table of penalties douglas factors23 Apr table of penalties douglas factors
The Douglas Factors The Merit Systems Protection Board in its landmark decision, Douglas vs. Veterans Administration, 5 MSPR 280, established criteria that supervisors must consider in . Explanation, if relevant: (6) Consistency of the penalty with those imposed upon other employees for the same or similar offenses. Starr Wright USA is the nations leading provider of FEPLI. Agency's table of penalties recognizes this severity in establishing ranges of penalties for If the offense is related to duties that are at the heart of an employees position, penalties may be more severe. 1 Lisiecki v. Merit Systems Protection Board, 769 F.2d 1558, 1567 (Fed. . The Douglas Factors should be considered in selecting a penalty. Sample: Specification #1. Factor 7: Consistency of the penalty with any applicable agency table of penalties. If that clerk is thencaught stealing from another employee or scalping a few dollars off of each days transactions, that would clearly call in to question his ability to perform as a clerkgoing forward. For instance, if an employee who works in finance is caught stealing, their supervisor may no longer trust them to handle money. If, for example, management had sent a memo to all employees explaining the rules and potential discipline for the personal use ofoffice supplies and then two weeks later your took three reams of paper and a stapler home with you, management would have a strong argument that you were on notice and still engaged in the misconduct. The Table of Penalties in the Departmental Manual (370 DM 752) provides a non-exhaustive list of types of misconduct for which the Agency can discipline employees. Relevant? Many agencies have tables of penalties and offenses that list common offenses and their typical discipline ranges. % Yes___ No____An employee's length of service and prior work record must be evaluated and be balanced against the seriousness of the offense. The Douglas factors are also referred to as mitigating factors. So, if they have been convicted of violating the law, say stealing, this factor will likely cut against them and lead to a more severe penalty. unless application of the Douglas factors supports a penalty outside that range or if a statutory penalty applies such as willful misuse of a Government vehicle. For this Douglas factor there are a number of ways in which to argue that a reduced penalty would serve the same purpose as something more serious (e.g. 5 Douglas v. Veterans Administration, 5 M.S.P.R. 5'@ (Vl]\W[w:R`u>l/;EVj@n~: `;)v O Qf$CA| )cPp0cP?l1#`:}6X93q/r@ Oc2H))!Y6I $ (P The idea is that discipline is meantto be corrective and progressive. The use of a federal employees past disciplinary record is one of the more commonly cited Douglas factors. After you have this list it should become pretty clear to you which Douglas Factors you want to focus on with management. Douglas factor issues vary significantly from case to case and federal employees should consult with an attorney who is knowledgeable about these issues prior to responding to a proposed disciplinary action or filing an appeal with the MSPB. However, it is important to argue this Douglas factor where a prior federal employee case of a similar nature resulted in a lower disciplinary penalty. Loss of supervisory confidence as a Douglas factor is typically used by Federal agencies in serious disciplinary / adverse actions to issue a more serious disciplinary penalty. Determine an experienced a table of penalties douglas factors and ends with childishness rather than intentional or reasons, agencies should not have successfully. Let me give you an example. But you know one of your colleagues has recently missed a deadline of similar importance and was only issued a letter of reprimand. This Douglas factor generally refers to the connection between the seriousness of the allegation and the position that a federal employee holds. The nature and seriousness of the offense, and its relationship to the employee's . Relevant? In that case, the Merit Systems Protection Board (MSPB) set forth 12 factors that should be considered when evaluating the reasonableness of a disciplinary penalty for a federal employee. Tables of Penalties are guidelines that work in conjunction with the criteria supervisors use to determine appropriate penalties for misconduct, called the Douglas Factors.1 They do not specify mandatory discipline.2 Tables of Penalties also do not apply to contractors, and each agency has discretion as to which employees the Table will apply. Explanation, if relevant: (5) The effect of the offense upon the employee's ability to perform at a satisfactory level and its effect upon supervisors' confidence in the employee's ability to perform assigned duties. 2 It cannot be doubted, and no one disputes, that the Civil Service Commission was vested with and exercised authority to mitigate penalties imposed by employing agencies. Plaza America Sample 1: I have attached the material relied on to support this proposed removal. Please designate your representative, if any, by name, address, position, and employer in a signed statement, and forward that statement to (Deciding Official's Name) at the above stated address, before the expiration of the reply period. endstream endobj startxref This is a very fact specific factor and will depend on the managers opinion as much as the employees misconduct. 1999); see Gaines v. Department of the Air Force, 94 M.S.P.R. The rules for determining the penalty, and the ability of MSPB to review that penalty, depend on the statute being used by the agency to authorize the adverse action. Explanation, if relevant: (12) The adequacy and effectiveness of alternative sanctions to deter such conduct in the future by the employee or others.Relevant? For example, an allegation of dishonesty would be treated . ______________________________ __________________ (Name) (Date) Sample: If employee cannot be reached personally at the time of the proposal: I certify that I sent this proposed action to (Employees Name and address) on (Date) by both certified and express mail. Any personal issues going on around the time of the misconduct should be brought to the attention of management. Only those Douglas Factors relevant to each case need be considered. Note: The above misconduct could be the basis for two separate charges, Unauthorized Absence and Failure to Call in an Absence as Required by Agency Policy. Note. What if I do not agree with managements analysisof a specific Douglas Factor? For example, where a federal employee has been placed in an unpaid suspension over the course of several months while an investigation was pending, we would argue that this should be considered as part of the penalty served so that the ultimate penalty issued should be reduced. This Factor takes mitigating circumstances into account. A competent attorney canhelp you lower your discipline at the early stages of process all together avoiding the expense of litigating your case later. The first time an employee is If you present evidence to management that you are enrolled in AA and also let managementknow you are willing to agree to provide evidence of your continued attendance or proof you are engaged in other counseling, management may find that satisfactory on its own. The notoriety of the offense or its impact upon the reputation of the Agency; 9 . Managers should contact the OIG or law enforcement where criminal conduct is suspected or alleged. @$0$6dd{8Q$AUzw43X!_>=+mi!d+iy+bn%'P Tj[Q9BoVbHBUL8c X>S[ bT@ `-' , 8Z7K2 (,B(AfZ 1.1 The twelve keys to the outcome of your discipline case 1.2 Background - Source of The Douglas Factors 1.3 The Douglas Factors 1.4 Analysis and Explanation of each Douglas Factor How does action taken promote the efficiency of the service? On the surface, many incidents of misconduct may seem to be similar. Managers must take an employees propensity for rehabilitation into account. Management must issue a notice of the proposed adverse action, setting forth the charged misconduct and the specifications supporting the charge. 2278 0 obj <>stream Remember, there is only one absolute penalty, which can be given without a Douglas analysis - the 30-day suspension required under law for misuse of a government vehicle. The Douglas Factors include: The nature and seriousness of the offense, and its relation to the employee's duties, position, and responsibilities, including whether the offense was intentional or technical or inadvertent, or was committed maliciously or for gain, or was frequently repeated. The first factor looks at the severity of the misconduct and how itrelates to the position the employee has. affidavits, performance ratings, SF-50s, letters of commendation) for the record. Managers must apply penalties that are similar to those imposed in like cases. Your absence was not approved by your supervisor. Factor 7: "Consistency of the penalty with any applicable agency table of penalties" . Additionally, you have the right to pick a representative of your choosing should you not have union assistance available to you, or you wish to hire a different a representative. Berry & Berry, PLLCrepresents federal employees in these types of federal employment matters and can be contacted at (703) 668-0070 or www.berrylegal.com to arrange for an initial consultation regarding Douglas factor and other federal employment issues. Visit WrightUSA.com to start your policy! After reading this guide, if you want to read further on the topic of federal employee discipline, you mayfind our guide toMSPB and discipline cases helpful. The ranges of penalties shown in the Table are those that are considered to be most typical for offenses of the nature indicated. Can an employee take responsibility, correct their behavior and come back to the job? Generally, this argument is used by a federal employee to support a reduction in penalty based on their good record of service to their agency (e.g. endobj This factor is one of the least significant of the Douglas Factors and is usually considered as aggravating. An example of a mitigating factor would be having no prior discipline in a 20 year federal career when applying Douglas Factors #3 and #4. Douglas factors can be used as mitigating or aggravating factors so it is important to fully understand the application of both types of legal arguments. This factor deserves some detailed explanation since it is one of the less self-apparentof the factors. If an employee was experiencing stressful situations such as a mental health issue, divorce or a death in the family that contributed to the offense, they may present those and ask for leniency. \3zn8SJOkRL8=/q1qRZjwBKoL `3e8Zg-?3L#wX|1P)3|\gbi nLY~@WTRSRIG. Only relevant factors must be included. EachDouglas Factor can work for or against an employee depending on their specific case. <>/ExtGState<>/ProcSet[/PDF/Text/ImageB/ImageC/ImageI] >>/Annots[ 15 0 R 16 0 R 17 0 R 18 0 R 19 0 R 20 0 R 21 0 R 22 0 R 23 0 R 24 0 R 25 0 R 26 0 R 27 0 R 28 0 R 34 0 R 35 0 R 36 0 R] /MediaBox[ 0 0 612 792] /Contents 4 0 R/Group<>/Tabs/S/StructParents 0>> A big question managers have to ask themselves is: after the misconduct that has occurred can I confidently bring the employee back? Table 1-1: Table of Penalties for Various Offenses The following Table of Penalties is found in Army Regulations Online: AR 690-700, Chapter 751. In many cases, managers act as deciding officials in discipline cases. rDA(dCpY0!G8#rDA(9un\##HH_|?;y.?yA>1i|e,Q}ptWS8?/Gz The fifth Factor relates to an employees ability to do their job relative to the specific offense committed. If you were going through a divorce, your child was hospitalized, or a family member had passed away, you should be explaining these mitigating factors to management. In that case, the Merit Systems Protection Board laid outthe twelve factors that need to be considered in any federal employees discipline case. Bk|8AAoq':#@-zSs)@yFAaH=p.GNXQKAr{D$Xjuk.ku u4RunO|zSp :*NPS0EI]9w]qk.9r>?^|xPG/~A}zI}Nw/o~SBE4*8VT?icyyrl9/srOW#L9}%N%NN}L;=+xoiE94f}9qnF~{15 PxBOGy:#/ 280, 305-06 (1981). Usually, the root cause of different treatment in terms of disciplinary penalties tends to be favoritism by the Agency between different federal employees. Your unauthorized absence cannot be tolerated because Agency supervisors, managers must be able to plan your work and rely on you to be available. Douglas Factors In Depth The Merit Systems Protection Board in its landmark decision, Douglas vs. Veterans Administration, 5 MSPR 280, established criteria that supervisors must consider in determining . These factors are used to argue that disciplinary charges for federal employees, even if true, should still result in a lower penalty than the one proposed. hmo0 U6S!)Mh~wP`B|)ZAp!= xCKno:Phj-bXJbAw,,M]KO2]fka8c iGusuOIt XG.2o*XYa&5'0>lw,Utr;(}s]6rqGp_g5>G7eucOL_>& Yet surprisingly, most non-managerial federal employees have no knowledge of these important factors until they themselves are facing discipline.
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