Managers Disciplinary Non-Disciplinary Actions Flowchart 2024

Supervisors and Managers Disciplinary and Non-Disciplinary Table and Flowchart SEP 2024

Types of Actions Non-Disciplinary Federal Federal Refs Refs NGB Refs NGB Refs Lead Time Lead Time Documents Documents Rules Rules Management Directed Reassignment 5 CFR CNGBI 1400.25 Vol 715 (c10) (a-b) 30 Calendar Days Memorandum for Record (MFR) Management may, based on the efficiency of the Service, reassign an employee to another position at the same grade and pay or move the employee from a position with potential for noncompetitive promotion to a position without that potential. At a minimum, the notification will explain the reason for the reassignment; the effective date for the action; provide the employee with a reasonable amount of time (normally five workdays) to accept or reject the reassignment; provide benefits information; explain that if the offer is rejected, the employee may be subject to removal from their position. Management should provide a reasonable notice period. 213.3102(j)(4) 5 Calendar Days from Receipt for Employee to accept/deny 5 CFR 302.102(a) Resignation* 5 CFR 715.202 CNGBI 1400.25 Vol 715 (c1) HRO processes separation action which will take place at midnight on the termination date requested by employee SF 52 An employee is free to resign at any time, to set the effective date of his resignation, and to have his reasons for resigning entered in his official records. NG employees are free to resign at any time, set the effective date of their resignation, and to have their reason(s) for resigning entered in their official records. Management may ask for a reasonable period of notice to allow for a replacement or work adjustment but may not set an earlier or later date than the date selected by the employee. Abandonment of Position 5 CFR 715.202 CNGBI 1400.25 Vol 715(c4)(a-f) 10 Calendar Days Proposing Official Memo An employee may be removed for abandonment of position if he or she fails to report to work within a reasonable time (usually 10 calendar days). Take steps to contact the employee. Call the employee if the employee s number is known to the supervisor and send a certified return receipt letter to the last known address notifying the employee that he or she is being coded AWOL and that disciplinary actions may be taken. AWOL in these circumstances may be processed as an adverse action or as Abandonment of Position. If the absence is processed as abandonment of position, a supervisor in the employee s supervisory chain will send a proposed action memorandum, Removal for Abandonment of Position, by certified mail to the employee s last known address. The deciding official may make a final agency decision on the charge of Abandonment of Position if no reply is received within 30 calendar days. The deciding official will send the final agency decision memorandum by certified mail to the employee s last known address. 30 Calendar Days after certified mail being sent to employees address on file Deciding Official Memo SF 52 *Note: If an employee tries to resign after an official investigation is conducted and is notified of adverse action, a resignation is NO LONGER authorized IAW 5 USC 3322. An employee still may resign but their SF-50 will have a notation that the employee resigned after notification of a proposed or pending disciplinary action.

Management Directed Reassignment (MDR) Management Directed Reassignment (MDR) Denial Employee will removed for efficiency of the service 30 calendar days from date of MFR MFR Management Decides to direct lateral reassignment MFR MFR to Employee directing move in 30 calendar days and reasons why Employee Has 5 Calendar days to decide after receipt of MFR Employee Performance issues MFR Acceptance 30 calendar days to move from date on MFR MFR Resignation Resignation HRO processes separation action which will take place at midnight on the termination date requested by employee Employee notified of adverse action as a result of completed Investigation Negative comments on SF SF- -50 50 IAW with 5 USC 3322 Disciplinary Action Pending HRO processes separation action which will take place at midnight on the termination date requested by employee Employee notified of pending adverse action but investigation is not complete No negative comments on SF SF- -50 Employee Decides to Resign 50 HRO processes separation action which will take place at midnight on the termination date requested by employee Management discusses reasons with employee and creates SF Personnel Action Personnel Action No negative comments on SF SF- -50 No Disciplinary Action 50 SF- -52 52

Abandonment of Position Abandonment of Position Proposing Official sends Proposal for Removal Memo via certified return receipt letter return receipt letter to the employee s HOR. Employee has 30 response period (per CBA) to respond to the Deciding Official. certified 30- -day day After two days of no contact, send a certified return certified return receipt letter receipt letter to the employee s HOR and notify them they are being coded AWOL and need to make contact After ten calendar days of no contact from the employee, have a Proposing Official prepare a memo for memo for removal based on removal based on abandonment of abandonment of position position Management should immediately attempt to contact the employee and begin to code them AWOL in ATAAPS ATAAPS Employee Fails to make contact with their supervisor and is not present for work No employee response will result in the Manager sending a SF SF- -52 52 to HRO for a non-disciplinary removal with NO negative comments on SF SF- -50 50. In addition, the Deciding Official Deciding Official Memo Memo should be sent certified return certified return receipt letter receipt letter to the employee s HOR. AWOL in NO

Types of Actions Non-Disciplinary Federal Federal Refs Refs NGB Refs NGB Refs Lead Time Lead Time Documents Documents Rules Rules Failure to Meet Conditions of Employment - General 5 CFR CNGBI 1400.25 Vol 715 (c5) 30 Calendar Days from receipt of Notice Memorandum for Record (MFR) Failure to maintain duty or position qualifications such as flying status, a government driver s license, current qualifications as an aircrew member, physical standards required for an aircrew member, revocation of authorization to carry a firearm, or security clearance or any other bona-fide, documented condition of employment, may result in separation. Although conditions leading to these failures may result in their own disciplinary actions, separations under these conditions are not considered disciplinary. 213.3102(j)(4) 5 CFR 752.401 5 USC 75 Failure to Meet Conditions of Employment Military Technician 5 CFR CNGBI 1400.25 Vol 715 (c6/c7) 30 Calendar Days from receipt of Notice Memorandum for Record (MFR) A Military Technician (Dual Status) who is separated from the NG or ceases to hold the military grade specified by the Service Secretary with jurisdiction over his or her military position will be promptly separated from Military Technician (Dual Status) employment by TAG or CG of the State concerned (see reference b). Military Technician (Dual Status) employees who fail to maintain military membership must be promptly removed from civilian employment, subject to a 30-day notice, and are not subject to the due-process procedures. Also, an employee accepting a military promotion which results in grade inversion or an employee s failure to maintain the military grade required in a position resulting in a grade inversion must result in a required reassignment or removal from the employee s civilian position. 213.3102(j)(4) 5 CFR 752.401 5 USC 75 SF 52

Failure to Meet Conditions of Employment Failure to Meet Conditions of Employment - - General Management completes LOR for False Statements (concealment or withholding of a material fact) General Management Prepares 30 30- -day memo day memo: 1) Outlines the employee has 30 days to regain all conditions of employment 2) If the employee fails to regain conditions, then the letter is a 30-day termination notice Employee fails to regain conditions: 1) Reassign 2) Reassign to a Lower Grade 3) Remove LOR Employee DOES NOT DOES NOT report loss of condition Employee DOES DOES report loss of condition Employee no longer has the ability to maintain a condition of employment Employee is reinstated with all previous authorizations/ qualifications/clearances. Management maintains 30 30- -day memo day memo in Supervisor Employee File in case of any future issues Failure to Meet Conditions of Employment Failure to Meet Conditions of Employment Military Technician Military Technician Dual Status Technician has been notified that they are losing military membership Dual Status Technician fails to maintain a compatible military assignment e.g. MOS/AFSC Dual Status Technician receives military promotion resulting in grade inversion HRO processes 30 separation notice separation notice 30- -day day Employee Separates after 30-calendar days Employee no longer has the ability to maintain a condition of employment If reassignment is not available, HRO will issue 30 30- -day separation notice separation notice for incompatibility If reassignment is not available, HRO will issue 30 30- -day separation notice separation notice for incompatibility HRO reviews possible reassignment positions available and reassigns as applicable day HRO reviews possible reassignment positions available and reassigns as applicable day

Types of Actions Performance Based Federal Federal Refs Refs NGB Refs NGB Refs Lead Time Lead Time Documents Documents Rules Rules Counseling 5 USC 4302 CNGBI 1400.25 Vol 431 As soon as performance deficiencies are noted New Technician Counseling Form Communicate to each employee the performance standards and the critical elements of the employee's position. Performance processes and actions taken by a supervisor must be directly related to the elements and standards in the approved performance plan. 5 CFR 430.204/ 5 CFR 430.207 Pre-PIP Discussion Santos v NASA Ruling CNGBI 1400.25 Vol 431 1 Calendar Days Verbal Discussion At any time during the performance appraisal cycle that an employee's performance is determined to be unacceptable in one or more critical elements, the agency shall notify the employee of the critical element(s) for which performance is unacceptable and inform the employee of the performance requirement(s) or standard(s) that must be attained in order to demonstrate acceptable performance in his or her position. The agency should also inform the employee that unless his or her performance in the critical element(s) improves to and is sustained at an acceptable level, the employee may be placed on a Formal PIP Email/New Technician Counseling Form 5 CFR 430.204 5 USC 4302 Quarterly/Bi- annual/Annual Performance Review Performance Improvement Plan (PIP)* 5 CFR 432 CNGBI 1400.25 Vol 431 30 Calendar Days PIP Memo PIPs are generally no longer than 30 days, unless a justification can be provided for an extended period of time. At any time during the performance appraisal cycle that an employee's performance is determined to be unacceptable in one or more critical elements, the agency shall notify the employee of the critical element(s) for which performance is unacceptable and inform the employee of the performance requirement(s) or standard(s) that must be attained in order to demonstrate acceptable performance in his or her position. The agency should also inform the employee that unless his or her performance in the critical element(s) improves to and is sustained at an acceptable level, the employee may be reduced in grade or removed. 5 USC 4302 Reduction in Grade/Removal 5 CFR 432 CNGBI 1400.25 Vol 431 30 Calendar Days Proposed Action Memo The agency shall afford the employee a 30 day advance notice of the proposed action that identifies both the specific instances of unacceptable performance by the employee on which the proposed action is based and the critical element(s) of the employee's position involved in each instance of unacceptable performance. The agency shall make its final decision within 30 days after expiration of the advance notice period. Within 30 Calendar Days after expiration of advance notice Final Agency Decision Memo *Note: Temporary Employees or Employees in a Probationary Period will NOT be issued a Pre-PIP or PIP, but will instead be removed for failure to demonstrate fitness for continued government service

Counseling Counseling Manager and Employee sign Technician Technician Counseling Form Counseling Form. Manager keeps on hand in Supervisor Employee Folder Insure employee comes out of meeting knowing: 1) The expectations of the performance standard 2) What they need to do to improve 3) What future actions will will be taken Management begins to make notes on specific issues with critical performance factors in an employee's performance plan on a Technician Technician Counseling Form Counseling Form Management sits down with employee and reviews performance plan and issues with meeting performance element Employee starts to exhibit performance issues Pre Pre- -PIP Discussion PIP Discussion Notify the employee verbally, in writing or during a performance plan review that they will be placed on a PIP. Insure employee understands which Performance Plan criteria they are not meeting and when PIP will start Management counsels the employee verbally, in-writing or through review of their performance plan Employee continues to exhibit issues in critical performance factor(s) Employee will enter the formal Performance Improvement Plan Performance Improvement Plan period IAW with CNGBI 1400.25 vol 431 Enclosure D

Performance Improvement Plan (PIP) Performance Improvement Plan (PIP) Notify the employee by reviewing PIP memo with them. Insure employee comes out of meeting knowing: 1) The expectations of the performance standard 2) What they need to do to improve 3) What future actions will will be taken if they are not successful within 30 days Failure - Management completes the PIP Memo PIP Memo providing 30 calendar days to demonstrate acceptable performance Reassignment - reassign an employee to a position of like grade and pay when it is for the efficiency of the service Removal/Reduction In Grade Requires a Proposed Action Memo Proposed Action Memo for either resolution as well as a Final Agency Decision Memo Final Agency Decision Memo Employee continues to exhibit issues in critical performance factor(s) Success Employees who successfully complete a PIP will be issued a memorandum confirming the memorandum confirming the successful determination successful determination and informing them that, if the employee returns to unacceptable performance in the same critical elements addressed in the PIP within one year of the original issuance, action may be taken to remove or change the employee to lower grade without initiating another PIP. Reduction In Grade/Removal Reduction In Grade/Removal Acceptance Employee does not provide any supporting documentation for reconsideration of decision within 30 days. Deciding Official will issue Final Agency Decision Memo Final Agency Decision Memo within 14 days of this date. Management completes the Proposed Action Proposed Action Memo Memo for either reduction or removal providing 30 days to respond Employee notified of Removal or Reduction adverse action as a result of failed PIP and provided 30 days to respond to the Deciding Official Employee fails to demonstrate acceptable performance during a PIP Reconsideration Request by the Employee Request by the Employee or other manager/supervisor in their evaluation chain to review the rating of record assigned by a Rating Official (RO) and not the PIP. Reconsiderations are at the Deciding Official with appeal authority at the TAG.

Types of Actions Disciplinary Federal Federal Refs Refs NGB Refs NGB Refs Lead Time Lead Time Documents Documents Rules Rules Counseling* 5 USC 7301 CNGBI 1400.25 Vol 752 (c1) As soon as conduct deficiencies are noted New Technician Counseling Form Where corrective action is appropriate, counseling may be suitable. Counseling is oral and not recorded in the Supervisor s Work Folder on the electronic Supervisor s Employee Brief for the employee. A counseling is not applicable as a disciplinary or adverse action for the purposes of progressive discipline 5 CFR 735.102 5 CFR 2635 Admonition* 5 USC 7301 CNGBI 1400.25 Vol 752 (c1) Within 24 hours of incident occurring New Technician Counseling Form If the minor misconduct continues or is repeated after counseling but corrective action is still appropriate, admonition is warranted. Supervisors and Deciding Officials are not required to issue an admonition before disciplining or proposing adverse action. The penalty for an instance of misconduct should be tailored to the facts and circumstances. The admonition is written in the Supervisor s Work Folder on the Supervisor s Employee Brief for the employee. An admonition is not applicable as a disciplinary or adverse action for the purposes of progressive discipline. 5 CFR 735.102 5 CFR 2635 Letters of Reprimand 5 USC 75 CNGBI 1400.25 Vol 752 (d1) Within 48 hours of incident occurring Letter of Reprimand Memo A letter of reprimand is a disciplinary action but does not constitute an adverse action. It may be used when corrective action is ineffective or when the nature of the offense warrants a more serious and formal action. Conduct that justifies discipline of one employee at one time does not necessarily justify similar discipline of a different employee at a different time, particularly where the employees are in different work units or chains of supervision. Nonetheless, employees should be treated equitably, so agencies should consider appropriate comparators as they evaluate potential disciplinary actions. When taking disciplinary action, supervisors have the discretion to take into account an employee s disciplinary record and past work record, including all past offenses not only similar past offenses). 5 CFR 752 *Note: Conduct that was the subject of counseling or admonishment is not an offense for purposes of the Table of Penalties. If an employee is counseled/and or admonished previously for tardiness, the third instance would actually be the FIRST instance in the Table of Penalties

Counseling Counseling Insure employee comes out of meeting knowing: 1) There is a rule in place 2) Employee is now aware of the rule 3) Employee understands how they broke the rule 4) What future actions could could be taken Manager and Employee sign Technician Technician Counseling Form Counseling Form. Manager keeps on hand in Supervisor Employee Folder Management begins to make notes on this behavior on a Technician Technician Counseling Form Counseling Form Management sits down with employee and discusses behavior Employee starts to exhibit issues Admonition Admonition Manager explains what rule employee broke and tells employee what future actions will will be taken and explains how long this admonition will remail on file Manager and Employee sign Technician Technician Counseling Form Counseling Form. Manager keeps on hand in Supervisor Employee Folder Management makes notes on facts and circumstances for misbehavior on a Technician Technician Counseling Form Counseling Form Employee continues to exhibit issues

Letters of Reprimand Letters of Reprimand Management will work with LRS and provide circumstances, notes, witness statements, etc. regarding the misconduct. LRS will consult Table of Penalties and offer an equitable solution. LRS and Management prepare Letter of Letter of Reprimand Reprimand Employee continues to demonstrate misconduct and previous warnings have been ineffective OR employee demonstrates serious misconduct that warrants more serious and formal action Employee has the right to grieve this LOR LOR with the Union Management will review LOR LOR with employee describing the offense, substantiating factors and how long the LOR LOR will remain in their file (1-3 years) IF IF an employee continues with misconduct, this LOR for progressive discipline if the LOR LOR time limit has NOT expired. LOR can be used

Types of Actions Adverse Action Federal Federal Refs Refs NGB Refs NGB Refs Lead Time Lead Time Documents Documents Rules Rules Douglas Factors 5 USC 75 CNGBI 1400.25 Vol 752 (F-A-1) 14 days for employees to respond (suspension <14 days Douglas Factors Analysis Worksheet Factors that management must weigh in deciding an appropriate course of action observing the principle of like penalties for like offenses in like circumstances. This means penalties will be applied as consistently as possible. Management must establish that the penalty selected does not clearly exceed the limits of reasonableness. 5 MSPR 280 30 days for employees to respond (suspension 14 days<) Adverse Action 5 USC 7503/ 5 USC 7512 CNGBI 1400.25 Vol 752 (g1) Category 1 Category 1 14 days for employees to respond (suspension <14 days Proposed Action Memo An official personnel action, usually taken for disciplinary reasons, that adversely affects an employee and is of a severity that a suspension, reduction in grade or status, or removal is warranted. There are two categories of adverse actions: Category 1 with suspensions of 14 days or less and Category 2 with suspensions greater than 14 days, removal, reduction in grade, reduction in pay or a furlough of 30 days or less. Adverse action packets will include 1) Douglas Factors, 2) Proposed Action Letter, 3) Employee s response (if provided), 4) Deciding Official s Letter, 5) All other supporting documentation. 5 CFR 752.203 Final Agency Decision Memo Category 2 Category 2 30 days for employees to respond (suspension 14 days<)

Douglas Factors Douglas Factors Management determines the seriousness and nature of the offense and consults CNGBI 1400.25 Enclosure K to determine what offenses were committed and what punishment is appropriate Management sends Douglas Factors Douglas Factors to LRS for review Management begins to complete the Douglas Factors Douglas Factors Worksheet Worksheet Employee demonstrates or continues to demonstrate misconduct Deputy Director prepares Adverse Action Memo Action Memo Adverse Supervisor and Deputy Director discuss next steps Adverse Action Adverse Action Employee provided Adverse Action Adverse Action Memo Memo explaining cause of action, proposed penalty, overview of Douglas Factors, Douglas Factors, right to interview witnesses, the Employee s right to reply, and possible appeal avenues Employee has 14 days to respond to Proposing Official Category 1 Suspension of <14 days Deciding Official provided Final Agency Decision Agency Decision Memo Memo with 15 days Deputy Final Director/Proposin g Official decides category of punishment Category 2 Suspension of >14 days OR Removal Employee has 30 days to respond to Proposing Official

Types of Actions Types of Actions Other Performance and Conduct Other Performance and Conduct Actions Actions Federal Federal Refs Refs NGB Refs NGB Refs Lead Time Lead Time Documents Documents Rules Rules Within-Grade Increase Denial 5 USC 2301 5 USC 5301 CNGBI 1400.25 Vol 431 (A-G-1) 30 Calendar Days Within-Grade Increase Denial Memo A within-grade increase denial notice must state the within-grade increase is denied due to less than fully successful performance, attach the Performance Improvement Period Memorandum. The employee shall be informed that his or her determination is postponed, and the appraisal period extended and shall be told of the specific requirements for performance at an acceptable level of competence. If, following the delay, the employee's performance is determined to be at an acceptable level of competence, the within-grade increase will be granted retroactively to the beginning of the pay period following completion of the applicable waiting period. 5 CFR 531.409 5 CFR 531.411 Last Chance Agreement 5 USC 7503/ 5 USC 7512 CNGBI 1400.25 Vol 752 (g2/j5) Within 15 days of employee s response to Proposed Action Memo for Removal Last Chance Agreement A Last-Chance Agreement (LCA) may also be proposed for TAG s or the CG s consideration in lieu of termination when appropriate. Employees may waive their right of appeal in exchange for a last-chance opportunity to retain employment. The proposed LCA terms must be clear, concise, and detailed in a standard LCA approved by the NG prior to TAG or CG review. The LCA can include a mitigated penalty (such as a 30-day suspension without pay in lieu of removal). The duration of an LCA is typically one to two years. If actionable misconduct occurs within the period, the employee is subject to the terms of the LCA, and the employee can be removed for violation of the terms of the LCA. 5 CFR 752.203