1. “CITUS ET CERTUS” 435th Air Base Wing Discipline & Adverse Actions Kym Tran 435 MSS/DPCS-B DSN: 480-2697 CPMC 2007

2. “CITUS ET CERTUS” 2 Overview Regulatory Guidance Basic Principles Civilian Personnel Supervisors Non-Disciplinary Actions/Counseling Types of Actions Mistakes to Avoid Common Offenses

3. “CITUS ET CERTUS” 3 Regulatory Guidance 5 U.S.C., Chapter 75 5 C.F.R., Part 735 AFI 36-704, Discipline & Adverse Actions (22 Jul 94) AFI 36-703, Civilian Conduct & Responsibility (1 Aug 99) Joint Ethics Regulation (JER), DoD 5500.7-R

4. “CITUS ET CERTUS” 4 Appropriate when there has been an identifiable violation Rule Regulation Procedure That is, delinquency or misconduct personally attributable to the employee Basic Principles

5. “CITUS ET CERTUS” 5 Objective is to correct unacceptable work- related behavior Discipline is a tool used for correcting misconduct – not for improving inadequate performance Discipline is justified to correct misconduct that has an adverse effect upon the effectiveness or efficiency of the service Basic Principles

6. “CITUS ET CERTUS” 6 Minimum penalty necessary to correct the misconduct Discipline should be applied in a progressive manner Some misconduct falls outside the general parameters of progressive penalties REHABILITATIVE, not punitive Basic Principles

7. “CITUS ET CERTUS” 7 Ensure disciplinary action is: For good cause Fair Timely Consistent with laws, regulations, policy, and past practice NEVER suggest to the employee to resign or retire to avoid disciplinary action Basic Principles

8. “CITUS ET CERTUS” 8 Advise Management of disciplinary actions Assure procedural adequacy/merit of all disciplinary actions Draft/coordinate disciplinary actions Defend disciplinary actions before third party Civilian Personnel

9. “CITUS ET CERTUS” 9 Inform the employee of rules Document facts/circumstances of incident Conduct a pre-action investigation Gather the facts Interview employees & witnesses in private Ask for written statements Include specific details, date, and signature Use exact wording and quotes rather than vague statements such as “used offensive language” Supervisor’s Responsibilities

10. “CITUS ET CERTUS” 10 Allow employee facing potential discipline opportunity to present his/her version Document all information discovered during investigation/fact-finding Privacy Act Information Supervisor’s Responsibilities

11. “CITUS ET CERTUS” 11 Q #1: Am I satisfied that the facts clearly indicate the employee knowingly (or carelessly) violated a rule, regulation, law, or order — or committed an offense so obviously wrong that a rule is not necessary? Q #2: Have other employees been disciplined for similar infractions in the past? Q #3: Is disciplinary action likely to help correct and discourage the misconduct? Supervisor’s Responsibilities

12. “CITUS ET CERTUS” 12 Decide on type of discipline necessary to correct behavior Rehabilitative – minimum penalty necessary to correct behavior AFI 36-704, Attachment 3 Avoid rigid implementation No minimum penalty, except when specified by law or E.O. Progressive in Nature Penalties for subsequent offenses Supervisor’s Responsibilities

13. “CITUS ET CERTUS” 13 Ensure all actions are fair and equitable Bear the burden of proof Preponderance of evidence Just cause Appropriateness of penalty Coordinate action with Employee Relations Specialist Sign/Issue notices of discipline to employee Supervisor’s Responsibilities

14. “CITUS ET CERTUS” 14 Non-Disciplinary Actions Letters of Counseling, Letters of Warning, or MFRs Documents employee’s work & conduct deficiencies Be specific about problems or weaknesses Convey expectations and desired conduct Provide assistance or training if available Conduct the counseling in a private office (may have management witness present)

15. “CITUS ET CERTUS” 15 Non-Disciplinary Actions May be used to substantiate disciplinary action if unacceptable conduct continues Document on AF Form 971 Parties initial 971 annotation What if employee refuses? Counseling before formal discipline is not always required When should supervisor counsel?

16. “CITUS ET CERTUS” 16 Non-Disciplinary Actions RECOMMENDED COUNSELING APPROACH Remain calm / unemotional Focus on the behavior, not the individual Point out the desired behavior End on a positive note

17. “CITUS ET CERTUS” 17 Oral Admonishment Reprimand Suspension Removal Types of Actions

18. “CITUS ET CERTUS” 18 DUE PROCESS PROCEDURES Investigation & Documentation Proposal Letter Specific charge(s) Reply period Representation, if desired Employee entitled to evidence Types of Actions - Procedures

19. “CITUS ET CERTUS” 19 DUE PROCESS PROCEDURES Decision Letter Employee may grieve or appeal the action depending on the action taken Types of Actions - Procedures

20. “CITUS ET CERTUS” 20 DOUGLAS FACTORS 12 decision factors that must be considered prior to taking a disciplinary action Must be written for all Reprimands, Suspensions, & Removals Must be completed by both the proposing official & again by the deciding official (if they are different individuals) after receiving the employee’s response to the proposed action Types of Actions - Procedures

21. “CITUS ET CERTUS” 21 ORAL ADMONISHMENT (not listed in AFI 36-704, Attch 3) Lowest form of discipline (conduct only) Informal (*RAB no specific format) – recommend DPC coordination Annotated on AF Form 971 May be used to substantiate future discipline Retain up to 2 years May grieve REF: AFI 36-704, paragraph 11 Types of Actions

22. “CITUS ET CERTUS” 22 REPRIMAND Significant misconduct, delinquency, or repeated lesser offenses Formal, requires DPC coordination Proposal may be oral (*RAB) Decision must be in writing Proposing and Deciding Official are same at *RAB and is usually the first-level supervisor Due Process rights Types of Actions

23. “CITUS ET CERTUS” 23 REPRIMAND Annotate 971 Folder Decision Letter (& Proposal Letter, if applicable) are placed in 971 Folder Placed in OPF (201 File) for 2 years Employee may grieve REF: AFI 36-704, paragraph 12 Types of Actions

24. “CITUS ET CERTUS” 24 SUSPENSION Proposal & Decision Letters are required Douglas Factors Due process rights Formal, requires DPC & JA coordination Results in loss of pay Adverse Action, regardless of duration Employee does not report for work Cannot be imposed for indebtedness or performance Types of Actions

25. “CITUS ET CERTUS” 25 SUSPENSION Conduct Only Not usually greater than 30 days Permanent record in OPF Relied upon for 3 years for future action 14 Days or Less: Employee may grieve More than 14 days: Grieve or *appeal (MSPB) REF: AFI 36-704, paragraph 13 Types of Actions

26. “CITUS ET CERTUS” 26 REMOVALS (Excluding RIF) Most severe disciplinary action Due process rights (differs from Probationers) 30-day advance notice period Minimum 7-day reply period (check local union guidance) Proposing Official: 1 st -Level Supervisor Deciding Official: 2 nd -Level Supervisor Formal, requires DPC & JA coordination Types of Actions

27. “CITUS ET CERTUS” 27 REMOVALS (Excluding RIF) Conduct or Performance Permanent record in OPF Employee may grieve or *appeal (MSPB) Demotions for misconduct follow same procedures as removal REF: AFI 36-704, paragraph 14 Types of Actions

28. “CITUS ET CERTUS” 28 Ignoring unacceptable behavior in hopes that: No one else will notice It will correct itself The employee will eventually just go away “Saving up” laundry list of occurrences Applying rules inconsistently Applying penalties inconsistently Mistakes to Avoid

29. “CITUS ET CERTUS” 29 Misuse of Government resources (computer) GTC abuse / misuse Leave-related (tardiness, AWOL, failure to properly request leave, etc.) Disregarding directive / failure to comply Offensive conduct / language Miscellaneous (debt, falsification, safety/security violation, negligence, unauthorized removal, etc.) Non-disciplinary Adverse Actions Common Offenses

30. “CITUS ET CERTUS” 30 Contact your Employee Relations Specialist Investigate, document Act in a timely fashion Observe procedural requirements Goal is to rehabilitate Summary

31. “CITUS ET CERTUS” 31 Q & A CIVILIAN PERSONNEL FLIGHT KYM TRAN 435 MSS/DPCS-B DSN: 480-2697 kym.tran@ramstein.af.mil