table of penalties douglas factors

We often use this Douglas factor to illustrate personality conflicts in issuing proposed discipline by the proposing official or harassment by others in the workplace which led to the proposed discipline against a federal employee. Factor 12: The adequacy and effectiveness of alternative sanctions to deter such conduct in the future by the employee or others. This Douglas factor is one of the most often used arguments our firm uses in support of mitigation of a disciplinary penalty. Typically, this factor is used by an agency to support an increase in the proposed disciplinary penalty. Reviewing thesetwelve factors in a vacuum is not useful to you as an employee, or tomanagers who are trying to make a decision about a specific disciplinarycase. <> consistency of the penalty with any applicable agency table of penalties; (8) the notoriety of the offense or its impact upon the . 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. Additionally statements from managers or co-workers as to your ability and integrity will be helpful. Note. removal). It reduces maximum penalties for offenses like murders and other homicides; armed armed home invasion burglaries; armed armed carjackings, as I mentioned; armed robberies; unlawful gun . Managers should also take into account past service in the armed forces or other government employment, as well as positive reviews from past supervisors or co-workers. Cir. The 12 Worst Types Table Of Penalties Douglas Factors Accounts You Follow on Twitter 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. %PDF-1.5 If they refuse, your only recourse may be arguing your adverse action before the Merit Systems Protection Board (MSPB). Many agencies have tables of penalties and offenses that list common offenses and their typical discipline ranges. 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. Also any awards or accolades the employee has would be mitigating in nature. In short: if youre facing removal leveraging the 12 Douglas Factors the right way could save your job. As a general rule, the more negative publicity caused by an offense, the harsher the discipline. This Factor takes mitigating circumstances into account. Your absence was not approved by your supervisor. As these factors play a key role in disciplinary cases, understanding how they work can help implement fair and effective penalties. If the person signed for receipt of the letter include that information. Factor 4: The employees past work record, including length of service, performance on the job, ability to get along with fellow workers, and dependability. Explanation, if relevant: (4) The employee's past work record, including length of service, performance on the job, ability to get along with fellow workers, and dependability.Relevant? If an employee is unwilling to even take responsibility for their actions, how can a manager be confident they will be rehabilitated after they are disciplined? To some extent, this is a subjective question. The Douglas Factors: Disciplining employees is a fact of life. If you follow this guide, and focus on the factors that support your position, and provide credible evidence in support of your points, you will have gone a long way towards lowering the amountdiscipline you will receive. If the action is less than a removal, add: Further misconduct on your part may result in disciplinary action up to and including removal from your position and from Federal service. Generally, this factor comes into play when an employees alleged misconduct has been reported by the media (press or television). A familiarity with the Douglas Factors will help managers understand the analysis they must undertake when making disciplinary decisions. A manager is much more likely to mitigate the discipline of an employee who admits wrongdoing but is honest and apologetic then they will foran employee who tries to deny misconduct and appears dishonest or unapologetic. Your misconduct adversely affected not only the work you were assigned but required that your coworkers perform your duties as well taking time away from their assigned work. When our firm prepares an appeal to the MSPB for a client or in a case before a deciding official at the proposal stage it is important to set forth any and all mitigating factors that might be applicable to a federal employees case. Note that: accruing multiple instances of discipline can lead you on the fast track to removal from federal service. hmo0 U6S!)Mh~wP`B|)ZAp!= xCKno:Phj-bXJbAw,,M]KO2]fka8c iGusuOIt XG.2o*XYa&5'0>lw,Utr;(}s]6rqGp_g5>G7eucOL_>& Management must issue a notice of the proposed adverse action, setting forth the charged misconduct and the specifications supporting the charge. 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. In contrast, an employee with multiple priorcases of discipline is likely to face a much greater amount of discipline owing to that factor alone. %%EOF Your written reply and any evidence should be sent to the Deciding Official, (Deciding Official's Name), (Deciding Official's Title). In the case of Douglas vs. Veterans Administration, 5 MSPR 280 (1981), the . 280, 302 (1981). Additionally, this factor looks at intent. If you can present concrete and credible evidence of such mitigating factors, it will go a long way to helping your cause. 1999). For instance, if an employee has committed misconduct but fully discloses his or her actions prior to an investigator finding out about the misconduct, this can be deemed to be a significant mitigating factor. In that case, the Merit Systems Protection Board laid outthe twelve factors that need to be considered in any federal employees discipline case. Internal Control Evaluation, page 21 . See Douglas v. Veterans Administration, 5 M.S.P.R. The FAA's Table of Penalties recognizes the use of dissimilar offenses in prior discipline in determining the penalty. For the employee, how you articulate and present the facts of yourcase greatly affect how management applies the Douglas Factors. Factors considered are the employee's job level and the type of employment that may include a supervisory or fiduciary role, contacts with the public, and prominence of the position. Nor can it be doubted that the federal courts have regarded that authority as properly within the Commissions power. Douglas v. Veterans Administration, 5 M.S.P.R. If intentional, malicious misconduct, repeated offenses, or misconduct undertaken for personal gain may incur harsher penalties. Therefore, I am proposing your removal from the Federal service to promote the efficiency of the service. 2011); Stone v. Federal Deposit Insurance Corporation, 179 F.3d 1368, 1376 (Fed. The Douglas Factors: What You Need to Know - Medium When an employee with a high level of trust and authority violates regulations, they generally face harsher penalties. Cir. The fifth Factor relates to an employees ability to do their job relative to the specific offense committed. EachDouglas Factor can work for or against an employee depending on their specific case. 280 (1981), the following factors may influence the decision as to whether any formal disciplinary action should be imposed at all, or whether such action might be less severe (mitigating) or more severe (aggravating) than the typical range shown in the Table of Offenses and Penalties. Whether you use two charges in this case will depend upon the evidence available. xfg! This Douglas factor is one of the most often used arguments our firm uses in support of mitigation of a disciplinary penalty. %PDF-1.5 % 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. Usually, the root cause of different treatment in terms of disciplinary penalties tends to be favoritism by the Agency between different federal employees. This means you should provide objective facts to support your arguments if you can. This Douglas factor also looks at whether an allegation is part of a pattern of similar conduct (repeat offense) and whether the actions at issue were intentional or a mistake. 11.Representation Paragraph(s): Sample: You have the right to be represented by an attorney or any other individual of your choice provided such representation does not constitute a conflict or an apparent conflict of interest with your representatives duties. This Douglas factor generally refers to the connection between the seriousness of the allegation and the position that a federal employee holds. This is a very fact specific factor and will depend on the managers opinion as much as the employees misconduct. Under the sixth Factor, the workers should receive similar penalties, rather than one getting fired and one receiving a written warning. However, the seriousness of the offense and an evaluation of other Douglas Factors may outweigh an employee's positive work record. 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. If not, include delivery confirmation by the postal or delivery service. 9 Ward v. U.S. At the MSPB, you, or an attorney you hire, will argue your case and present evidence related to the Douglas Factors analysis. Yes___ No____In order to use prior discipline as a basis to enhance a current penalty, three criteria must be met. The twelve factors, as determined by the Merit Systems Protection Board, that must be considered in any federal employees discipline case are: Now, lets take a closer look at each factor individually. Information provided is for educational purposes only, please consult with a licensed attorney before taking any action. PDF The Douglas Factors - United States Office of Personnel Management As a result, it is very important for a federal employee to argue all applicable Douglas factors, and provide documentary evidence (e.g. We generally find that it is important to actually make sure that a proposed disciplinary action or a sustained final penalty has been listed appropriately under the agencys table of penalties. Reprimand Removal 14 days Removal Removal Alcohol and Drug Related 23. The Douglas factors originate from the case of Douglas v. VA, 5 MSPR 280, 5 MSPB 313 (1981). If you want you can download and read the fullDouglas v. V.A. Explanation, if relevant: (12) The adequacy and effectiveness of alternative sanctions to deter such conduct in the future by the employee or others.Relevant? 1X-dr{ydhJZ*5?wZ?k-pmM\*smd!4[36i7V|h@n The first time an employee is Douglas Factors in Federal Employment - InformedFED If you wish to explore legal representation, please call our office or use this form to inquire about our consultation process. <> PDF NASA DESK GUIDE FOR TABLE OF DISCIPLINARY OFFENSES AND PENALTIES Version 3 Deviation from the guide is allowed but going beyond or outside the penalty recommended in the table will be closely scrutinized. Yes___ No____This factor is one of the more technically difficult to apply. You will be notified in writing of the final decision. 1999) (holding that the Board inherited mitigation authority in misconduct actions from the old Civil Service Commission). The first Douglas factor, nature and seriousness of the offense, generally refers to the connection between the seriousness of the allegation and the position that an individual federal employee holds. The following relevant factors must be considered in determining the severity of the discipline: (1) The nature and seriousness of the offense, and its relation to the employee's . Such cases call into question an employees ability to perform their specific job duties with integrity. The factors may mitigate or aggravate (1) 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.Relevant? In cases of federal employee misconduct, each of these factors must be considered by those who are tasked with determining an appropriate penalty. Determining the Penalty - United States Merit Systems Protection Board The following is a list of 12 Douglas factors that must be taken into consideration and explanations as to how they can apply to federal employee cases. Explanation, if relevant: (2) The employee's job level and type of employment, including supervisory or fiduciary role, contacts with the public, and prominence of the position. @b o $&F Sq70 # However, despite the importance of these criteria, many employees arent familiar with them. The right to answer orally does not include the right to a formal hearing with examination of witnesses. Sample: If you need assistance in dealing with any personal matters, the Employee Assistance Program (EAP) is available to provide confidential counseling services. That is why its important to use these factors to analyze the facts of each individualcasewhere the rubber hits the road. It is important to rebut these issues in a Douglas factor defense. The Douglas factors are critical for federal employees facing a pending disciplinary action or for those at the MSPB on appeal. Moreover, I believe most, if not all, of the employees involved were removed or resigned from federal service. Yes___ No____Potential for rehabilitation can be both a major aggravating and mitigating factor. Yes___ No____The notoriety of an offense or its impact on the reputation on the Agency is usually directly related to the seriousness of the misconduct and/or prominence of the employee's position. A Table of Penalties is a list of . Factor: Consistency with table of penalties 2. Your unauthorized absence required other employees to be responsible for accomplishing your work on the days you were absence. PDF The Douglas Factors - Energy Douglas Factors - Postal Reporter [;C;@){ :@H- - 3VLL L.L.q^h8N),H3q30 ( Offenses related to intoxicants. For example, lets say you are arguing that there aremitigating factors present in your case (factor #11) because your child was hospitalized for a full month leading up to your misconduct. This Douglas factor can be extremely helpful for purposes of mitigation where a federal employee has continued to work successfully in their normal position (i.e., not placed in light duty or administrative leave), over an extended period of time, after the underlying allegation has occurred. 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 . Other times, when there are medical issues related to the offense we can use this argument to attempt to mitigate the proposed penalty. 280, 290 (1981). Federal government websites often end in .gov or .mil. Many federal agencies maintain tables of penalties that detail discipline options for common offenses. ^K[i>P+hvSbfpNK"ly(O$qUGI']}Oy"VF>arP,NHD'9Ets/'n[?e>?=}2~H8\pa^j[u})Uq,mE?}EUWY O\[!ehbL% Sy wmdbwE,\VEwZXjy-$DG>[xmb[9O+gwY.qGVP5r#0av#a.vv_cvqWrbeEnL)?:9!!49 @h=bk8;&j. There are certain standards of behavior and conduct expected of employees by our external and internal customers. Those in positions of higher levels of trust and authority, such as supervisors, are held to a greater level of accountability than those in non-supervisory positions. When looking for an attorney make sure they have experience handling federal-sector employment cases. The range of penalties described in the Table is intended to serve as a guide to discipline, not a rigid standard, and deviations are allowable for a variety of reasons. <>>> The following relevant factors must be considered in determining the severity of the discipline: (1) The nature and seriousness of the offense, and its relation to the employee's . 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. Relevant? You should not list a factor unless it is relevant. If youre a law enforcement officer and you have been convicted of assault it is likely that your supervisor will lack confidence in your ability to follow and enforce lawswhich cuts to the very core of your duties as a law enforcement officer. Yes___ No____Unusual job tensions, personality problems, mental impairment, harassment, or bad faith, malice, or provocation on the part of others involved in an incident are mitigating circumstances that should be reviewed. PDF Committee on Oversight and Government Reform U.S. House of The Douglas factors 8. If you have been disciplined before you will face harsher discipline going forward. 72 0 obj <>stream Other times it may mean providing some evidence to management to further support your position. The Douglas Factors - United States Office of Personnel Management Remain calm, deferential and respectful at all times. Conclusions and vague statements do not hold much weight with third parties. If you are a federal employee facing discipline, this article can help you understand what factors your managers are contemplating as they make a decision on your case. Relevant? The Douglas factors are probably the most important factor in determining the outcome ofany federal employees discipline case. !%7K81E8zi. This Douglas factor tends to be a general mitigation factor that can incorporate many different types of arguments for mitigating a penalty. The Douglas Factors get their name from a 1981 MSPB decision holding that the MSPB would review an agency's penalty selection by applying factors that since have become known by the last name of the appellant, whose removal was upheld after the factors were applied. PDF Nasa Desk Guide for Table of Disciplinary Offenses and Penalties [_S>,o)ZyfL_{*4^BOoss%U'jYM^>Ydw%>=z+l'?@_+S]6EO+<=_)^;/ycCwhiE[qsA[]~w_}xxwo~y3boK&rVkOk [6#e|:. 64 0 obj <>/Filter/FlateDecode/ID[<3B0C3180ECE15C735B3288C81A6A54AE><030475FC020CB04DB606BDDC5C48A5E3>]/Index[49 24]/Info 48 0 R/Length 81/Prev 157377/Root 50 0 R/Size 73/Type/XRef/W[1 2 1]>>stream Or in another case, if an employee has continued to work in their position over the course of a long period of time after the allegations are under investigation, this shows that the Agency continues to have trust in the employee and that the employee has continued to perform well despite the initial allegation. Check with your labor relations advisor. PDF The Douglas Factors consistency of the penalty with any applicable agency table of penalties; (8) the notoriety of the offense or its impact upon the . If the offense is related to duties that are at the heart of an employees position, penalties may be more severe. ?Y9"0t@_, l 3bNC+ sj2 *+2UjBu^sW6\ r The Douglas factors see 5 MSPR 20 191 provide an adequate and useful . Xu"! } =!4$?g*QUHC(K(! SO4T=1!M|#7LSR"z/U1'6P($PC=Q"@/BQy~>S,;@ If you are looking for a representative, note that we are not taking on any cases at this time. The Douglas factors come from a seminal employment case titled,Douglas v. VeteransAdministration, 5 MSPR 280 (1981). A big question managers have to ask themselves is: after the misconduct that has occurred can I confidently bring the employee back? Obtain insurance protection for your career today. accruing multiple instances of discipline can lead you on the fast track to removal from federal service. 280, 305-06 (1981). 12.Provision of Information Relied Upon Paragraph: Generally, the material (evidence such as witness statements, policies, regulations and the like) should be referenced and attached to the proposal. Only those Douglas Factors relevant to each case need be considered. You should review the table to make sure that your discipline is in keeping with this table. The notoriety of the offense or its impact upon the reputation of the Agency; 9 . See Douglas v. Veterans Administration, 5 M.S.P.R. Employees should have access to these tables, and managers should use these parameters as a guide when imposing discipline. h[M+}LX,? endobj More significant discipline is referred to as an adverse action, which entails suspensions of more than 14 days, reductions in grade or pay, furloughs of 30 days or less, or removals. This factor is generally used for purposes of mitigation unless an employee has a past similar disciplinary action. 2 0 obj Douglas Factors for Federal Employees - berrylegal (See Attachment 1 -Your statement of (DATE) and Attachment 2- Statement of your immediate supervisor of (DATE)). Factor 6: Consistency of the penalty with those imposed upon other employees for the same or similar offenses. Go through each Douglas Factorand try to write down points that arein your favor and points that are not in your favor for each one. Douglas Factor Mitigation for Federal Employees Your absence delayed the submission of (Specify) report which was due on the date you failed to report to work. PDF The Douglas Factors - National Federation of Federal Employees Regardless, try to avoid getting into an argument with management over factors. How the factors will be applied in your disciplinary case depends on the specifics of your case. Yes___ No____An employee's length of service and prior work record must be evaluated and be balanced against the seriousness of the offense. 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. The ranges of penalties shown in the Table are those that are considered to be most typical for offenses of the nature indicated. If a mitigation argument does not fit under the other 11 Douglas factors, it can, in most instances, be argued here. 6.Further Charges and Specifications: Repeat above format 7.Efficiency of the Service Rationale Paragraph(s): This paragraph typically includes the answers to the following questions: What rule(s) was (were) violated? Consistency of the penalty with any applicable agency table of penalties; 8. 280 (1981) These factors are used to explain why the penalty was chosen. Agency's table of penalties recognizes this severity in establishing ranges of penalties for If this is impractical to do, use Sample 2. You wont know unless you make it a point of conversation, but in many instances its worth the effort to approach management with creative alternatives, since there is very little downside. Producing a doctors note to management confirming the hospitalization supports the validity of your claim and will be harder for management to overlook than had you just made a verbal assertion of the same. Our DC-Metropolitan Based Law Firm Specializes in Employment, Security Clearance, and Retirement Law. The idea is that discipline is meantto be corrective and progressive. Before sharing sensitive information, make sure youre on a federal government site. 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. For example, an allegation of dishonesty would be treated more seriously, under this Douglas factor, for a federal employee that holds a law enforcement position. Explanation, if relevant: (10) Potential for the employee's rehabilitation.Relevant? Managers should contact the OIG or law enforcement where criminal conduct is suspected or alleged. A table of penalties is a non-exhaustive list of common infractions along with a suggested range of penalties for each infraction. See, e.g., Semans v. Department of the Interior, 62 M.S.P.R. If you are a federal employee facing discipline, asyou read this articleyou should be thinking about the which of the twelve Douglas Factors are in your favor, and how you can present evidence to support your position on those factors. The potential for an employees rehabilitation is an important Douglas factor for a federal employee, especially in cases of proposed removal. The argument for mitigation here is that the federal employee continued to work in their normal position while the investigation was ongoing. Some federal employees have successfully argued for mitigation where stress or an anxiety condition contributed to the disciplinary misconduct issues. Table Of Penalties Douglas Factors - aaaawintvcapdavid.link Do not deny the existence of bad facts. Govexec.com . Note: If the employee is in a bargaining unit, your Agency should have alternate language for these paragraphs. Yes___ No____In evaluating the seriousness of the misconduct, an offense is more severe if it was intentional rather than inadvertent and if it was frequently repeated rather than being an isolated incident. Once you have a few key factors you should try to collect any supporting evidence that may be helpful, like doctors notes, proof of counseling sessions, etc. Generally, the ranges of penalties are fairly broad (e.g., Letter of Reprimand to Proposed Removal). PDF Committee on Oversight and Government Reform U.S. House of Relevant? Contact your employee relations advisor to get the information to fill in the blanks. On (DATE), your supervisor had to take time away from her duties to complete your (Specify) assigned project. Non-disciplinary counseling, guidance memoranda, provision of Agency policy to the employee and requiring the reading and signing of certain rules are methods to communicate what are the requirements of conduct in the workplace. The Douglas Factors should be considered in selecting a penalty. These factors are: 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. That translates into harsher penalties for repeat offenders. This Douglas factor comes into play when the Agency picks and chooses different penalties for similar-level federal employees. Managers must also consider the scope of the misconduct in the context of an employees position and job duties. Merit Systems Protection Board still follows today. Performance-Based Actions under Chapters 43 and 75 of Title 5 - Similarities and Differences, Different Types of Adverse Actions Use Different Rules, Legal Sources for the Right to Notice and a Meaningful Opportunity to Reply, Decision-Maker Must Listen and Have Power to Decide, Connecting the Job and the Offense ("Nexus"), Labels are Not Required, but if Used They Must be Proven, How Employees Become Similarly Situated for Purposes of an Adverse Action Penalty, Avoid Facilitating Prohibited Personnel Practices (PPPs), Agency Officials' Substantive and Procedural Errors and How to Fix Them, Identifying Probationers and Their Rights, The Limited Powers of the U.S.

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