IN THE IMMIGRATION AND
NATURALIZATION SERVICE
Chapter 1: The
Supervisor’s Role in Discipline
The Supervisor as
Coach
Setting the
Climate
Communicating
Conduct Standards
Employee
Recognition and Discipline
Correcting Lapses
Chapter 2:
Investigation
Meeting with the Employee
Employee Status
during Investigation
Chapter 3:
Determining Appropriate Corrective Action
Who is telling
the truth?
Weighing the
Evidence
What are the
options available for Correction?
Identify Aggravating and Mitigating
Circumstances.
(Douglas
Factors)
Recommending
Formal Action
You are not
alone!
When OIG or OIA investigations
identify misconduct by your employee(s)
Chapter 4: Delivering Discipline
Chapter 5: Attendance Related
Problems
Absence Without Leave (AWOL) and
Failure to Follow
Leave Procedures
Leave Abuse
Excessive Leave
Without Pay
Fraudulent
Requests for Leave
Excessive
Unauthorized Absence
Leave for an
Employee who is incarcerated
Chapter 6: Misuse of Government Property, Vehicle, Credit Card,
Time etc
Phones
Computers
Government Vehicles
Government Credit
Cards
Government Time
Setting the
Example
Unauthorized Removal of
Government
Property (theft)
Chapter 7:
Insubordination/Failure to Follow Supervisory Instructions
Insubordination
Failure to Follow
Instructions
Lax Completion of
Directions
Chapter 8:
Disruptive Conduct at Work
Inappropriate
Remarks
Personality
Conflicts
Threats
Fighting
Chapter 9:
Misconduct towards or with aliens
Chapter 10:
Falsification
Chapter 11:
Alcohol or Drug Abuse and Other Medical Issues
Alcohol or Drug
Abuse
Other Medical
Issues
Obligations in
dealing with a handicapped person
CONCLUSION
Appendices
A. Douglas Factors
B. Standard Schedule of Disciplinary Offenses and Penalties (DOJ
1752.1A, App. 1)
C. Recommendation for Disciplinary Action
D. List of Servicing INS Labor/Employee Relations Offices
E. Leave Counseling and Leave Restriction Letter
F. April 21, 1995 memorandum on Use of Office and Library
Equipment and Facilities
G. Checklist of Supervisory Responsibilities on Workforce
Discipline and Performance
Immigration
and Naturalization Service (INS) employees are expected to maintain the highest
standards of personal conduct and integrity. It is the responsibility of all
supervisors to ensure that all their subordinates understand and live up to
these high standards. This Handbook provides guidance to first-line supervisors
on how to assure that these high standards are followed by employees under
their supervision. Maintenance of these standards will promote the efficiency
and effectiveness of your work operations and assure compliance with laws and
regulations.
Discipline
can be both positive and negative. Positive discipline is achieved when
individuals hold themselves to high standards of conduct and responsibility
because they accept and value those standards. Maintaining discipline in
organizations where all employees have this high degree of commitment is easy.
However, supervisors need to take positive actions to establish such a positive
environment. Setting the example and effective communications can help the supervisor
to establish a work environment where employees internalize these high
standards.
The
second side of discipline is correction and punishment of misconduct. In
correcting individual instances of misconduct, it is important that the penalty
be the minimum necessary to bring about the desired change. All penalties must
be consistent with the facts and circumstances surrounding the misconduct.
Fortunately, misconduct is not an everyday occurrence among INS employees, but
it is one of the most challenging and difficult aspects of supervision. Dealing
effectively with disciplinary problems requires a good understanding of the
discipline process and skill in handling a variety of human relations problems.
This
handbook is a “how-to” guide for first and second line supervisors. It takes
you through the disciplinary process step-by-step. It focuses on the kinds of
problems which you, as a supervisor, will be expected to resolve. While you
will be provided with information concerning formal disciplinary actions, the
focus will be on informal actions which correct inappropriate behavior before
it becomes a big problem. It will also provide you with specific guidance on
the types of disciplinary problems that you are most likely to encounter as a
first-line supervisor.
This
handbook was developed as a result of the INS Adverse Action Working Group
recommendation. The Group suggested the handbook’s concepts and stressed the
necessity of emphasizing the role of the first line supervisor in the
monitoring and disciplining of employees. A heart-felt thank you goes out to
both the Adverse Action Working Group and the servicing Labor Management and
Employee Relations offices for their review of the draft of this handbook and
their suggestions for improvement.
The
Supervisor as Coach: Your job as a supervisor is similar to that of a coach of
a high performance athletic team. You are concerned with winning, but you are
also concerned that your players follow the rules. You don’t want to lose a
game because individual players draw too many fouls. Most of all, you do not
want to lose a key player to a suspension caused by a momentary lapse in
judgment (Dennis Rodman and Roberto Alomar come to mind). Just like the Chicago
Bulls or the Baltimore Orioles, INS employees are subject to close scrutiny by
the public and the media. To be a successful coach, you not only need to be
sure that the players have the skills and tools to do the job, but that they
know the rules of the game and do not violate them.
Setting
the Climate: As a coach, the first-line supervisor plays a key role in
establishing a work place climate in which each and every employee takes
responsibility for maintaining the highest standards of conduct and integrity.
As a supervisor, you set the example for the conduct of your subordinates. If
employees see you as a role model with conduct beyond reproach, they will
respect you and follow your lead. As a supervisor, you are held to a higher
standard than your subordinates. More severe disciplinary action can be taken
against, you for the same misbehavior as your subordinates. You must make sure
that your use of leave is appropriate; that you do not misuse government
equipment or government time; that you do not engage in disruptive behavior
such as yelling and swearing; that you follow applicable regulations and
management directions; and that you do nothing which could be interpreted as a
conflict of interest. The behavior which you exhibit is the behavior that you
can expect from your employees. You will have very little credibility with them
when you counsel them concerning their behavior if you engage in similar
conduct.
Communicating
Conduct Standards: Like a good coach, you must make sure that the players know
the rules of the game before they take the field. Before you can hold employees
accountable for their conduct, it is essential that they know and understand
the standards and rules which you expect them to follow. Whenever a new
employee begins working for you (even if they have prior INS experience), you
need to discuss with him/her your expectations for conduct. You should make
clear that you expect an employee to be at work every day on time except when
leave has been approved. Explain the procedures which are to be followed for
leave approval for sick leave or emergency annual leave. Of special importance,
is clear instruction on what to do if you are not available when the employee
calls. Review key provisions of the Department of Justice’s Ethics Handbook
and/or the Officer’s Handbook (if applicable) with the employee. Do not assume
that employees understand these requirements because they were covered in the
Academies or employee orientations. If an employee has a question concerning
those standards on which you are not sure of the answer, check with your next
higher supervisor, your servicing labor/employee relations office, or your
Counsel. Also, make sure that employees understand the rules for performing
their jobs. For example, make sure that a Border Patrol Agent knows the rules
for the use of deadly and non-deadly force and the procedures to follow in
reporting their use.
Include
conduct reminders in staff meetings or musters. As situations occur, which may
tempt employees to stray into unacceptable
behavior., remind them of your expectations. Also, well-placed reminders
of your expectations concerning conduct can be included in individual mid-year
and end-of-year performance discussions.. Keep notes concerning discussions
which you have with employees on conduct. Be sure to include what was said, who
was there, and when the discussion was held. In addition, ask the employee to
sum up the discussion in his/her own words so you are certain that the
employees understands fully. Include this summary in your notes. Provide a copy
to the employee.
Employee
Recognition and Discipline: A good coach congratulates each team member when
s)he makes a good play. One of the best ways to build self-discipline in your employees
is to encourage and praise them when they do things right. A supervisor who
only points out mistakes and errors, is less likely to be heard by employees.
They screen out the negatives and rationalize that the supervisor is too
picky,, impossible to please and out to get them. The use of deserved praise
enhances morale and also makes employees more receptive to criticism when it is
given. It is important to catch your employees in the act of doing things
right. A person who is having discipline problems can be especially receptive
to positive feedback. For example, if you have an employee who has been having
problems with attendance who makes it in to work on a snowy day tell her, “Boy,
I am sure glad you made it in today. I know it was hard today. I am
short-staffed and I really need your help.” Similarly, praise for an
Immigration Inspector with a history of a short temper is in order when he
calmly deals with a cranky tourist. Just say: “I notice that the man in the
blue jogging suit seemed to be really agitated. I liked the way that you talked
to him calmly and did not let him get under your skin. Good Job!” Praise for
performance accomplishments throughout the year can also help an employee take
constructive criticism better.
Correcting
Lapses: Everybody makes mistakes. The
important thing is to identify the mistakes, how they occurred and take
corrective actions so they do not happen again. The good coach knows how to
correct players so that they are motivated rather than demoralized. As a supervisor,
you need to develop this very difficult skill.
The
best method of correction is to identify when an employee may be about to make
a mistake and correct him/her before the mistake is made. The sooner you
correct a mistake the better. Speed is essential to effective correction. It
prevents repetition of the mistake and gives employee current feedback. The
results of discipline diminish in proportion to the time allowed to elapse
between the offense and the disciplinary action. Also, each problem should be
dealt with as it occurs and offenses should not be allowed to accumulate. If
you say nothing, the employee will think that the behavior is O.K. Worse yet,
other employees see that their co-worker is getting by with this behavior, and
try it themselves. Letting it ride is very dangerous. At some point you may
have a big problem with that same employee. You will want to impose severe
discipline, however it may not be justified because it will officially be only
a first offense.
In
order to be effective, discipline for conduct which is not so serious as to
warrant removal needs to be progressive. In a basketball game, a player is not
thrown out of the game for the first foul, unless his conduct is really
outrageous. Similarly, you do not remove an employee for a first instance of
tardiness. Initially, you try the least stringent action which you think will
resolve the problem at hand. You also select a punishment to fit the offense.
If lesser penalties don’t work, than you may have to catch the employee’s attention
with a more stringent penalty and a loss of pay. There is, of course, some
conduct which is so outrageous that only removal will resolve the problem. But
such conduct is very rare. You will need to keep notes and document your
efforts at correction throughout the process.
Initially,
you have to know what happened. Since you do not have a game tape to review,
you will need to obtain and analyze information before correcting the mistakes.
As a super-visor, you learn of problems through observation, by keeping
communications open with your employees, through feedback provided by your
customers, and through investigation. When you learn that inappropriate conduct
by one of your subordinates may have occurred, you need to be prepared before
you can effectively correct that employee. You need to obtain the employee’s
side of the story, gather information from witnesses, and obtain and review
relevant documents, regulations and law. This should be done as soon as
possible in order to assure the accuracy of witnesses’ recollections and to
correct the problem immediately.
Some
incidents may be so serious that corrective action is outside of your
authority. Any allegation that an employee engaged in criminal misconduct,
abuse of aliens, a conflict of interest, or fraud against the government should
be reported immediately to the Office of Internal Audit and the Department of
Justice’s Office of Inspector General either directly or through channels. 01
287.1.0 provides complete instructions on reporting misconduct. It divides
allegations which are made against employees into four classes. Class I are the
most serious and must be reported to both the Office of Inspector General and
the Office of Internal Audit. Class II allegations involve any allegation
against an employee at the GS-14 level or higher and significant allegations
against other employees which are more likely to be resolved in the
administrative rather than criminal forum. Examples are unauthorized use or
possession of government property, consumption of alcohol on duty, and
disorderly conduct. These allegations are to be reported as soon as possible to
OIA. OIA will determine whether the employing activity should conduct the
investigation. Class III allegations involve allegations of conduct which are
important, yet not as serious as Class Il allegations. Examples include
disrespectful conduct, insubordination and lesser property violations. These
allegations must be reported to the OIA within 24 hours, but the employing
office will conduct the investigation. Lesser problems such as attendance
problems, minor rule violations, goofing off, and sloppy work, you can handle
yourself These are Class IV allegations.
In
addition, certain conduct must also be reported under special procedures
established to expedite their investigation. Special procedures have been
established for investigating specific types of incidents which require a
specialized response. Such incidents include those involving discharge of a
firearm, the use of non-deadly force, allegations of abuse of aliens, and
accidents. As a supervisor, you need to assure that these procedures are
followed.
In
determining what happened, you need to gather all available facts and
information. You need to make sure that you know the following:
1. How
the incident occurred.
2. When
(date and time) the incident occurred.
3. Where
the incident occurred.
4. Who
else was involved.
5. Who
witnessed the incident.
6. What
exactly was done or said.
7. What
may have led up to the incident.
8. What was observed by the witnesses.
Meetings
with the Employee: Obtaining the
employee’s side of the story is a crucial step in determining what action you
will take. Wherever practicable, you should talk directly to the involved
employee before talking to other witnesses. For nonsupervisory employees in
Border Patrol Sectors, you must advise the employee in writing of the right to
be represented by the Union at this meeting prior to taking a written or sworn
statement from the employee or when an employee is going to be interrogated
before witnesses as provided in Article 31 B(2)b(3) of the Agreement between
INS and the National Border Patrol Counsel.
Remember
this initial meeting should be a fact finding meeting and you should keep an
open mind. Let the facts lead you. In conducting this meeting, you need to keep
the following pointers in mind:
(1) The meeting should be held in private
without interruptions. If you do not have a private office, make arrangements
to meet in, a conference room or other private space. Make sure that your
telephone calls are held and that visitors will not interrupt you. A box of
facial tissue should be present in case the employee becomes emotional. Do not
allow yourself to be drawn into the emotional release. If necessary, provide
for a short break in questioning until the employee regains composure.
(2) Never hold the meeting when you are angry or
distracted. You must be able to give your full attention to the employee while
acting calmly and professionally,
(3) If a bargaining unit employee requests a
union representative, make arrangements for the union representative to be
present. If an employee requests a union representative, you can delay the
meeting (up to 48 hours) to give the employee a chance to obtain the representative.
You can also elect to cancel the meeting and proceed based on the facts
gathered elsewhere. However, in most instances, it is preferable to have the
employee s side of the story.
(4) Explain to the employee calmly the facts
that’ you have gathered and why you believe the conduct to be unacceptable. Ask
the employee to provide an explanation of what happened and why. You may place
an employee under oath during your investigation.
(5) Listen closely to what the employee has to
say. Lean towards the employee while looking in his/her eyes. Do not interrupt
him/her. Take notes. When an employee reaches a stopping point, paraphrase the
points which have been made and ask if you have the information correct. Ask
further questions needed to clarify the information presented.
(6) Key factors to look for in the employee interview include:
(a) Are there facts which indicate that the employee did not
engage in the alleged misconduct?
(b) Does the employee have a plausible explanation for the circumstances
leading up to the incident?
(c) Does the employee recognize the wrongfulness of the conduct,
show contrition, and is he/she willing to take corrective action to prevent its
reoccurrence?
(d) Is the employee being honest with you or does he/she appear to
be hiding information? Is he/she answering questions directly or are key
questions being evaded? What is the employee’s demeanor?
(e) Does the information provided require further investigation?
Does it resolve the concerns which you have?
(7) Do
not argue with the employee or the union representative..
(8) Do
not admonish the employee at the meeting.
(9)
Summarize in writing the information obtained and provide a copy to the
employee.
Employee
Status during Investigation: Normally an employee will continue working in
their regular duties during the time when an investigation is ongoing. However,
there are times where the allegations are so serious that the employee’s
continued performance of regular duties could jeopardize the smooth functioning
of the service. In these situations, the following options are available:
(1)
The
employee may voluntarily choose to take leave. However, an employee cannot be
forced to take leave without following regular disciplinary action procedures.
(2)
Modify the employee’s duties to exclude
duties which may be a problem.
(3)
Detail
the employee to another position where the employee will not be performing the
problem duties.
(4)
Place
the employee on administrative leave with pay, and
(5)
Propose
an indefinite. suspension if there is sufficient evidence showing “reasonable
cause to believe that the employee has committed a crime for which a sentence
of imprisonment may be imposed.” In this situation, notify your servicing
labor/employee relations specialist.
Determining
Appropriate, Corrective Action:
After
gathering all available information concerning the incident including
verification of information provided by the employee and any other follow-up
investigation, you are in a position to determine what action, if any, should
be considered.
Who
is telling the truth? First, you will need to decide whether misconduct did
occur. Where you have conflicting information, you will need to decide which
evidence is credible (believable). In making credibility determinations, you
need to consider the following:
(1) the witness’s opportunity and
capacity to observe the event or act in question;
(2) the witness’s character;
(3) any prior inconsistent statement;
(4) a witness’s bias or lack of bias;
(5) the contradiction or corroboration
of the witness’s version of events by other evidence;
(6) the inherent probability or
improbability of the witness’s version of the facts; and
(7) the witness’s demeanor when
interviewed. (Frequently called Hillen factors based on a decision by the Merit
Systems Protection Board).
Weighing
the Evidence: After you have determined which evidence is credible, you will
need to weigh that evidence to determine whether the misconduct occurred. For
Federal disciplinary and adverse actions based on conduct, an Agency must be
able to prove by a preponderance of the evidence that the conduct did occur. A
preponderance means the amount of evidence that a reasonable person would
accept as sufficient to support a conclusion that a contested fact is more
likely to be true than not.
Next
you have to determine whether disciplinary action will promote the efficiency
of the service. There must be a nexus (logical connection) between the conduct
and the efficiency of the service. If the misconduct occurred on duty, there is
a presumption of nexus. However, off-duty misconduct needs to be examined
further. For example, if an employee is having an affair with a consenting
adult who is an American citizen, it is unlikely that there would be a
connection to the Service. However, if an Asylum Officer was having an affair
with an alien whose case he/she processed, there would be a nexus even if the
behavior was consensual. This is because the conduct could impair his/her
ability to render an impartial judgment on asylum on behalf of the United
States. Some conduct such as murder and child molestation is so terrible
(egregious) that a nexus can be inferred from the nature of the conduct.
What
are the Options available for Correction? Once you have identified the misconduct
requiring correction and determined that there is credible, preponderant
evidence of that conduct, then you must determine what corrective action is
appropriate in this instance. The key thing to remember is that the punishment
should be the minimum necessary to correct the behavior and it should fit the
offense. Consistency and fairness should also be considered. Appropriate
actions to be considered include:
(1) Systemic Corrections/Adjustment: Making changes in procedures
and processes to assure that similar violations do not occur. This might be
appropriate when your fact-finding reflects that an employee was unaware or
misunderstood the requirement and is committed to not repeating the misconduct.
(2) Counseling or oral admonishment: This would be appropriate
where the violation is minor, the employee has a good record with no prior
instances of misconduct, and is committed to correcting the conduct. A
memorandum documenting the counseling can be provided to the employee.
Alternatively, a letter of admonishment signed by the supervisor may be
provided to the employee, but no record will be included in an employee’s
Official Personnel Folder. Such counseling or admonishment can not be cited in
future disciplinary actions as a first offense for the purpose of progressive
discipline, but it can be cited to show that the employee knew that such
conduct was unacceptable.
(3) Letter of Reprimand: The Letter of Reprimand is the lowest
level of formal discipline. In the Immigration and Naturalization Service, a
reprimand requires a proposal, an opportunity for an employee’s written
response, and a decision. Employees in Border Patrol Sectors covered by the
negotiated agreement with the National Border Patrol Counsel may also present
an oral response to the proposed reprimand per Article 32. A reprimand is
grievable. The decision letter becomes a part of the employee’s Official
Personnel Folder for a period of time not to exceed two years and can be cited
as evidence of a First Offense for Progressive Discipline. It does not involve
any loss of pay or time from work. It is appropriate for first offenses of
conduct for which a written record is necessary or where admonishment and
counseling have not worked. The proposing official for letters of reprimand in
the field is normally either the Deputy District Director or the Deputy Chief
Patrol Agent. However, super-visors usually recommend that a letter of
reprimand be initiated.
(4) Suspensions of one to fourteen days: This is appropriate for a
moderately serious first offense or a second offense of minor misconduct. A
suspension is a permanent record and an employee loses pay and time from work.
A notice of proposed action, an opportunity for the employee to reply orally
and/or in writing and a decision is required. As in the Letter of Reprimand, an
employee may grieve this action. The proposing official in the field is
normally either the Deputy District Director or the Deputy Chief Patrol Agent.
‘However, supervisors frequently recommend action.
(5) Suspensions of fifteen days or more: This is considered a
major action and is appropriate for extremely serious first offenses where
there is some potential for rehabilitation of the employee, second offenses of
moderately severe misconduct, and third offenses of minor misconduct. A 30 day
notice, right to respond orally and/or in writing, and decision is required.
Bargaining Unit Employees can appeal this decision under the negotiated
grievance procedure or they may file an appeal to the Merit Systems Protection
Board. Other employees have appeal rights to MSPB.
(6) Indefinite Suspension: In cases where there is “reasonable
cause to believe that an employee has committed a crime for which a sentence of
imprisonment may be imposed,” an indefinite suspension may be proposed pending
the outcome of investigation and/or criminal prosecution. The notice in these
cases will be 7 days. The appeal rights are the same as for suspensions of 15
days or more.
(7) Demotion: An employee is reduced in grade permanently. This
action is usually reserved for serious misconduct which calls into question the
employee’s ability to serve in the current position, but does not preclude
employment in a position of lesser responsibility. This is frequently proposed
for supervisors who are no longer suitable role models for their subordinates.
These are fairly rare actions and require that there be an available position
for which the individual is qualified. The procedures and appeal rights are the
same as for major suspensions.
(8) Removal during the Probationary (Trial) Period: Whenever a
probationary (trial) employee is engaged in repeated minor misconduct or any
misconduct which is more than minor, he/she should be removed once you have
determined that the employee knew that the conduct was unacceptable. A single
notice is sufficient except where the action is for preemployment reasons (i.e.
falsification of application). If the action is for preemployment reasons, the
employee is entitled to a notice of proposed action, an opportunity to respond
and a decision notice. Employee appeal rights are limited to allegations of
discrimination due to partisan political affiliation or marital status.
Employees who are terminated for preemployment reasons may also appeal whether
proper procedures were followed.
(9) Removal: (Career, career conditional, and excepted employees
who have completed the probationary or trial period) This is the capital
punishment of Federal discipline. It should be used only for very egregious
first offenses (such as rape of an alien, embezzlement of thousands of dollars
from the government or other felony criminal misconduct). It is also
appropriate for lesser misconduct where prior progressive discipline can be
shown to have been ineffective. INS will not normally tolerate four or more
instances of the same misconduct within two years, even where relatively minor.
Because of the severity of removal, MSPB and Arbitrators, who review removal
actions under the negotiated grievance procedure, look very carefully at these
cases to assure that the penalty is not excessive. They frequently mitigate the
penalty to a lesser penalty such as a sixty-day suspension. The appeals rights
for removals are the same as for suspensions of 15 days or more.
Employees
can also choose to raise allegations that any of the above actions were taken
in whole or in part because of discrimination based on race, color, religion,
national origin, sex, age, or disabling condition under the provisions for
filing an Equal Employment Opportunity Complaint.
Identify
Aggravating and Mitigating Circumstances Douglas Factors): In deciding what
action to take, the deciding official must consider such factors as the
seriousness of the offense, how it impacts the employee’s position, and whether
there have been prior instances of misconduct. This requirement comes from a
landmark decision, Douglas v. YA, 5 MSPB 313 (1981) and are called Douglas
Factors. A complete list of Douglas factors is attached for your information as
Appendix A. Failure to give appropriate consideration to any one of the factors
applicable to the case could result in a third party reducing the penalty which
has been selected by the INS. Also, if any charge which served as a basis for
the action, is not sustained by the third party, the third party will reapply
the Douglas factors and likely reduce the penalty further if the sustained
charge or charges do not reasonably support the action imposed.
The
penalty which you select should be consistent with the Department of Justice
Standard Schedule of Disciplinary Offenses and Penalties. (See Appendix B).
Recommending
Formal Action, If after fully investigating the alleged misconduct, you
determine that formal action is required, prepare a memorandum to the proposing
official for your organization. This memorandum should include the information
found in Appendix C.
You
are not alone! Much of the information
provided above is technical and can be intimidating. You are not expected to be
an expert in this process. There are trained Labor/Employee Relations Specialists
who will guide you through this process and help you make sure that your
actions meet all regulatory and legal requirements. Appendix D provides a
listing of the heads of the operating employee/labor relations offices at
Headquarters and for each Region. In addition, some of the larger sectors and
districts have Employee/ Labor Relations Specialists available to assist you.
These offices include: Los Angeles District, San Diego Sector, New York
District, Miami District and the EI Paso Sector. Please contact your servicing
employee/labor relations specialist if you have any questions about the
disciplinary process.
When
OIG/OIA investigations identify misconduct by your employee(s). When there are serious allegations of
misconduct against an employee, trained investigators of the OIG/ OIA will
conduct the investigation. Their findings and investigative report will be
provided to the Proposing Official for your organization who will decide the
type of action which is appropriate. In these cases, you will need to provide
information to the deciding officials on the following Douglas factors: How the
alleged conduct impacts the employee’s job, how it impacts your confidence in
the employee’s ability to do the job, what adjustments that you have had to make
to the employee’s work during the pendency of the investigation, any mitigating
circumstances surrounding the offense of which you are aware, and your
estimation of the employee’s potential for rehabilitation. It is very important
that you make sure the Proposing and Deciding Officials have this information.
INS has had actions reversed or reduced when actions were taken without
consideration of this information. Even though you are not in a position to
recommend action in these cases, you do have crucial information which will
impact the proposal and decision in these cases.
Chapter 4
The
method which you use to deliver notices proposing or deciding discipline can
influence the effectiveness of that discipline in deterring future misconduct.
The following pointers can improve the effectiveness of your discipline:
1. Schedule the delivery for a time when it is likely to be least
disruptive. You should make sure that you have sufficient time -to deliver the
discipline without interruption. The appropriate time to deliver both proposals
and decisions is dependent on the circumstances. Factors to consider in
selecting a time include the type of work place, the personality of the
employee, and the type of misconduct involved. It may be appropriate to provide
the employee administrative leave for the remainder of the shift after
consulting with higher level management. Needless to say, the notices must be
delivered before the effective date of any suspension, downgrade, or removal.
2. If at all possible, the person signing the notice should also
deliver the notice.
3. The notice should be delivered in private and arrangements
should be made to prevent interruption.
4. There is no entitlement to union representation since you are
not questioning the employee concerning conduct.
5. When delivering the notice, calmly explain the notice. Ask the
employee if he/she understands his/her rights to respond or appeal. Do not
engage in an argument over the merits of the case. When delivering a decision, where
the action is less than removal, emphasize to the employee that you expect
him/her to return to work fully committed to following the rules and that you
will welcome him/her back as a full member of the team. Emphasize, however,
that any further misconduct will not be tolerated and will likely result in
more serious disciplinary action including possible removal.
6. Have the employee sign the Receipt copy of the notice.
Emphasize that the signature does not indicate agreement with the notice’s
contents, merely acknowledgment of receipt. If the employee refuses to sign,
call in a witness. Write on the receipt copy, “Delivered to (name) on (date).
Employee refused to sign. (Your signature) (Witness’s signature) (date/time).”
7. Sometimes you are unable to arrange personal delivery to an
employee. This can occur where the employee is being removed for “excessive
absenteeism” and is not at work, where the employee has been on administrative
leave, or the employee is located at a remote worksite. In those situations,
the notice can be delivered by certified mail. Another acceptable delivery
method is personal service off the work site. If all else fails, you may tape
the decision on the employee’s residence door. If any of the above options are
used, a copy of the letter should be annotated to reflect the method of
delivery. Another option is to deliver a copy of the decision to the
representative designated by the employee. (Caution: The alternatives in this
paragraph should only be used when personal delivery is not feasible.)
FREQUENT
DISCIPLINARY SITUATIONS
There
are some disciplinary situations which are frequently encountered by first
level Supervisors. The following chapters provide guidance to you on dealing
with these common situations.
Absence
Without Leave(AWOL) and Failure to Follow Leave Procedures, Employees are
expected to be at work on time unless they have requested and obtained approved
leave in advance. Exceptions are made for illness and during periods of
emergency. When an employee is absent, has no leave scheduled, and does not
contact the supervisor using established leave procedures, he/she may be
considered Absent Without Leave (AWOL). Whether such an absence is finally
charged as AWOL depends on the circumstances of the situation. If the employee
returns to work with a valid reason for both the absence and the failure to
contact the supervisor, leave for the period of the absence should be approved
on a retroactive basis and no disciplinary action taken. In some instances,
employees will have a valid reason for leave, but fall to follow proper
procedures. In these cases, you would approve the leave and counsel the
employee on the proper procedures to follow. If this has occurred more*- than
once, you may consider appropriate disciplinary action such as an admonishment
or a letter of reprimand for “failure to follow established leave procedures.”
If there is no excuse for the absence, you should take appropriate disciplinary
action for both AWOL and “failure to follow established leave procedures.”
This
is an area where you need to exercise sound judgment. For example, during the
early morning hours, an employee is notified his son has been involved in a
serious car wreck and has been rushed to the hospital for emergency surgery.
The employee hurries to the hospital and remains there all day. He is so
distraught that he neglects to contact you. The next day, he returns to work
and explains what happened. No action would be appropriate in this case. In
another instance, an employee stays home with a daughter sick with the chicken
pox. She did not notify you of her absence even though she was at home near a
telephone throughout the day. The reason for the absence would be approved and
she would be entitled to leave. However, counseling or a letter of reprimand is
appropriate for failing to follow established leave procedures. In another
instance, an employee decides it is such a beautiful day and that he would
prefer to stay at home to work in his garden. He does not call to request
leave. AWOL would be appropriate in this case. You should also take or
recommend appropriate discipline which can include a letter of admonishment, a
reprimand or a short suspension based on the individual circumstances.
Leave
Abuse: Sometimes, an employee’s pattern of attendance has become a problem for
the organization. Even though the reasons provided by the employee are
plausible, the overall number of absences seem much too high. There may also be
a pattern in the taking of unscheduled leave which leads you to believe that
there may be abuse. Some indications of leave abuse are a low or non-existent
leave balance for an employee with many years of service, frequent unplanned
absences on Fridays, Mondays or near holidays, or absences every time that the
employee is scheduled for an assignment which he/she does not like, such as
giving a briefing.
In
these cases, you need to counsel the employee about your concerns. As long as
you are counseling the employee and not questioning him/her about conduct, the
employee does not have the right to a union representative in this meeting.
Advise him/her that you are concerned with the pattern of attendance. Using a
calendar, show him/her the days on which unplanned absences were taken. Explain
the impact these absences had on getting the work done and other employees.
Advise the employee that you expect an improvement in attendance and that
continued use of unplanned leave may result in your placing the employee on
leave restriction. Discuss with the employee options for resolving problems
contributing to the poor attendance such as unreliable child care or
transportation. Explain that all future unplanned leave requests must be made
directly to you or another person designated to approve the leave in your
absence. Warn him/her that you will not automatically approve leave on an
emergency basis in the future. If leave is disapproved, he/she will be carried
on an AWOL status and could be subject to disciplinary action. Advise the
employee if there is a personal problem which is contributing to the poor
attendance, that the employee is encouraged to contact the Employee Assistance
Program. Document your counseling in writing and give a copy to the employee.
(See Appendix E).
If
the employee continues to have attendance difficulties, issue a letter
restricting the use of leave. The Leave Restriction letter requires that an
employee provide satisfactory medical documentation for all sick leave or leave
without pay (LWOP) due to illness or incapacitation for either the employee or
a family member. Some Districts and Sectors require that a leave restriction
letter be coordinated with higher level management. Assure that you have
followed applicable local procedure before you issue such a letter. A sample
restriction letter is also contained in Appendix E.
Continue
monitoring the employee’s attendance. Verify that correct procedures were
followed for each instance of absence. Do not approve leave where it would
cause hardship to the work, except where competent medical evidence indicates
the employee or a family member is truly incapacitated. Make sure that you are
properly contacted, and the employee provides the needed documentation. If the
employee’s attendance is improving, let him/her know. In any case, where the
employee does not follow the procedures which you establish, place him/her on
AWOL and follow through with appropriate discipline such as a letter of
admonishment or a letter of reprimand.
Excessive
Leave Without Pay Sometimes, you have an employee whose services you need on a
full-time basis, but who has legitimate medical problems which preclude their
availability for work. They have exhausted available leave balances and have
taken substantial leave without pay (LWOP). While all employees are entitled to
unpaid leave under the Family Medical Leave Act of up to 12 weeks in a calendar
year where they have requested the leave and provided the necessary
documentation, you need not tolerate an employee’s absence for an indefinite
period of time. You may inform an employee that you will no longer be able to
approve LWOP and you will be required to place him/her on an AWOL status. This
disapproval should be based on work load requirements. It is important that you
understand that it is not appropriate to take disciplinary action against an
employee for absences which you have approved except under extremely limited
circumstances.
Fraudulent
Requests for Leave: Disciplinary action may also be appropriate where an
employee obtains sick leave fraudulently, even where there is no prior history
of leave abuse. For example, an employee calls in on a beautiful Friday morning
saying that he has the stomach flu, and cannot possibly come into work. You
approve sick leave. While driving to a checkpoint in your sector, you see the
employee playing golf on a course which you pass. In this circumstance, you
should confront the employee to obtain his story. If you are not satisfied with
his explanation you should place him on AWOL and initiate appropriate
discipline. Since this conduct involves fraud, you should also notify OIG/OIA
of the incident.
Excessive
Unauthorized Absence: May be charged when an employee simply chooses not to
report to work over an extended period of time. Prior to taking action to
remove an employee on this basis, you need to send him/her a letter directing
him/her to report to duty and advising him/her that failure to report will be
grounds for proposing removal action against him/her.
Leave
for an employee who is incarcerated. Employees may request annual leave for
periods of incarceration. Approval or denial is up to the employee’s supervisor
and should be based upon whether the employee’s services can be spared.
Normally, leave for incarceration will not be approved for periods of time
exceeding a week because of the impact of the extended absence on the work. If
leave is disapproved, the employee should be carried in an AWOL status and the
employee removed if the absences are excessive.
Chapter 6
Misuse
of Government Property, Vehicle, Credit Card, Time . Etc,
Employees
are provided equipment and other tools to assist them in carrying out their
Governmental functions. Sometimes, employees will improperly treat government
equipment as if it were their own. Sometimes the lines between personal and
official use blur. Employees are prohibited from using government property for
personal business except where that use involves negligible additional expense
to the government.
(See
Appendix F)
Phones:
It would be impractical to forbid employees to use telephones for necessary
personal business that cannot be conducted outside of working hours. Examples
of personal calls which can be accomplished on government phones include calls
(1) to or from a child’s school,
(2) to or from the home to verify a
child’s safe arrival, and
(3) to make or confirm an appointment
with a physician. These calls must be short and can not incur additional costs
to the government. It is not appropriate, however, to have long, chatty calls
with friends or to conduct business such as selling Avon products on government
phones or on government time.
Computers
: Another type of equipment which is prone to. improper personal use is the
computer. Government computers are not to be used to write a novel, keep records
of personal finances, or play games - whether it be solitaire or more complex
war games. Use of a government computer to conduct work for an outside business
is also prohibited. Limited personal use of computers or other office equipment
and library facilities are authorized where the cost to the Government is
negligible. The occasional writing of a short letter during an employee’s lunch
hour is permissible, while the writing of a book on the employee’s favorite
hobby is not. In some cases, an employee who is taking work-related courses,
may use the computer for school work. The key is whether there are any
significant costs incurred. If so, the usage is prohibited. Another major
concern in the use of the computer, is the improper use of data maintained in a
government data base for personal reasons. Using information from a data base
to find an address to set up a date or to check up on the criminal record of a
neighbor or acquaintance is an invasion of privacy and a serious violation.
Such a violation must be reported to the OIG/OIA for investigation.
Government
Vehicles: The intentional misuse of a government vehicle is a serious offense
with a statutory mandated penalty of a 30 day suspension without pay, [31
U.S.C. 1344 & 1349(b)]. Employees are not normally allowed to use
government vehicles as transportation to and from the workplace. They can
conduct errands which are incidental to the official use of the vehicle such as
eating at a restaurant or stopping at a convenience store in route, but they
cannot make a substantial deviation for personal reasons. A twenty mile detour
to go to a scenic water front restaurant is not appropriate. Carrying
unauthorized passengers such as family members or hitchhikers is also prohibited.
These violations should be reported to OIA (Class 2 allegation).
Government
Credit Cards: Employees are issued government credit cards to be used for
expenses incurred in connection with official travel. They are not to be used
for personal purchases, whether at home or while on travel. Employees agree not
to use the card for personal purchases when they apply for the cards.
Appropriate uses include air tickets, hotel expenses, restaurant meals, rental
cars, gasoline and taxi/limousine fares where these expenses are incurred in
connection with official travel. Using the credit card for the same expenses
for personal travel is not authorized. Similarly, personal expenditures while
on official travel such as clothing and toiletry purchases, entertainment, and
personal transportation for sightseeing are not to be charged to the government
card. Employees are encouraged to carry a personal credit card to cover such
charges. Audits are conducted to assure appropriate use of the cards.
Substantial expenses incurred near home or at retail stores such as J.C.
Penney’s or Sears tip off the auditors to inappropriate charges. If the
employee is unable to show that the purchase was for official business,
disciplinary action will be recommended. If you become aware of an employee
making inappropriate use of a government charge card, you should report this to
OIA (Class 3 allegation).
This
has become one of the most common bases for disciplinary action in INS. As a
supervisor, you can save your employees embarrassment, if you remind them of
the restrictions on the cards. It is particularly helpful to remind them of
these restrictions immediately before travel, especially if the employee has
not traveled recently. Also, if your employees frequently travel, you should
periodically remind them of this requirement.
Employees
are also expected to timely pay their outstanding balances on the government
credit card. If they cannot make a payment on time, perhaps due to late payment
of a travel voucher, they should notify American Express and make arrangements
for a delayed payment, They should also not carry balances over from month to
month. Failure to pay this government-connected bill could be a basis for a
formal disciplinary action.
Government
Time: Every employee should provide a full day’s work for a full day’s pay.
Employee’s must not use official time to sleep, read novels, play games, or
conduct outside business. Employees do and can occasionally chat about their
families and the latest, ball game, but such conversation should not be
prolonged so as to interfere with the accomplishment of the work. As a
supervisor, it is your responsibility to make sure that employees have enough
work to keep busy and that they do not spend government time in non-productive
pursuits.
Setting
the Example. Your example is particularly important in assuring that there is
no misuse of government time, property, or vehicles. If employees observe you
conducting personal business on government time and equipment, they will
consider this acceptable behavior and do so also. In some situations the
problem is office wide, while at other times, only one individual is involved.
If there is a problem throughout the office, you need to notify your employees
in a staff meeting or by other appropriate means of the behavior You expect, An
individual employee whom you observe in misuse should be orally counseled as a
minimum. If the behavior Continues, you should initiate more stringent action,
such as a written admonishment or letter of reprimand. These actions should
clearly state that further such action will result in more serious discipline.
This should be sufficient to stop most misuse situations. If there are further
instances of’ misuse, you should investigate and recommend appropriate further
discipline. Intentional misuse of a government vehicle should be reported to
OIA.
Unauthorized
Removal of Government Property (Theft): If you have any reason to believe that
one of your employees has stolen or taken government property and converted it
to his/her own use, you should report the information which you have to OIG/OIA
for investigation (Class I allegation). Once an investigation confirms that
property was taken, a disciplinary action for “unauthorized removal of
government property” is appropriate. Disciplinary action for “theft” is seldom
taken since it requires proof of intent to permanently deprive the government
of the property which can be difficult to prove. The penalty selected will vary
depending on the value of the property, the position held by the employee and
employee contrition.
Chapter 7
Insubordination/Failure
to Follow Supervisory Instructions
Insubordination:
Subordinates are obligated to follow the proper orders of supervisors.
Subordinates cannot decide for themselves what they will and won’t do after
they have been given proper and explicit supervisory instructions. If the
employee is displeased by his supervisor’s instructions, except in unusual
circumstances, ‘he/she is expected to comply first and grieve later.
When
faced with a situation of possible insubordination, you need to ask three
questions:
1.Were instructions (orders) clear and complete so that the
employee could understand and follow the directions? 2 Are the instructions
proper? An order which requires an employee to do something that is immoral,
illegal, unsafe, a violation of regulations, or requiring a feat beyond his/her
capabilities is not enforceable.
3. Was the employee’s failure to comply intentional? Employee
remarks such as, “You can’t make me do that!” or “Hell, no, I am not going to
do that!” show intent to disobey the order. To take action for insubordination,
you must be able to answer yes to all three. A formal disciplinary action such
as a letter of reprimand or a suspension is appropriate for a first offense of
a deliberate refusal to follow an explicit and proper order.
When an employee’s words or body language communicate that he/she
intends to disobey your instructions, you may call in another supervisor as a
witness and give the employee a direct order. Including in your instruction the
words, “direct order,” can remove any doubt as to whether the employee knew
that your request was an order.
Failure to Follow Instructions: However, there are some cases
where the direction was clear and proper, the employee did not follow it, but
you cannot prove that the failure to follow the direction was intentional. It
appears the employee didn’t follow through due to such reasons as inadvertence,
incompetence, obstacles created by individuals beyond the employee’s control,
or poor time management. In these cases, counseling is appropriate in the first
instance. Talk to the employee about the direction which you gave to make sure
that he/she understood it. Find out from the employee why the direction was not
followed. Work with the employee to remove any barriers to following through
with the directions. Make sure that the employee clearly Understands what is to
be accomplished and when. Document your discussion in a letter of counseling
and provide a copy to the employee. Monitor the employee to make sure the
direction is followed. If the employee continues not to follow your directions,
YOU may request formal action be taken against him/her.
The line between conduct and performance can blur in cases
involving the failure to follow instructions. An alternate approach, where the
failure is connected to one of the employee’s critical performance elements and
the problem involves a general failure to perform rather than a single
instance, is to place the employee on a Performance Improvement Plan. If you have this situation, contact
your servicing Employee/Labor Relations Office for assistance.
Lax
Completion of Directions: If an
employee carries Out an order grudgingly and deliberately does the work
improperly or delays completion beyond a reasonable time disciplinary action
may be considered for “Failure to properly carry out assigned work” or
“Unreasonable delay in carrying Out assigned work.”
Disruptive
conduct at work can take many forms. Some are very minor, while others are very
serious. All, however, should be dealt with immediately and consistently. If
minor disruptive comments by an employee are ignored, the behavior can escalate
and create conflict throughout the work force and even cause physical violence.
Such conduct can include inappropriate remarks, personality conflicts, threats,
and fights.
Inappropriate
Remarks: There are a wide range of comments which employees make which are
inappropriate in the work force. These comments can include rude remarks to
customers and co-workers, vulgar language and profanities, remarks which demean
individuals or groups because of their race, national origin, religion, sex,
age, color, disabling conditions etc., and expressions of disgust concerning
customers, co-workers, superiors and subordinates. Such comments are easy to
ignore, but if left alone, can create a work place environment which no INS
employees should have to tolerate. Your failure to deal with such problems can
lead to subordinates filing EEO complaints and/or grievances against you for
not correcting the problem, complaints by customers, disciplinary action
against you, high attrition as employees escape a poisoned work environment,
and a reduction in productivity as employees grouse and gripe among themselves.
This
is one area where your example is crucial. If you use language which is rude,
vulgar, demeaning, or disgusting, your subordinates will consider the behavior
acceptable and engage in it also. Also, you will lose good employees who will
look for other jobs where they do not have to tolerate such language.
Immediate
correction of subordinates is essential. When you hear an employee use
inappropriate language or learn of such a remark being made, you should call
the employee aside and privately counsel him or her that such language is
inappropriate. If the employee continues to make such inappropriate remarks,
you need to begin the process of progressive discipline. In disciplining an
employee, you need to focus the attention of the employee on the wrongfulness
of the conduct and work on gaining his/her commitment to improving. There may
be some instances where the comments create embarrassment for the agency or are
accompanied by gestures and a tone of voice which warrant more serious
discipline. In any instance, you should include in your discipline, a warning
to the employee that the comments are unacceptable and that further such
statements could lead to more stringent discipline.
Personality
Conflicts: Sometimes your employees simply do not get along with each other.
They come from different backgrounds, with different standards and work ethics,
and have different (or too similar) personality styles. This can cause
conflicts which interfere with work accomplishments. As a supervisor, it is
your responsibility to identify these problems and take action to assure that
your subordinates work together civilly.
Some
symptoms of this problem include:
(1) employee complaints that a fellow
employee is a jerk, lazy, creepy, nasty or mean,
(2) sulking behavior,
(3) tattling and complaining to you
about another employee by one or more of your employees,
(4) loud and cross conversations
between employees, and
(5) requests by one of tile employees
for you to take his/her side in a personal dispute.
In intervening
in such a problem, you need to be careful that you do not appear to be taking
the side of one or the other of the employees. You also must work with them to
open their lines of communication, assist them in developing a solution which
resolves the problem, and identify how your own behavior may be contributing to
the problem. Taking classic disciplinary action is unlikely to resolve this
problem by itself
You
may want to consider mediating the dispute between the involved individuals.
You need to. get the two of them together to find out what the problem is and
have them develop solutions. You should make sure that you have ample time for
this discussion, and that you will be free of any interruptions. You should
open the session by advising the involved employees of your observations which
concern you and how you feel that it is affecting their work. You should than
ask each one what the problem is from his/her perspective. While an employee is
giving his/her version of the problem, you should listen carefully without
interruption. When the employee pauses, paraphrase what he/she has told you and
ask whether this is what was meant. Watch the reactions of the other employee.
Proper reading of body language can help you to identify the major areas of
disagreement. Also, reduce the interruptions from the other employee while an
employee is presenting his/her side of the story. Ask questions to clarify the
information presented. After one employee has vented his/her concerns, ask if
there are any more. Then give the other employee the same opportunity to voice
his/her concerns. If one of the employees is reluctant to participate, you
should ask further questions. You can also consider talking to employees alone,
with the understanding that both will have the same opportunity to talk with
you alone and that any solutions will be worked out jointly. After each
employee has given his/her side of the story, ask each of them how you may have
contributed to the problem. Then have them brainstorm alternatives for
resolving this problem. Have them work out a solution to the problem. Make sure
that the solution is something that you and other employees can live with.
Write down what each of them and you agree to do. Have them sign a summary of
the action plan and hold them accountable to that plan.
It is
possible that an employee may consider your questions to be on a matter for
which discipline can be taken and may request union representation. You can
either permit the union representative to be present or discontinue. Also, so
long as the discussion is limited to matters between the two employees, it is
not a matter involving general working conditions and the Union need not be
present. If a problem is so large that it involves several employees, you may
have a meeting involving general working conditions to which you should invite
a union representative. Also, if a grievance has been filed by one of the
employees implicating the other, a union representative should be given an
opportunity to attend.
Another
alternative which may be used in very sensitive, confusing, or controversial
cases, is employing the services of a professional mediator to assist in
resolving this problem. You should check with higher level management and your
servicing Labor/Employee Relations specialist if you would like to consider
this option.
In
this meeting, one or both employees may admit to a personal problem such as
alcoholism or family problems which is contributing to his/her behavior. If
this is the case, you should defer any discussion of the personal problem to a
private meeting with that employee. At the private meeting, you should refer
the employee to the Employee Assistance Program.
Personality
conflicts are fairly common, require sensitive handling, and can escalate into
much more serious problems if not resolved in the early stages.
Threats:
Any communicated intent to inflict physical or other harm to a person or
property is a threat. However, it is important to distinguish between idle talk
(jokes) and genuine threats. A person who laughingly tells a co-worker,
“Sometimes I just want to kill my boss when he rejects my work” is probably not
communicating a threat, but merely expressing frustration. An actual threat
occurs when threatening remarks are accompanied by behaviors which a reasonable
person would consider an intent to carry through with the threat, and the
listener perceives the statement as a threat. In determining whether a threat
occurred, you need to determine
(1) the listener’s reaction,
(2) the listener’s apprehension of
harm,
(3) the speaker’s intent,
(4) any conditional nature of the
statements, and
(5) the attendant circumstances.
If
the listener does not perceive the comments as a threat, there probably is no
threat, even when the literal language appears threatening. If the listener is
not concerned by the remarks, believes that the speaker was blowing off steam
or otherwise takes no action to protect himself or others from the threat, the
actions will not be considered a threat. Such statements are, however,
disruptive and should be handled in the same manner as other disruptive remarks
(see above). When the listener is fearful and takes protective measures, a
threat is likely to be found. Examples of protective measures include:
(1) avoiding the speaker,
(2) notifying the police,
(3) carrying a weapon when lie/she
would not normally do so,
(4) installing security devices, or
(5) requesting a restraining order. The
speaker’s intent can be determined from the actions accompanying the statement.
Was lie angry? Loud? Glaring? Did he use hand gestures in a threatening manner
such as punching, chopping, stabbing or shooting motions? Does he have the
capability to follow through on the threat? Is he stalking or following the
person whom he indicates he will harm?
As a
supervisor of an employee who has communicated a threat, you first need to take
immediate action to protect your employees. If you hear an employee make a
threat or are advised that an employee is threatening others, you should make
sure that appropriate security personnel are notified. You should talk to the
threatening person calmly and stall for time, while maintaining eye contact and
listening attentively to his/her concerns. Be patient and courteous, while not
making any sudden moves. If the employee is threatening you or others with a
gun, knife, or other weapon, follow his/her instructions. Do not try to grab
the weapon. Watch for a safe chance to escape to a safe area. After the
incident has been resolved, notify higher level management and OIG/OIA for
investigation (Class I allegation). It is also appropriate to remove the
employee from the work site, and provide administrative leave for the remainder
of the day. You need to make sure that appropriate measures are taken to
protect yourself, other employees, and customers. You also will want to refer
the threatening employee to the Employee Assistance Program. Assistance from
the Employee Assistance Program for the employees who witnessed or were the
target of the threats should also be requested.
Threats
are very serious and may be the basis for a removal action even for the first
offense. During the investigation, you may want to keep the employee away from
the workplace. You cannot force an employee to take annual leave, sick leave or
LWOP , but if he/she requests it, you may approve the leave. If the employee
does not request leave, you may consider granting administrative leave to the
employee in accordance with Regional or other governing policy, or assigning
him/her to other duties where he/she will not constitute a threat to others. At
a minimum, you should relieve the employee from any duties requiring the use of
weapons. Another option that can be considered is the use of an indefinite
suspension. You should consult your servicing Labor/Employee Relations officer,
security personnel for your worksite, and higher level managers in determining
appropriate action to take during the pendency of the investigation.
Fighting:
Physical altercations between employees are serious offenses warranting
discipline. Such attacks are also criminal violations (Class I allegations) and
should be reported to OIA/OIG for investigation in all instances. Such fights
can include fist fights, slapping, biting, stabbing, and throwing objects at
each other. In such instances, you should call security personnel to break up
the fight. Also notify higher level management. In evaluating the information
concerning a fight, you will need to determine if the fight was provoked by
actions or comments of the person who appears to be the victim. Such actions will
also be a basis for discipline. Just as in cases of threats, you will need to
consider whether you want to keep a violent employee(s) out of the work place
during the conduct of the investigation. (see above).
Chapter 9
Any
allegation that an employee is abusing an alien or engaging in an inappropriate
personal relationship with an alien is very serious. If you receive any
information that your subordinates have engaged in such behavior, you should
immediately notify OIG/OIA (Class I allegation) and higher level management.
You should also take action to assure the employee will have no contact with
the alien(s) involved during the pendency of the investigation. If the
investigation supports that such violations occurred, major adverse action up
to and including removal, is appropriate.
Chapter
10
Falsification:
As a
supervisor, you have a right to expect your employees to be honest, trustworthy
and candid. Falsification of a government document or providing of false
information to supervisors or investigators strikes at the very heart of the
employee/employer relationship. Complete truthfulness by a law enforcement
officer is especially crucial, since his/her testimony at a trial or hearing
could be impeached if there is any record of falsification.
A
disciplinary action for falsification or fraud requires that the information be
inaccurate and that the employee intentionally provided false information.
Action can also be taken when the employee provided inaccurate Information with
a “reckless disregard for the truth.” Falsification can be found in many types
of government documents which an employee completes. These include job
applications, questionnaires for sensitive positions, time and attendance
records, leave requests, travel vouchers, workers compensation claims, incident
reports, investigation statements, and accident reports. Many of these forms,
such as travel vouchers and time and attendance records, require supervisory
approval before submission. If you approve a form as true and correct. when you
have reason to believe otherwise. you could also be subject to falsification
charges. As a supervisor, you should carefully review such documents. If you
notice a discrepancy, you should ask the employee for clarification. In most
cases, the errors are inadvertent and the employee will quickly correct them.
In such cases, counsel the employee on the importance of paying attention to
detail. If the employee refuses to correct the error or you discover later that
the employee may have submitted a fraudulent document, notify OIG/OIA (Class I
or Class 2 allegation depending on circumstances) and request an investigation.