 

Minormisconductmaybecorrectedifthesupervisorinformallycounselstheemployeeaboutthe

problempromptlyafterthefirstinstance. Thesupervisoralsomayrelyonnoticesof

warning/admonishmenttoconvincetheemployeetochangetheundesirablebehavior. These

actionsarelessseverethanthedisciplinaryandadverseactionsdescribedbelow, arelesssubject

toreviewbythirdparties, anddonotbecomepartoftheemployee’spermanentofficial

employmentrecord. Noticesofwarning/admonishmentdocumenttheemployee’smisconduct, 

placetheemployeeonnoticeregardingthebehaviorexpectedbymanagement, andadvisethe

employeethatmoreseriouscorrectiveaction (e.g., reprimand; suspension; removal) willresultif

theunacceptablebehaviorisnotcorrected. Theuseofsuchcorrectiveactionsdoesnotconstitute

a “priorpenalty” fordisciplinarypurposes, asalludedtoinAppendixB, toenhancetheseverity

ofpenaltyforasubsequentoffense; however, suchcorrectiveactionsmaybeviewedas “prior

notice” (inconsiderationoffactor9, AppendixA). 

B. DisciplinaryAction. 

1) WrittenReprimand

a) Thisisawrittennoticeissuedtoanemployeebyanauthorized

managementofficial (usuallytheimmediateorhigher-levelsupervisor) whentheemployee’s

conductwarrantsacorrectiveactionmoreseriousthanacounselingorwarningbutwithout

involvingalossofpay. Unlikeanoticeofcounseling, warningoradmonishment, awritten

reprimandisaformalpenaltyfordisciplinarypurposes (underAppendixB). 

b) TheservicingHROwillassistmanagementinthepreparationand

issuanceofthereprimand, whichshouldspecify: thereason(s) promptingtheaction; theperiod

oftimeacopyofthereprimandwillbemaintainedintheemployee’sOfficialPersonnelFolder

OPF); forprogressivedisciplinarypurposes, thepossibilityoftakingmoreseriousactionforany

subsequentoffenses(s); and, theemployee’srighttofileagrievanceinaccordancewiththe

applicableadministrative/negotiatedgrievanceprocedures. 

c) Acopyofthereprimandwillbefiledonthetemporarysideofthe

employee’sOPFforaperiodnot-to-exceedtwoyearsorwhereapplicable, thetimespecifiedby

anestablishednegotiatedagreement; thetimeperiodwillbeappropriatelyrecordedandtracked

bytheservicingHRO. Theemployee’ssupervisormayelecttowithdrawthereprimandfromthe
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OPFearlierthantheperiodspecified, inwhichcasethesupervisorwillinformtheemployee, 

afterconsultingwiththeservicingHRO. 

2) Suspension (14daysorless) 

a) Adisciplinarysuspensionisamanagementdirectedabsencefromwork

foranemployee (excludingallSESappointees), withforfeitureofpayforthetimespecified. 

Sincesuspensionsresultinalossofproductivityandrepresentafinanciallosstoemployees, 

theyshouldbeimposedonlyafterlessercorrectiveactionshaveprovenineffectiveinimproving

employeebehaviororwhenanemployeehasengagedinseriousmisconduct. 

b) Anemployeeagainstwhomasuspensionof14daysorlessisinitiatedis

entitledtoreceiveawrittenproposalstatingthespecificreason(s) fortheproposedaction

includingaggravating/mitigatingfactorsreferencedinAppendixA) insufficientdetailtoenable

theemployeetoanswerthecharge(s). Thenoticeofproposedsuspension (issuedbythe

immediatesupervisororothermanagementofficial, withtheadviceandassistanceofthe

servicingHRO), shallstatetheproposedlengthofthesuspension, aswellastheemployee’s

entitlementto: reviewthematerialrelieduponbymanagementinproposingthesuspension

uponrequest); 7daystoanswerorallyand/orinwritingtheproposal (andfurnishaffidavitsand

otherdocumentaryevidence) beforeadecisionismade; representationbyanattorneyorother

representative; andawrittendecision (explainingthespecificreasonsforthatdecision) atthe

earliestpracticabledate. Thenoticealsoshallidentifythenameofthedecidingofficial

generally, ahigher-levelmanager) and, ifdifferent, thenameoftheofficialdesignatedto

receivetheoraland/orwrittenanswer (ifsuchanofficialisdesignated, thatindividualmay

providearecommendationtothedecidingofficialregardingthedispositionoftheproposed

action). Afterissuingthenoticeofproposedsuspension, managementcanamendtheproposal

notice (orcancelandreissueitatalaterdate) toallowfortheconsiderationofanyadditional

misconductwhichbecomesknowntomanagementpriortotheissuanceofadecision. 

c) Theemployee’srepresentativemustbedesignated, inwriting, tothe

decidingofficialpriortoanyoraland/orwrittenanswer. Employeesservinginalegalcapacity

withintheDepartment (e.g., attorneyswiththeOfficeoftheSolicitorandOfficeofHearingsand

Appeals)maynotrepresentanotherDepartmentemployeewithregardtoactionstakenunderthis

chapter. AdditionallyDepartmentmanagementmaydisallow, asanemployee’srepresentative, 

anindividualwhoseactivitiesasarepresentativecouldcauseaconflictofinterestorofposition, 

oranemployeeoftheDepartmentwhosereleasefromhis/herofficialpositionwouldresultin

unreasonablecostsorwhosepriorityworkassignmentsprecludehis/herreleasefor

representationalduties. 

d) Theemployee’sanswer(s) totheproposedsuspensionshouldbe

providedtothedecidingofficial (ordesignee) within7daysfollowingthedatetheemployee

receivestheproposalnotice. Theemployeeisentitledtoareasonableamountofofficialtime

normallyamatterofhours, notdays) toprepareandpresentanoraland/orwrittenanswer. If

theemployeewishesadditionaltimetoanswer, theemployee (ordesignatedrepresentative) must

submitanextensionrequest, inwriting, tothedecidingofficial (ordesignee) beforethe

expirationoftheanswerperiod, statingthereasonfortherequestandtheamountofadditional
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timeneeded. Thedecidingofficialshallrespondtotheemployee, inwriting, eithergrantingor

denying (fullyorpartially)thetimeextensionrequest. 

e) Therighttoanswerorallydoesnotincludetherighttoaformalhearing

andtheappearanceofwitnesseswillnotbepermitted. Althoughoralrepliesaregenerally

conductedinaface-to-facemeeting, whenthisisimpractical, audioorvideoconferencingmay

beused. Whenpracticable, arepresentativefromtheservicingHROshouldbepresentduring

thepresentationoftheoralanswer, toassistandprovideproceduralguidancetothedeciding

official (ordesignee) andemployee (orrepresentative). Iftheemployeemakesanoralanswer, 

thedecidingofficial (ordesignee), shallprepareawrittensummaryfortherecord (noverbatim

transcriptoftheoralanswerisrequired). Adraftofthesummaryshouldbeprovidedtothe

employee (orrepresentative) fortheopportunitytocommentbeforeitismadepartoftherecord. 

Thefinalsummaryoftheoralanswerandanycommentmadebytheemployee (or

representative) regardingthesummaryshallbecomepartoftheofficialdisciplinarycasefile

maintainedbytheservicingHRO. 

f) Thedecidingofficialwillobtain (fromtheservicingHRO) andreviewa

copyoftheentirecasefile, whichshouldcontainalltheevidencerelieduponbytheproposing

official (includingtheproposalnoticeandallsupportingdocuments), beforemakingadecision

ontheproposedsuspension. Uponrequest, theemployeealsomayreviewthisfile, whichshould

containonlythematerialreliedupontosupporttheaction; informationthatcannotbedisclosed

totheemployeeshallnotbeusedasabasisfortakinganyaction. 

g) Thedecidingofficialshallissueawrittendecisionattheearliest

practicabledateafterreceiptoftheemployee'sanswer(s), orfollowingexpirationoftheanswer

period. Thenoticeofdecisionmustbedeliveredtotheemployee (orrepresentative) atorbefore

thetimeanyactionistobeeffected (orinaccordancewithapplicableprovisionsofany

negotiatedagreement). TheservicingHROwillassistthedecidingofficialinmakingthe

appropriatedecisionandpreparingandissuingthedecisionnotice. Inarrivingatadecision, the

decidingofficialshouldconsideronlytheinformation, evidenceandcommunicationavailableto

theemployeeforcommentoranswerthroughoutthedisciplinaryprocess, aswellasthe

employee’sanswer(s), anduseonlythereasonswhichwereincludedintheproposalnoticeto

supportthedecision. Thedecidingofficialmayseekadditionalinformationtocorroborate/refute

anyinformationpreviouslyobtainedduringtheprocess; ifconsidered, thedecidingofficial

shouldmakesuchadditionalinformationavailabletotheemployeeforcommentpriortomaking

adecision. 

h) Thenoticeofdecisionshouldindicate: thespecificactiondecidedupon

andapplicableeffectivedates); thecharge(s) andspecification(s) intheproposalnoticewhich

were/werenotsustained; theconsiderationgiventotheemployee'sanswer(s), ifany, andtoany

mitigatingandaggravatingfactors; forprogressivedisciplinarypurposes, thepossibilityof

takingmoreseriousactionforanysubsequentoffenses(s); and, theemployee’srighttofilea

grievanceinaccordancewiththeapplicableadministrative/negotiatedgrievanceprocedures. 

C. AdverseAction. 
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1) Mostadverseactionstakenunderthischapter (i.e., removalforcause; 

suspensionforindefiniteperiodmorethan14days; reductioningradeorpay) arebasedon

instancesofegregiousand/orrepeatedemployeemisconduct (exceptionsincludefurloughfor30

daysorlessandremovalformedicalinabilitytoperformthedutiesoftheposition). Employees

areentitledtoreceiveadvancewrittennoticeofatleast30daysbeforeanactioncoveredbythis

chaptermaybeeffected, exceptforthefollowingsituations: 

a) Emergencyfurlough. Therequirementsforbothanadvancewritten

noticeandanemployeeopportunitytoanswerarewaivedforfurloughsduetounforeseeable

circumstances, suchassuddenbreakdownsinequipment, alapseofappropriations, actsofGod, 

orsuddenemergenciesrequiringimmediatecurtailmentofactivities. Circumstancesmustbe

trulyunforeseen, andofsuchanaturethattheydonotreasonablyallowfortimetopreparea

proposaltotakeactionortoreceiveanemployee’sanswer. 

b) Crimeprovision. Managementmayshortentheadvancenoticeperiod

whenthereisreasonablecausetobelieveanemployeehascommittedacrime (eitheronoroff

thejob) forwhichasentenceofimprisonmentmaybeimposed. Theshortenednoticeperiod

muststillbeatleast7days. Whencircumstancesrequirethattheemployeebekeptawayfrom

theworksiteduringthisshortenednoticeperiod, managementmayplacetheemployeeinan

administrativeleavestatusforsuchtimeasisnecessarytodecideandeffecttheadverseaction. 

Generally, evidencethatmeetstherequirementsforashortenednoticeperiodalsowillsupport

anadverseactiontoindefinitelysuspendanemployeependingresolutionofthecriminalcharges

orcompletionofasubsequentadministrativeaction. Anemployeewhohasbeenarrestedwith

orwithoutawarrantandheldforfurtherlegalactionbyamagistratecourtorindictedbyagrand

juryforaseriouscrimeshouldbeindefinitelysuspendedwithoutpaypendingtheoutcomeofthe

judicialprocess. Theconsiderationofanyadverseactionpromptedbyanemployee’salleged

criminalconductmustbecloselycoordinatedwiththeOfficeoftheSolicitor. 

2) Anemployeeagainstwhomanadverseactionisinitiatedisentitledtoreceive

awrittenproposal (normallywith30-daysadvancenotice), statingthespecificactionproposed

andthereason(s) fortheproposedaction (includinganyaggravatingand/ormitigatingfactors

referencedinAppendixA) insufficientdetailtoenabletheemployeetoanswerthecharge(s). 

Thenoticeofproposedadverseaction (issuedbytheimmediatesupervisororothermanagement

official, withtheadviceandassistanceoftheservicingHRO, andafteralegalsufficiencyreview

bytheOfficeoftheSolicitor), additionallyshallreferencethattheemployeemay: reviewthe

materialrelieduponbymanagementinproposingthesuspension; have14days (anda

reasonableamountofofficialtime)toanswerorallyand/orinwritingtheproposal (andfurnish

affidavitsandotherdocumentaryevidence) forconsiderationbeforeadecisionismade; be

representedbyanattorneyorotherrepresentative; andreceiveawrittendecision (explainingthe

specificreasonsforthatdecision) attheearliestpracticabledate. Thenoticealsoshallidentify

thenameofthedecidingofficial (generally, ahigher-levelmanager) and, ifdifferent, thename

oftheofficialdesignatedtoreceivetheoraland/orwrittenanswer (ifsuchanofficialis

designated, thatindividualmayprovidearecommendationtothedecidingofficialregardingthe

dispositionoftheproposedaction). Afterissuingthenoticeofproposedadverseaction, 

managementcanamendtheproposalnotice (orcancelandreissueitatalaterdate) toallowfor
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theconsiderationofanyadditionalmisconductwhichbecomesknowntomanagementpriorto

theissuanceofadecision. 

a) Whensomebutnotallemployeesinagivencompetitivelevelarebeing

furloughed, thenoticeofproposalshallstatethebasisforselectingaparticularemployeefor

furlough, aswellasthereasonsforthefurlough. 

b) Ordinarily, theemployeeshallremaininanactivedutystatusduringthe

advancenoticeperiod, andtheproposalnoticeshouldsostate. However, inrareinstances, the

proposingofficialmaydeterminethattheemployee’spresenceattheworkplacemaybe

injurioustotheemployeeortoothers, mayresultinlossofordamagetoGovernmentproperty, 

ormayotherwisejeopardizelegitimateGovernmentinterests. Insuchcases, management (in

consultationwiththeservicingHROandtheOfficeoftheSolicitor) mayassigntheemployeeto

otherduties, allowtheemployeetotakeleave (orplacetheemployeeinanappropriateleave

statusiftheemployeeisabsentfromtheworkplace), curtailthenoticeperiod (usingthecrime

provision), orplacetheemployeeinanadministrativeleavestatusforsuchtimeasisnecessary

tomakeadecisionandeffectanaction. Theplacementofanemployeeonadministrativeleave

doesnotconstituteanadverseaction, butshouldonlybedoneinthemostexceptionalsituations

i.e., casesinvolvingproposedremovalsorindefinitesuspensions) whenallotheroptionsare

consideredimprudent. Onlybureau/officeheads, theirdeputies, ortheDirector, OHR, may

authorizetheplacementofanemployeeonadministrativeleaveforanextendedperiodoftime

i.e., beyond45days); thisauthoritymaynotbere-delegated. Bureau/Officeheads (ortheir

deputies) mustcoordinatedecisionsregardingtheplacement/continuationofanemployeeinan

administrativeleavestatusformorethan45dayswiththeDirector, OHR, whowillreviewsuch

decisionsfortheDepartmentandmayrescindthemifconsideredinappropriate. 

c) Managementmustmakeareasonableanddiligentefforttoensurethat

theemployeereceivesthenoticeofproposedadverseactioninatimelybasis. Personaldelivery

oftheadvancenoticetotheemployee, allowingfortheemployee’ssignedacknowledgmentof

receipt, isthemostdesirablemethodofdelivery. Ifthenoticecannotbepersonallydeliveredto

theemployee, theservicingHROwilldeterminetheappropriatealternativedeliverymethod. 

3) Theemployee’srepresentativemustbedesignated, inwriting, tothedeciding

officialpriortoanyoraland/orwrittenanswer. Employeesservinginalegalcapacitywithinthe

Department (eg., attorneyswiththeOfficeoftheSolicitorandOfficeofHearingsandAppeals) 

maynotrepresentanotherDepartmentemployeewithregardtoactionstakenunderthischapter. 

AdditionallyDepartmentmanagementmaydisallow, asanemployee’srepresentative, an

individualwhoseactivitiesasarepresentativecouldcauseaconflictofinterestorofposition, or

anemployeeoftheDepartmentwhosereleasefromhis/herofficialpositionwouldresultin

unreasonablecostsorwhosepriorityworkassignmentsprecludehis/herrelease. 

4) Theemployee’sanswer(s) totheproposedadverseactionshouldbeprovided

tothedecidingofficial (ordesignee) within14daysfollowingthedatetheemployeereceivesthe

proposalnotice. Anemployeeinanactivedutystatusisentitledtoareasonableamountof

officialtime (normallyamatterofhours, notdays) toreviewthematerialreliedontosupportthe

proposedactionandtoprepareandpresentanoraland/orwrittenanswer; theemployeemust
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requestandobtainsupervisoryapprovalfortheuseofofficialtime, inadvance. Iftheemployee

wishesadditionaltimetoanswer, theemployee (ordesignatedrepresentative) mustsubmitan

extensionrequest, inwriting, tothedecidingofficial (ordesignee) beforetheexpirationofthe

answerperiod, statingthereasonfortherequestandtheamountofadditionaltimeneeded. The

decidingofficialshallrespondtotheemployee, inwriting, eithergrantingordenying (fullyor

partially)thetimeextensionrequest. 

5) Therighttoanswerorallydoesnotincludetherighttoaformalhearingand

theappearanceofwitnesseswillnotbepermitted. Althoughoralrepliesaregenerallyconducted

inaface-to-facemeeting, whenthisisimpractical, audioorvideoconferencingmaybeused. 

Whenpracticable, arepresentativefromtheservicingHROshouldbepresentduringthe

presentationoftheoralanswer, toassistandprovideproceduralguidancetothedecidingofficial

ordesignee) andemployee (orrepresentative). Iftheemployeemakesanoralanswer, the

decidingofficial (ordesignee), shallprepareawrittensummaryfortherecord (noverbatim

transcriptoftheoralanswermeetingisrequired). Adraftofthesummaryshouldbeprovidedto

theemployee (orrepresentative) fortheopportunitytocommentbeforeitismadepartofthe

record. Thefinalsummaryoftheoralanswerandanycommentmadebytheemployee (or

representative) regardingthesummaryshallbecomepartoftheofficialadverseactioncasefile

maintainedbytheservicingHRO. 

6) Thedecidingofficialwillobtain (fromtheservicingHRO) andreviewacopy

oftheentirecasefile, whichshouldcontainalltheevidencerelieduponbytheproposingofficial

includingtheproposalnoticeandallsupportingdocuments) beforemakingadecisiononthe

proposedadverseaction. Uponrequest, theemployeealsomayreviewthisfile, whichshould

containonlythematerialreliedupontosupporttheaction; informationthatcannotbedisclosed

totheemployeeshallnotbeusedasabasisfortakinganyaction. 

7) Thedecidingofficialshallissueawrittendecisionattheearliestpracticable

dateafterreceiptoftheemployee'sanswer(s), orfollowingexpirationofthe14-dayanswer

period. Thenoticeofdecisionmustbedeliveredtotheemployee (orrepresentative) atorbefore

thetimeanyactionistobeeffected (orinaccordancewithapplicableprovisionsofany

negotiatedagreement). TheservicingHROwillassistthedecidingofficialinmakingthe

appropriatedecisionandpreparingandissuingthedecisionnotice. Inarrivingatadecision, the

decidingofficialshouldconsideronlytheinformation, evidenceandcommunicationavailableto

theemployeeforcommentoranswerthroughouttheadverseactionprocess, aswellasthe

employee’sanswer(s), anduseonlythereasonswhichwereincludedintheproposalnoticeto

supportthedecision. Thedecidingofficialmayseekadditionalinformationtocorroborate/refute

anyinformationpreviouslyobtainedduringtheprocess. 

8) Thenoticeofdecisionshouldindicate: thespecificactiondecidedupon (and

applicableeffectivedates); thecharge(s) andspecification(s) intheproposalnoticewhich

were/werenotsustained; theconsiderationgiventotheemployee'sanswer(s), ifany, andtoany

mitigatingandaggravatingfactors; forprogressivedisciplinarypurposes, thepossibilityof

takingmoreseriousactionforanysubsequentoffenses(s); and, theemployee’srighttoeitherfile

anappealtoMSPB (includeacopyoftheBoard’sappealform/regulationsandtheaddressofthe
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appropriateBoardoffice) orfileagrievanceinaccordancewithanyapplicablenegotiated

agreement. 

1.8 Records. TheservicingHROshallmaintainconfidentialdisciplinary/adverseactioncase

files; eachfileshallcontaincopiesofthenoticeofproposedaction, anywrittenanswer, a

summaryofanyoralanswer, thenoticeofdecision (includingthereasonsforit), anyorder

effectingtheaction, andanysupportingmaterial (e.g., witnessstatements; affidavits; documents; 

investigativereports). Disciplinary/adverseactionfilesmustbeprovidedtovariousparties (e.g., 

theMSPB; theaffectedemployeeand/ordesignatedrepresentative; agrievanceexaminer), but

needonlybefurnishedinresponsetoaspecificrequest. 

APPENDIXA

PENALTYDETERMINATION

Afterestablishingasufficientbasisfortakingaction (i.e., apreponderanceoftheevidenceto

supportthecharge(s); anexusbetweentheoffense(s) andtheemployee’sjobortheagency’s

mission), thesupervisor/manager, inconsultationwiththeservicingHRO, mustdeterminethe

appropriatepenaltyfortheemployee'smisconduct. Atthispoint, whetherproposingordeciding

anaction, itisprudenttoconsiderallremedies (disciplinaryornon-disciplinary; formalor

informal) thatmayeffectivelyresolvetheidentifiedproblem. 

Inselectinganappropriatepenaltyforaspecificoffense, responsiblejudgmentmustbeexercised

sothatanemployeewillnotbepenalizedoutofproportiontotheoffense. Managementshould

takeintoaccountallofthespecificcircumstancesofthecaseandshouldensure, totheextent

possible, thatemployeeswhocommitsimilaroffensesaretreatedconsistently. However, while

equitableanduniformtreatmentofemployeeswhocommitsimilaroffenses (under “like” 

circumstances) ispreferablewhenpossible, mechanisticconsistencyisnotrecommendedor

required. In Douglasv. VeteransAdministration, 5M.S.P.R. 280 (1981), theMSPBidentifieda

numberoffactors -- generallyreferredtoasthe "DouglasFactors" -- whichitspecifiedwerenot

exhaustive, butweregenerallyrecognizedasrelevantindeterminingtheappropriatenessofa

penalty. Areasonableandconscientiousapplicationofthesefactors (listedbelow, withguidance

basedonMSPBcase-law) couldresultinemployeesreceivingdifferentpenalties, eventhough

theymayhavecommittedsimilaroffenses. 

1) NatureandSeriousnessofOffense –thenatureandseriousnessoftheoffense, andits

relationtotheemployee'sduties, position, andresponsibilities, includingwhethertheoffense

wasintentionalortechnicalorinadvertent, orwascommittedmaliciouslyorforgain, orwas

frequentlyrepeated. 

Mitigatingfactorsandtheemployee'spotentialforrehabilitationmustbebalanced

againsttheseriousnessoftheoffenseanditseffectonthedutiesofthepositionandthe

missionoftheorganization. 

Seriousmisconductcanoutweighanemployee'slengthofserviceandoverallgoodwork

record. 
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Ifthemisconductisseriousenough, removalmightbeanappropriatepenaltyforafirst

offense, andonappeal, athirdpartymightoverlookaquestionableapplicationofother

Douglasfactors (e.g. failuretoproperlynotifytheemployeeofconsiderationofpast

record; disparatepenalties). 

2) Employee'sJob – theemployee'sjoblevelandtypeofemployment, including

supervisoryorfiduciaryrole, contactswiththepublic, andprominenceoftheposition. 

Personsinpositionsoftrustcanbeheldtohigherstandards; positionsoftrustinclude

jobswithfiduciary, lawenforcementandpublicsafetyorhealthresponsibilities. 

Lossofconfidenceinanemployee'sabilitytofunctionasasupervisorsupportsremoval

fromasupervisoryposition. 

Ifanemployeehasperformedwellinnon-supervisoryjobs, butfailsasasupervisor, 

demotionisoftenviewedasmoreappropriatethanremovalfromfederalservice. 

3) DisciplinaryRecord – theemployee'spastdisciplinaryrecord. 

TheMSPBmayreviewindependentlypriordisciplinaryactionspendingingrievance

proceedingswhenreviewingterminationandotherseriousdisciplinaryactions. 

Anemployee'srecordofpastdisciplineisusedtoenhancethepenalty; itmaynotbeused

asproofofthecurrentmisconduct. 

Anypastoffensemayformthebasisforproposingapenaltyfromthenexthigherrange

ofpenaltiesforasubsequentoffense; theoffensesneednotbeidenticalorsimilar. 

Priordisciplinaryactionsmaybecitedeveniftheyinvolvedoffensesunrelatedtothe

currentcharges, althoughpastdisciplinethatoccurredyearsbeforethecurrentactionand

thatinvolvedunrelatedoffenseslikelywillbediscountedonappeal. 

Managementmaynotcitedisciplinaryactionsthathaveexpiredinaccordancewith

agencyregulationsoracollectivebargainingagreement. 

Anemployeemaynotchallengethemeritsofpriordisciplinaryactionsiftheemployee

wasinformedoftheactionsinwriting, theactionsareamatterofrecord, andthe

employeehadanopportunitytodisputetheactionsbeforeahigherauthority (ifsuch

actionswerereviewedbyahigherauthority, theymusthavebeenupheld). 

Management'sintenttoconsiderthepastdisciplinaryrecordmustbestatedinthe

proposalnotice. 

4) WorkRecord – theemployee'spastworkrecord, includinglengthofservice, 

performanceonthejob, abilitytogetalongwithfellowworkers, anddependability. 

Whentheoffenseinvolvessupervisorymisconduct, thelengthofserviceasasupervisor

ismoreimportantthantotalservicewiththeagency. 

Whenofficialrecordsconcerninganemployee'sperformance (e.g. writtenperformance

appraisals) arecontradictedbyamanager'sstatementsinthenoticeofdecisionorin

testimony, theofficialrecordswillbejudgedmorereliable. 

Disciplinaryactionsoradditionalmisconductoccurringaftertheissuanceoftheadverse

actionproposalmaynotbecitedasapastdisciplinaryrecord, butmaybeusedtoshow

anoverallpoorworkrecord. 
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Positiveactionsbymanagementafterlearningofanemployee'smisconduct (e.g. 

promotingtheemployee; allowingtheemployeetoperformhis/herdutiesforanextended

periodoftime) mayindicatethattheemployee’soverallworkrecordoutweighsor

diminishestheseriousnessoftheoffense. 

5) EffectonFuturePerformance – theeffectoftheoffenseupontheemployee'sability

toperformatasatisfactorylevelanditseffectuponthesupervisor'sconfidenceintheemployee's

abilitytoperformassignedduties. 

Lossoftrustintheemployee'sabilitytoperformassigneddutiesinthefuturemaybe

usedtoenhancethepenalty. 

Offensesdirectlyrelatedtoanemployee'sduties (e.g., falsificationofthesame

documentstheemployeehasresponsibilitytoreview) raiselegitimateconcernsabout

his/herabilitytocontinuetoperformthoseduties. 

Offensesinconsistentwithanemployee'ssupervisoryresponsibilitiescallintoquestion

hisabilitytofunctionasasupervisorinthefuture. 

6) ConsistencywithOtherPenalties – consistencyofthepenaltywiththoseimposed

uponotheremployeesforthesameorsimilaroffenses. 

Managementmaynotknowinglytreatsimilarlysituatedemployeesdifferentlywhen

settingdisciplinarypenalties; tobesimilarlysituated, thecomparisonemployeesmust

workinthesameunitforthesamesupervisor. Whenanemployeeidentifiesadifference

inpenaltiesforthesameoffense, managementmayneedtopresentevidencesupporting

thedifference. 

Thereisnorequirementformanagementtobeabsolutelyconsistentinitspenalty

determinations. Thepriordisciplinaryandworkrecordsofthecomparisonemployees

mayjustifyadifference, andtheunderlyingfactsineachcasemightwarrantdifferent

penalties. 

Whenmanagementhasanestablishedpolicyorpracticetoimposeaparticularpenalty

foranoffense, itcannotbegintouseaharsherpenaltywithoutgivingpriornoticeto

employees. 

7) ConsistencywithTableofPenalties – consistencyofthepenaltywithanyapplicable

agencytableofpenalties. 

Management'sdeparturefromtheagencytableofpenaltiesmaybepermissible; itshould

notapplythetableofpenaltiessorigidlyastoignoreotherDouglasfactors. 

Managementmaytakeamoresevereactionthansuggestedinthetableofpenaltiesfora

firstoffenseiftheemployeehasarecordofprior, unrelatedoffenses. 

8) NotorietyandImpact – thenotorietyoftheoffenseoritsimpactuponthereputation

oftheAgency. 

Publicityoreventhepossibilityofpublicitythatcouldhaveanegativeimpactonthe

reputationoftheagencyisafactorthatmaybeconsideredtoenhanceapenalty. 
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9) ClarityofNotice – theclaritywithwhichtheemployeewasonnoticeofanyrules

thatwereviolatedincommittingtheoffense, orhadbeenwarnedabouttheconductinquestion. 

Whilelackofnoticeoftherulestobefollowedcanbeamitigatingfactor, managementis

undernoobligationtowarnemployeesaboutbehaviortheemployeesshouldknowis

improper. 

Supervisors' ignoringorcondoningcertainbehaviorcanindicatelackofnotice. 

Trainingonagencypoliciesconstitutesnoticeofexpectedbehavior. 

Priormisconductforwhichtheemployeewascounseled, eventhoughtheemployeewas

notformallydisciplined (orwasformallyreprimanded, butthereprimandisnolongerin

effect), canbecitedtoshowanemployeewasonnoticeoftherulestobefollowed. 

10) PotentialforRehabilitation – potentialfortheemployee'srehabilitation. 

Anemployeewhoadmitsmisconductandshowsremorsedisplayspotentialfor

rehabilitation, whileanemployeewhorationalizeshis/herwrongdoing, failstotake

responsibilityordoesn'tshowanunderstandingofwhyhis/herbehaviorwaswrongisnot

agoodcandidateforrehabilitation. 

Lyingduringaninvestigationmaybeviewedasalackofpotentialforrehabilitation. 

Anemployeewhoceasesmisconductafterbeingwarnedmayshowpotentialfor

rehabilitation; however, anemployeewhoshowsimprovementafterreceivinganoticeof

proposedadverseactionisnotparticularlyconvincing. 

AttendingmeetingswithanEAPcounselortodiscusspersonalproblemsmayindicate

potentialforrehabilitation. 

11) MitigatingCircumstances – mitigatingcircumstancessurroundingtheoffense, such

asunusualjobtensions, personalityproblems, mentalimpairment, harassment, orbadfaith, 

maliceorprovocationonthepartofothersinvolvedinthematter. 

Emotionalproblemsandstressmaybemitigatingfactors, buttheremustbesome

evidenceshowingtheproblemscontributedtothemisconduct. 

Stressgenerallyshouldnotbeviewedasamitigatingfactorwhenthemisconduct

involvesillegaldruguse. 

Jobtension, althoughnotamedicalproblem, canbeamitigatingfactor. 

Badfaithonthepartofagencymanagement (e.g., evidencethatmanagementsetoutto

getridof" theemployee) canbeafactorusedtoreducethepenalty. 

Evidencethatthedecidingofficialwaspredisposedagainsttheemployeeisviewedasa

mitigatingfactorbyathirdparty. 

12) AvailabilityofAlternativeSanctions – theadequacyandeffectivenessofalternative

sanctionstodetersuchconductinthefuturebytheemployeeorothers. 

Priorwarningsandreprimandsindicatethatapenaltylessthanremovalwillnotdeterthe

employeefromsimilarmisconductinthefuture. 

Apenaltydesignedprimarilyforitsvalueasanexampleorwarningtootheremployees

likelywillnotbeuphelduponreview, asthirdpartiesgenerallydonotacceptthisasa
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validbasisforpenaltyselection. Apenaltycanbeusedtodeterfuturemisconductby

otheremployees, butthisobjectivedoesnotwarrantoverlookingotherrelevantDouglas

factors. 

Managementdoesnothavetoprovethatthepenaltywastheleastsanctionnecessaryto

promotetheefficiencyoftheserviceorthatitconsideredalternativepenalties. However, 

suchashowingprovidesessentialevidencethatthedecidingofficialconsideredthe

relevantDouglasfactorsandthatthepenaltyisreasonable. 

Notallofthesefactorswillbepertinentineverycase. Frequently, someofthepertinentfactors

willweighintheemployee’sfavorwhileothersmaynot (orevenconstituteaggravatingfactors). 

Selectionofanappropriatepenaltymustinvolvearesponsiblebalancingoftherelevantfactors

inthespecificcase, andinreviewingpenaltyselection, athirdpartywilldeterminewhether

managementconsideredalltherelevantfactorsandexerciseditsdiscretionwithintolerable

limitsofreasonableness. 

Managementneednotdemonstratethatitconsideredallpotentialmitigatingoraggravating

factorsbeforeselectingapenalty, norisitrequiredtospecificallyshowhoweachDouglas factor

appliestoeachcase. Eventhoughthereisnoabsoluterequirementtodoso, itisadvisablefor

managementtospecificallystateinproposal/decisionnoticeswhatfactorsitconsideredinsetting

thepenalty, toavoidconcernsthatrelevantissueswerenotaddressed. Therefore, bothproposing

anddecidingofficialsshouldaddresstheDouglasfactors, aswellasanymitigatingfactors, in

termsoftheirparticularrelevancetopenaltyselection. 

Asageneralrule, aggravatingfactorsusedbymanagementinitspenaltydetermination (e.g., an

employee'spoorworkrecord), shouldbeincludedintheproposalnoticesothattheemployee

hasachancetorespondtothemintheoraland/orwrittenreplies. Inthenoticeofdecision, the

decidingofficialshouldreferencehis/herconsiderationoftheproposingofficial’sDouglas factor

analysisandtheemployee’srelatedresponse(s), beforeexplaininghis/herjudgmentregarding

howtherelevantfactorsservetosupportormitigatetheproposedpenalty. 

APPENDIXB

TABLEOFOFFENSESANDPENALTIES

ThisTableprovidesalistofcommoninfractions, alongwithasuggestedrangeofpenaltiesfor

each; itdoesnotpresumetocoverallpossibleoffenses, nordoesitmandatetheuseofspecific

penaltiesinmostdisciplinarysituations. TherangeofpenaltiesdescribedintheTableis

intendedtoserveasaguidetodiscipline, notarigidstandard, anddeviationsareallowablefora

varietyofreasons. Greaterorlesserpenaltiesthansuggestedmaybeimposedascircumstances

warrant, andbasedonaconsiderationofmitigatingandaggravatingfactors. Management

officialsmustexercisereasonablejudgmentandconsiderallrelevantfactors (asreflectedinthe

guidancefoundatAppendixA) indeterminingthemostappropriatecorrectiveactionforeach

situation. Anypenaltydeterminationoutsidethesuggestedrangeshouldbebasedupona
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reasonableconsiderationofthefactorsdescribedinAppendixA, andtherationaledocumented

inthedecisionnotice. 

TheuseofthisTableasaguidewillhelptoensureappropriatenessofpenaltyinrelationtothe

charge(s), aswellasrelativeconsistencyindisciplinethroughouttheDepartment. Thefactthat

aparticularoffenseisnotlistedintheTabledoesnotmeanthattheemployeecannotbecharged

withthatoffense. Insuchinstances, areasonablepenaltycanbedetermined (withtheassistance

oftheservicingHRO) byacomparisontothoseoffenseslistedintheTable. 

TheTablelistsonlydisciplinaryandadverseactionswhichbecomeamatterofrecordinthe

employee’sOfficialPersonnelFolder; itdoesnotmentionoralwarnings, counselingnotices, and

othercorrectiveactionswhichmaybemoreappropriateforcorrectingminoroffenses. TheFirst

Offensecolumn, therefore, referstothefirstoffenseforwhichadisciplinary/adverseactionis

taken, althoughitmaynotbethefirsttimetheemployeeengagedinmisconduct. 

Progressivelystrongercorrectiveactionsshouldbetakenifanemployeerepeatedlyengagesin

misconduct. Whenanemployeereceivescorrectiveactionforanoffensewhichfallsunderone

rangeofpenalties, andlatercommitsadifferentoffenseunderthesameoranothercategoryof

offense, thelatterisconsideredasecondoffenseforprogressivedisciplinarypurposes. For

example, ifanemployeeischargedwithabsencewithoutleave (AWOL) andisissuedanofficial

reprimand (firstoffense), thenislaterchargedwithinsubordinationforsubsequentmisconduct, 

theappropriatepenaltyrangefortheinsubordinationchargeisa30-daysuspensiontoremoval

asasecondoffense). 

Inadditiontoamanagement-initiatedcorrectiveaction, aDepartmentemployeealsomaybe

subjecttocriminalprosecutionwhenthereisevidenceofapossiblestatutoryviolation; such

evidenceshouldbeprovidedtotheOfficeofInspectorGeneral, whichthenmayreferthematter

totheDepartmentofJusticeforfurtherconsiderationandpossibleprosecution. Ifthe

DepartmentofJusticedeclinestoprosecute, theemployeeinvolvedintheallegedwrongdoing

willthenbesubjecttoanappropriateadministrativeactionconsistentwiththepenalties

containedinthisTable. Anemployeewhohasbeenarrestedandheldforfurtherlegalactionby

amagistratecourt, orindictedbyagrandjuryforanimprisonableoffense, shouldbeindefinitely

suspendedwithoutpaypendingtheoutcomeofthejudicialprocesssoasnottoprejudicethe

employee'srighttodueprocessinthecriminalcase. Iftheemployeepleadsguiltyoris

convicted, theDepartmentmaythenproceedwitharemovalorotherappropriateactioninthe

absenceofaconviction, theindefinitesuspensionshouldend, althoughotheradministrative

actionmaybetaken. 

TheservicingHROmustbeconsultedregardingtheproceduralrequirementstofollowwhen

takingcorrectiveaction. Thisconsultationrequirementincludessecuringadviceonthemeritsof

thecharge(s) andtheappropriatenessandDepartmental-consistencyofthepenaltybeing

proposed. InsituationsinvolvingpossibleviolationsoftheDepartment’sStandardsofEthical

Conduct, supervisors/managersshouldalsoconsultwithabureauEthicsCounselorand/oran

ethicsofficialfromtheOfficeoftheSolicitor, OfficeofEthics. 
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NatureofOffense Penaltyfor Penaltyfor Penaltyfor Remarks

GeneralMisconduct) FirstOffenseSecond Third

Offense Offense

1. Attendance-relatedoffenses. Referto370DM630

forleaverequirements

a. Absencewithoutleave (AWOL). Written 5- to30-day 30-day andguidance. 

Thisincludestardinessand Reprimandto suspension suspension Penaltydepends

unauthorizeddelayinreturningfrom 5-day toremoval primarilyonlength

lunchandbreakperiods, orin suspension andfrequencyof

returningafterleavingworkstationon unacceptable

officialbusiness; unauthorized absences. Removal

departureorabsencefromduty maybeappropriatefor

station. afirstorsecond

offenseiftheabsence

b. Failuretofollowestablished Written 5- to30-day 30-day isprolonged, the

leaveprocedures; failuretoprovide Reprimandto suspension suspension failuretoadhereto

administrativelyacceptable 5-day toremoval leaveproceduresis

documentationtosupportabsence(s). suspension flagrant, orthe

circumstancesare

c. Excessiveunauthorizedabsences 5-day 14-day Removal otherwiseparticularly

e.g., morethan5consecutive suspensionto suspensionto burdensome. 

workdays). removalremoval

2. Improperorunauthorizedreleaseof Referto5USC552a

sensitiveandadministratively- and43CFR2.52for

controlledinformationoremployee PrivacyActprovisions

records; failuretosafeguardclassified regardingthemisuse

material. ofpersonal

information; alsorefer

a. Informationisnotcompromised Written 5- to30-day 30-day to18USC798and18

andreleaseisunintentional. Reprimandto suspension suspension USC1905. 

5-day toremoval Deliberatedisclosures

suspension ofPrivacyAct

informationmustbe

b. Informationiscompromisedand Written 30-day RemovalreferredtoOIG. 

releaseisunintentional. Reprimandto suspensionto

30-day removal

suspension

c. Releaseofrestrictedinformation 30-day Removal

isdeliberate. suspensionto

removal

3. Offensesrelatedtosubstanceabuse. Referto43CFR

20.505, 370DM792, 

a. Alcohol-related Drug-FreeWorkplace

ZeroTolerance) 

1) Reportingtoorbeingonduty Written 5- to30-day 30-day Policy, DOIHandbook

while “undertheinfluence” of Reprimandto suspension suspension ontheDepartmentof

alcohol. 5-day toremoval Transportation
370DM752

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suspension AlcoholandDrug

TestingProgram, and

2) Unauthorizeduseand/or Written 30-day Removal DOIFederalRailroad

possessionofalcoholicbeverages Reprimandto suspension Administration

whileonGovernmentpremises (or 30-day toremoval Supplementfor

vehicle). suspension specificguidance. 

3) OperatingaGovernment 30-day Removal Actionsinvolving

vehicle/aircraftwhile “underthe suspension theseoffensesmust

influence” ofalcohol. toremoval assurethatcounseling

orrehabilitative

assistanceisoffered; 

b. Drug-related however, referraltoan

employeeassistance

1) Administrativelyconfirmed Written Removal program (EAP) does

positivefindingunderthetesting Reprimandto notprecludethe

portionoftheDrug-FreeWorkplace removal initiationofcorrective

Program. action. 

2) Unlawfuluse, beingunderthe Written 30-day Removal Theillegaldrugs

influenceorunauthorizedpossession Reprimandto suspension currentlytestedfor (as

ofdrugs, drugparaphernaliaor removal toremoval definedin370DM

controlledsubstancewhileon 792, Subchapters9 & 

Governmentpremisesorinaduty 10) include: 

status. marijuana, cocaine, 

opiates, amphetamines

3) Saleortransferofanillegaldrug Removal andphencyclidine

orcontrolledsubstancewhileon ( PCP). However, the

Governmentpremises (orvehicle. Departmentis

authorizedtotestfor

4) Refusalorfailuretoprovidea 14-day 30-day Removal anyillegaldrugsas

requiredspecimenfordrug-testing; suspensionto suspensionto deemednecessary. 

tamperingwithadrug-testspecimen; removal removal

refusaltoobtaincounselingor Whenthereis

rehabilitation (afterfindingofillegal possessionofillegal

druguse). drugs - calllaw

enforcementand

notifyOIG. 

Whenthesubstanceis

prescribedbyan

appropriatemedical

authorityandused

accordingly, itwould

notbeanoffense. 

370DM792, 10.12

requiresmandatory

initiationofremoval

fromservicefora

secondoffenseof

failingtorefrainfrom

illegaldruguse. 

4. Discourteousconduct (e.g., rude, Written 5- to30-day 30-day 5USC7503(a) 

insolent, disgracefulactsorremarks) Reprimandto suspensionsuspension permitssuspensionof
370DM752

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towardsupervisors, co-workers, orthe 5-day toremoval 14daysorlessofany

public. suspension employeewithfour

documentedinstances

ofdiscourteous

conducttowardthe

publicwithinaoneyearperiodas

confirmedbyan

immediatesupervisor, 

oranyotherpatternof

discourteousconduct. 

5. Boisterousordisruptive/disorderly Written 5- to30-day 30-day

conduct; useofinsulting, intimidating, Reprimandto suspensionsuspension

abusiveoroffensivelanguagetoor 5-day toremoval

aboutanotheremployeeorsupervisor. suspension

6. Deliberatelymakingknownfalse, Written 14-day 30-day Referto5USC

malicious, orunfoundedstatements Reprimandto suspension suspension 2302(b)(8) and (9), 

againstco-workers, supervisors, removaltoremovaltoremovalprohibitingactions

subordinates, orGovernmentofficials againstemployeesfor

whichcouldunderminetheauthority engaginginprotected

ordamagethereputationofthose activities. 

concerned. 

7. Threateningstatementsorbehavior 14-day Removal Chargeinvolving

ofaphysicalnature). suspension “ threat” mustconsider

toremovalthelistener'sreactions, 

thelistener's

apprehensionofharm, 

thespeaker'sintent, 

anyconditionalnature

ofthestatements, and

theattendant

circumstances – refer

toMetzv. Dept. of

Treasury, 780F.2d

1001 (Fed. Cir. 1986). 

8. Fightingandoffensesrelatedto Penaltydependson

fighting. suchfactorsas

provocation, extentof

a. Engaginginpotentially Written 14-day 30-day injuries, andwhether

dangerous “horseplay.” Reprimandto suspension suspension actionsweredefensive

14-day toremoval toremoval oroffensiveinnature. 

suspension

b. Hitting, pushing, orotheracts 5- to30-day 30-day Removal

againstanotherwithoutcausing suspension suspension

injury. toremoval

c. Hitting, pushing, orotheracts 30-day Removal

againstanothercausinginjury. suspension

toremoval
370DM752

Page24of29

9. Misconductofasexualnaturethat Written 14- day Removal Refertothe

includes, butisnotlimitedto, Reprimandto suspension Department’sZero

unwelcomesexualremarks, indecent removal toremoval TolerancePolicy; 

comments/jokes, offensivesexual penaltymayinclude

banter, unwantedsexualadvances, or mandatorytraining. 

unwelcomephysicaltouching. Moreseverediscipline

isappropriatefor

egregiousmisconduct. 

10. Failuretoprovideequal Written 14-day Removal Referto5CFR

opportunityregardlessofrace, color, Reprimandto suspensionto 2635.101(13). 

religion, gender, nationalorigin, age, removal removal

maritalstatus, politicalaffiliation, 

sexualorientationorhandicapping

condition. 

11. Unauthorizedpossession/sale Written 14-day 30-day ReferraltoOIGmay

actualorattempted) ofGovernment Reprimandto suspensionto suspension beappropriate. 

propertyorpropertyofothers; removalremovaltoremoval

improperacceptanceofGovernment

funds/reimbursement. 

12. Loss, misuseof, damagetoor Written 14- to30-day 30-day Referto5CFR

failuretosafeguardGovernment Reprimandto suspensionsuspension 2635.101(9). For

property, records, orinformation (e.g., 14-day toremovalmisuseofGovernment

willfulornegligentdamageto suspensionvehicles, seeitem5

Governmentresources; carelessnessin underViolationsof

performanceofdutyresultinginwaste Statute. 

ofpublicfunds). ReferraltoOIGmay

beappropriate. 

13. Failuretocomplywithsafety Written 14- to30-day 30-day

regulations, instructionsorprescribed Reprimandto suspensionsuspension

safepractices; failuretouseproper14-day toremoval

safetyequipment; failuretoreport suspension

accidentorinjury. 

14. Sleepingorloafingwhileonduty; Written 5- to14-day 14-day Seriousnessofoffense

inattentiontoduty; willfulidleness Reprimandto suspensionsuspension isgreaterif

whileonduty. 5-day toremovalpersons/property

suspensionendangered. 

15. Failureordelayincarryingout Written 14- to30-day 30-day Referto370DM430

instructions; failureorcarelessness in Reprimandto suspensionsuspension todealwith

performingassignedwork; failureto 14-day toremovalunacceptable

take/completeofficially-directedsuspensionperformanceand

training. performance-based

actions. 

16. Insubordination; disregardof 5-day 30-day Removal Referto43CFR

directive; refusalto suspension suspension 20.502. An

complywithaproperorder. toremovaltoremoval“ insubordination” 

chargerequiresa

showingthatthe
370DM752

Page25of29

employeedeliberately

disregarded

supervisorydirectives. 

Insomeinstances

e.g., refusaltoreport

foranordered

reassignment) removal

maybeappropriate. 

17. Falsification/misrepresentationof Written 30-day Removal Referto43CFR

officialGovernmentrecordsor Reprimandto suspension 20.510. 

documentsincluding, butnotlimited removaltoremoval

to, timeandattendancerecords, travel ReferraltoOIGmay

vouchers, jobapplications, beappropriate. 

performanceappraisals, claimsfor

benefits, andotheremploymentrelateddocuments. 

18. Misrepresentation, falsification, 14-day 30-day Removal Referto43CFR

exaggeration, concealmentor suspension suspension 20.510. 

withholdingofmaterialfactin toremovaltoremoval

connectionwithanofficial ReferraltoOIGmay

Governmentinvestigation, inquiryor beappropriate. 

otheradministrativeproceeding. 

19. Refusaltotestifyorcooperatein 5-day 14-day 30-day

connectionwithanyadministrative suspension suspension suspension

investigation, inquiry, orotherproper toremovaltoremovaltoremoval

proceeding (whencriminalchargesare

notanticipated). 

20. Prohibited/improperuseof Written 14- to30-day 30-day Referto5CFR

Governmentproperty (e.g., office Reprimandto suspension suspension 2635.704and705(a); 

equipment; supplies; facilities; 14-day toremoval410DM2 (Limited

credentials; records; communication suspension Moresevere PersonalUseof

resources; cellularphones; official discipline GovernmentPersonal

time); misuseoftheInternet/electronic Moresevere ( including Property). Consider

mail; usingtheInternet/electronicmail discipline removal) may issueofemployee

forunauthorizedpurposes. ( including beappropriate noticeregarding

removal) may for agencypolicy. 

beappropriate first/second

for offenseif

first/second misconduct

offenseif involvesusing

misconduct the

involvesusing Department’s

the Internet/electr

Department’s onicmail

Internet/electrsystemfor

onicmail prohibited

systemfor reasons, 

prohibited including

reasons, gambling, 

including accessing/send
370DM752

Page26of29

gambling, ingprohibited

accessing/sensexuallyding related

prohibited material, or

sexually- other

related egregiousacts

material, or ofmisuse. 

other

egregiousacts

ofmisuse. 

21. Offensesrelatedtogambling. Referto5CFR

735.201. 

a. Participatinginagambling Written 14- to30-day 30-day

activitywhileonGovernment Reprimandto suspension suspension

premisesorinadutystatus (e.g., 14-day toremoval

officepools). suspension

b. Operating, assisting, orpromoting 5- to30-day 30-day Removal

agamblingactivitywhileon suspension suspension

Governmentpremisesorinaduty toremoval

statusorwhileothersinvolvedareina

dutystatus. 

22. Indebtedness; failuretomeet Written 5- to14-day 14-day Referto5CFR

financialobligationsinaproperand Reprimandto suspensionsuspension 2635.809. Actionable

timelymanner. 5-day toremovalifthereisanexus

suspensionbetweenthefailureto

payandtheefficiency

oftheservice. Sincea

suspensionmay

reduceanemployee's

abilitytopayoverdue

financialobligations, a

reprimandmaybe

moreappropriatefora

firstoffense (more

severedisciplinemay

beappropriatefor

subsequentoffenses). 

Specialcareiscalled

forindealingwiththis

typeofoffense, asit

mayinvolve

mitigating

circumstances. 

23. OffensesrelatedtoGovernment RefertoFinancial

travelchargecardand/orpurchase Administration

card. Memorandum (FAM) 

2000-010forfurther

a. Misuseoftravelcard (i.e., Written5-day 30-day informationand

personal/unauthorizedpurchases) or Reprimandto suspensionto suspension instructionson
370DM752

Page27of29

delinquentinpayment. 30-day removal toremoval Resolving

suspension Delinquencieson

Individually-billed

b. Misuseoftravelcard (i.e., 5- to30-day 14-day Removal TravelCardAccounts, 

personal/unauthorizedpurchases) and suspension suspension andtheDepartment’s

delinquentinpayment. toremoval IntegratedCharge

CardProgramGuide

revised4/2004). 

c. Unauthorizeduseoforfailureto Written 14-day Removal

appropriatelymonitoruseof Reprimandto suspensionto

Governmentpurchasecard; “micro- 30-day removal

purchasing” violations. suspension

24. Carryingafirearmorother 30-day Removal Referto43CFR

weapononGovernmentproperty (or suspension 20.511. 

inGovernmentvehicle)unless toremoval

specificallyauthorized/requiredinthe

performanceofduties. 

25. Usingpublicofficeforprivate 5-day Removal Referto5CFR

gain. suspension 2635.702. 

toremoval

26. Engagingin Written 5- to14-day 14-day Referto5CFR

unauthorized/prohibitedselling, Reprimandto suspensionsuspension 2635.808. 

solicitingorfundraisingactivities. 5-day toremoval

suspension

27. Engaginginprohibitedoutside Written Removal Referto5CFR

employmentorprivatebusiness Reprimandto 3501.105. 

activities. removal

28. Participatinginparticularmatters 5-day Removal Referto5CFR

whilehavingaconflictingfinancial suspension 2635.401. 

interest. toremoval

ConsultEthicsOffice

andmayrequire

referraltoOIG. See

18USC208. 

29. Participatinginmattersaffecting 5-day Removal Referto5CFR

financialinterestsofanentitywhere suspension 2635.601. 

employmentisbeingsought. toremoval

ConsultEthicsOffice

andmayrequire

referraltoOIG. See

18USC208. 

30. ViolatingtheDepartment’sCode Written 30-day Removal Referto305DM3. 

ofScientificConduct (orother Reprimandto suspension to

professionalcodeofconductthat 30-day removal

appliestoemployeesrequiredto suspension

maintainaprofessionallicenseor

membership). 
370DM752

Page28of29

31. ViolatingtheStandardsofEthical Written 14-day Removal Referto5CFR2635. 

Conductnotcoveredelsewhereinthis Reprimandto suspension to

Table. removalremoval

32. Unauthorizeduseofnonpublic Written Removal Referto5CFR

information. Reprimandto 2635.703. 

removal

33. Engaging (on-dutyoroff-duty) in 5-day 30-day Removal Referto43CFR

criminal, infamous, dishonest, or suspension suspension 20.501. 

notoriouslydisgracefulconduct toremovaltoremoval

prejudicialtotheGovernment. 

NatureofOffense Penaltyfor Penaltyfor Penaltyfor Remarks

SupervisoryMisconduct) FirstOffense Second Third

Offense Offense

1. Taking, directingotherstotake, 5-day 14-day Removal Referto5USC2302, 

recommendingorapprovingany suspensionto suspension 5CFR2635.101(13), 

actionwhichmaybeconsidereda removaltoremovalandrelated

prohibitedpersonnelpractice” (e.g., Departmentpolicies. 

reprisalagainstanemployeefor Actionmaybetaken

engaginginprotectedactivities; regardlessofwhether

discriminationbasedonrace, color, therewasanofficial

gender, age, religion, nationalorigin, “ finding” of

maritalstatus, politicalaffiliation, discrimination (or

sexualorientationorhandicapping otherprohibited

condition). personnelpractice). 

2. Takingreprisalactionagainstan 5- to30-day 14-day Removal Referto5USC, 

employeeforexercisingrights suspensionsuspension Chapter71. 

providedbytheFederalService toremoval

Labor-ManagementRelationsStatute. 

3. Neglectingtorecommend/take Written 14-day Removal

correctiveactionuponreceiptof Reprimandto suspension

informationregardingthejob-related 30-day toremoval

misconductofasubordinate suspension

employee. 

4. Failuretoappropriatelymonitor Written 14-day Removal

employeeuseofGovernment Reprimandto suspension

purchase/travelchargecard. 14-day toremoval

suspension

5. Misconductofasexualnaturethat 5-day 14-day Removal Refertothe

includes, butisnotlimitedto, suspensionto suspensionto Department’sZero

unwelcomesexualremarks, indecent removal removal TolerancePolicy; 

comments/jokes, offensivesexual penaltymayinclude

banter, unwantedsexualadvances, or mandatorytraining. 

unwelcomephysicaltouching. Moreseverediscipline

isappropriatefor

egregiousmisconduct. 
370DM752

Page29of29

6. Influencingorattemptingto 5- to30-day 14-day Removal Referto5USC3110. 

influencetheDOIemploymentofa suspensionsuspension

relative. toremoval

7. Violating, orinducingasubordinate 5-day Removal Removal Referto305DM3. 

toviolate, theDepartment’sCodeof suspensionto

ScientificConduct (orother removal

profession’sCodeofEthical

Conduct). 

8. UsingGovernmentemployeesin Written 14-day 30-day Referto5CFR

dutystatusforotherthanofficial Reprimandto suspension suspension 2635.705(b). 

purposes. removaltoremovaltoremoval

NatureofOffense Penaltyfor Penaltyfor Penaltyfor Remarks

ViolationsofStatute) FirstOffenseSecond Third

Offense Offense

1. Engaginginprohibitedpartisan 30-day Removal Referto5USC, 

politicalactivity (e.g., partisan suspensionto Sections7321-7326. 

campaigning; soliciting/receiving removal

politicalcontributions). 

2. Participatinginastrike, work 30-day Removal Referto5USC7311. 

stoppage, workslowdown, sick-out, or suspension

othersimilarjobaction. toremoval

3. Misappropriating/misapplying 1- to30-day 30-day Removal Referto31USC1301, 

Governmentfunds; directing, suspensionsuspension 1341and1349. 

expecting, orrenderingservicesnot toremoval

coveredbyappropriations. 

4. Willfullymutilatingordestroyinga Removal Referto18USC2071. 

publicrecord. 

5. Willfullyusingorauthorizingthe 30-day Removal Referto31USC1344

useofaGovernmentvehicle/aircraft suspension and1349. 

forotherthanofficialpurposes. toremoval

6. Engaginginactionsagainstnational 30-day Removal Referto5USC7532. 

security. suspensionto

removal

12/22/06 #3738

Replaces3/29/06 #3705