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This HROI established: August 10, 2000 This version effective: May 9, 2008 Background information: This HROI is revised to clarify the material in the introduction and to change the format from narrative to questions and answers. The Offenses and Penalties have been enhanced and special emphasizes placed on misconduct by employees engaged in safetyor security-sensitive work. Use this HROI in conjunction with: ER-4.1, Standards of Conduct (link to https://employees.faa.gov/org/staffoffices/ahr/policy_guidance/hr_policies/hrpm/er/er-4-1/)
1. What is the purpose of the TOP? The listed offenses and suggested penalties are provided as guidance. This TOP is not designed to cover every possible offense. Managers may initiate disciplinary measures, up to and including removal, for offenses not listed. Where a range of penalties is listed, a manager may select the penalty, including the most severe penalty, which is believed warranted. When describing a charge, care should be exercised to cite only those portions or phrases of the offense that apply. For instance, offense number 5 of this TOP is “failure or delay in carrying out orders.” Do not charge the employee with failure and delay if the employee only delayed in accomplishing a task. The charge must be accurately described and the supporting specification must be specific and supportive of the charge. 2. What is meant by first offense, second offense, etc., in the TOP? The first time an employee is formally disciplined (written reprimand or suspension) is considered a first offense on this TOP. Continued misconduct involving subsequent violations of rules or regulations may be considered under the second and third offense columns, even if the misconduct is different from that for which previously disciplined. For instance, an employee is disciplined as a first offense for running a football pool at the workplace. At a later date the employee is disciplined for AWOL. The manager would look at the discipline suggested as a second offense for the AWOL charge. It is not necessary for the manager to refer to the first offense column for AWOL violations. Managers must weigh the significance of prior discipline when choosing an appropriate penalty to correct the situation. 3. What steps should the manager follow when considering discipline? Before initiating a disciplinary measure, a manager should familiarize him/herself with the Personnel Management System (PMS), Chapter III, (link to https://employees.faa.gov/org/staffoffices/ahr/policy_guidance/hr_policies/PMS/PMSCH3/) and pertinent Chapters contained in Volume 4 of the Human Resources Policy Manual (HRPM) (link to https://employees.faa.gov/org/staffoffices/ahr/policy_guidance/hr_policies/hrpm/HRPMTOC/#er) and associated Human Resources Operating Instructions (HROI). Managers of employees included in a bargaining unit must also review the collective bargaining agreement. Consultation with the servicing HRMD prior to issuance of any notice is mandatory in order to assure consistency in the application of the Federal Aviation Administration (FAA) disciplinary
May a manager deviate from the range of penalties suggested in the TOP? Yes. This TOP suggests a 7 to 14 day suspension for a first offense for this type of misconduct. There is no prohibition against initiating a suspension in addition to a demotion action for the same misconduct.faa. Termination action should be initiated whenever the probationer fails to demonstrate appropriate conduct or satisfactory performance for continued Federal employment. 4. the imposition of discipline suggested in this TOP applies to non-probationary period employees. committed repeatedly. If circumstances warrant such a deviation. What impact does the Accountability Board have on discipline? In accordance with FAA Order 1110. a decision may be made to initiate an action more severe than the TOP suggests.gov/org/staffoffices/ahr/policy_guidance/hr_policies/hrpm/er/er_ref/douglasf actors/ for more information.6. ER-4. Accountability Board. 6.faa. The manager could carefully explain. For instance. Does the TOP apply to probationary employees? Typically. the HRMD must be consulted on discipline proposed and decided for . managers may consider demotion as an appropriate course of action. How are suspensions calculated? Suspensions shall generally be applied in consecutive calendar days.gov/org/staffoffices/ahr/policy_guidance/hr_policies/order/orders/1110_125 A/) . failure to maintain a medical clearance. if supported by the facts of a specific event. an employee has misused the Government contractorissued travel card for personal purchases on hundreds of occasions and has accumulated substantial debt.gov/org/staffoffices/ahr/policy_guidance/hr_policies/hrpm/er/ER-4-6/) or HRPM. See https://employees. 5. However. The reason for deviating from the TOP should be documented in the proposal notice. demotions are not restricted to managers. Managers must closely monitor a probationer’s performance and conduct during this critical period of employment. However. Termination during New Hire Probationary Period (link to https://employees. most often demotions may result because of managerial misconduct.faa. The TOP is only one of the twelve FAA Factors. A manager may deviate from the guide. failure to successfully complete ATC training. Termination during Managerial Probationary Period (link to https://employees. 8. Consideration of the applicable FAA Factors (also referred to as the “Douglas Factors”) is not only mandatory. the manager is responsible for the level of discipline proposed and for the ultimate decision. the servicing Human Resources Management Division (HRMD) may grant an exception. See the HRPM. regardless of the employee’s work schedule. could have a negative impact on the reputation of the FAA and any other factors that play a significant role in proposing disciplinary action. ER-4. such as. On occasion.gov/org/staffoffices/ahr/policy_guidance/hr_policies/hrpm/er/ER-4-7/) and the companion HROI’s for further guidance.program and to determine if the contemplated action is supportable. However. inability/unavailability to perform the essential functions of a position. 7. loss of a security clearance. Since managerial officials are held to a higher standard than the general workforce. that this behavior is particularly egregious because it is apparent that the employee’s actions were deliberate.125(series) (link to https://employees. statutorily mandated discipline.faa.7. but assists managers in selecting the appropriate level of discipline. up to and including removal. Managers are not required to perform an analysis of the FAA Factors for actions initiated for unacceptable performance or condition of employment cases. for example. May managers use demotion to address misconduct? While not specifically addressed in most of the listed offenses. deviation from consecutive calendar days may be required for the good of the Service. when the manager analyzes the FAA Factors. and impose either a lesser or greater penalty as circumstances dictate.
the Accountability Board shall be consulted prior to initiating any action.faa.gov/org/staffoffices/ahr/policy_guidance/hr_policies/hrpm/hroi/er/tblchart. FAA Table of Disciplinary Offenses and Penalties (link to https://employees.pd f) .discipline associated with behavior under the purview of the Board. If the Accountable Official and the responsible HRMD do not agree to what action is appropriate.
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