3 FAM 4540
LIST OF OFFENSES SUBJECT TO DISCIPLINARY ACTION - CIVIL
SERVICE
(CT:PER-860; 07-17-2017)
(Office of Origin: HR/ER/CSD)
3 FAM 4541 purpose of list
(CT:PER-860; 07-17-2017)
(State Only)
(Applies to Civil Service Employees)
The purpose of this subchapter is to advise employees,
supervisors, and managers of some of the types of employee conduct which can
result in disciplinary action. It is intended that that material be required
reading for new employees and that it be referred to during briefings on the
behavior expected of employees, ethics, etc. The Department believes that the
more employees know and understand their responsibilities and the professional
standards by which they are expected to abide, the less likely it is that they
will engage in improper behavior that requires disciplinary action.
Disciplinary action is taken only after it has been determined that discipline,
rather than less formal action, such as counseling, is necessary.
3 FAM 4542 LIST NOt All-INCLUSIVE
(CT:PER-860; 07-17-2017)
(State Only)
(Applies to Civil Service Employees)
a. It is impossible to list every possible punishable
offense, and no attempt has been made to do this. Employees are on notice that
any violation of Department regulations could be deemed misconduct regardless
of whether listed in 3 FAM 4540.
This table of penalties lists the most common types of employee misconduct.
Some offenses have been included mainly as a reminder that particular behavior
is to be avoided, and in the case of certain type of offenses, like sexual
assault, workplace violence, and discriminatory and sexual harassment, to
understand the Department's no-tolerance policy.
b. All employees are on notice that misconduct toward,
or exploitation of, those who are particularly vulnerable to the employee's
authority and control, e.g., subordinates, are considered to be particularly
egregious and will not be tolerated.
3 FAM 4543 PENALTY DETERMINED ON MERIT
OF INDIVIDUAL CASE
(CT:PER-860; 07-17-2017)
(State Only)
(Applies to Civil Service Employees)
The broad range of "possible" penalties in this
subchapter is intended to serve as a general guideline. The proposing or
deciding official, however, retains the discretion necessary to select the most
appropriate action in any particular case in view of all the facts and
circumstances. In deciding whether to discipline an employee and in selecting
an appropriate disciplinary action, the proposing or deciding official takes
into consideration the constructive purpose of discipline, which is intended
to:
(1) Correct, if possible, unacceptable conduct,
attitude, or work habits;
(2) In every case, ensure that necessary action is
taken to help maintain morale and efficiency of the Service; and
(3) Be fair and reasonable in its degree of severity.
3 FAM 4544 DETERMINING CORRECTIVE
ACTION TO BE TAKEN
(CT:PER-860; 07-17-2017)
(State Only)
(Applies to Civil Service Employees)
The following principles will be observed by supervisors
and managers in the first instance, and by proposing and deciding officials
when formal disciplinary action is considered:
(1) The disciplinary action should be consistent with
the precept of like penalties for similar offenses with mitigating or
aggravating circumstances taken into consideration. Whether or not offenses
are alike will be based on similarity of the underlying conduct rather than how
the charge is worded. The action taken should be fair and equitable; and if a
penalty is warranted, it should be no more severe than sound judgment indicates
is required to correct the situation and maintain discipline. The penalties
listed in this subchapter should serve as a guide for appropriate actions for
most offenses. It is entirely possible, however, that an objective review of
all facts and circumstances in a given case will indicate a greater penalty, a
less severe penalty, or no penalty should be recommended, as appropriate to
obtain the general objective herein;
(2) In determining what action should be taken, it
should be established whether the employee knew, or could reasonably be
expected to know, what standards of conduct or performance was expected of him
or her. However, at a minimum, Federal employees must understand they are
expected to abide by the law, the Department's regulations, and common-sense
standards of conduct;
(3) Employees in leadership positions or in law
enforcement positions must understand that they will be held to a higher
standard of conduct and that they are expected to model professionalism,
integrity, and responsibility;
(4) Repetition of the same offense, or related
offenses, will be considered in assessing any penalty; as such, repetition may
imply a disregard for authority and/or an inability to correct behavior; and
(5) The decision as to the action to be taken must in
no way be influenced by the employee's race, color, religion, sex, national
origin, marital status, disability, political opinions or affiliations, sexual
orientation, or gender identity
3 FAM 4545 SOME CONSIDERATIONS IN
DETERMINING PENALTY
(CT:PER-860; 07-17-2017)
(State Only)
(Applies to Civil Service Employees)
The following factors should be considered in determining
the appropriate penalty. Not all factors are applicable to all cases.
(1) Nature and seriousness of the offense, and its
relation duties, position and responsibilities, including whether the offense
was intentional or technical or inadvertent, or was committed maliciously or
for gain, or was frequently repeated;
(2) Position of employee, including supervisory or
fiduciary role, contacts with the public, and prominence of the position;
(3) Past disciplinary record;
(4) Past work record, including length of service,
performance on the job, ability to get along with fellow workers, and
dependability.
(5) Effect of the offense upon the ability to perform
at a satisfactory level and its effect upon the supervisor's confidence in the
ability to perform assigned duties;
(6) Consistency of the penalty with those imposed upon
other employees for the same or similar offenses;
(7) Consistency of the penalty with table of
penalties;
(8) Notoriety of the offense or its impact upon the
reputation of the Department;
(9) Clarity with which the employee was on notice of
any rules that were violated in committing the offense, or had been warned
about the conduct in question;
(10) Potential for the employee's rehabilitation;
(11) Mitigating circumstances surrounding the offense
such as unusual job tension, personality problems, mental impairment,
harassment, or bad faith, malice or provocation on the part of others involved
in the matter; and
(12) Adequacy and effectiveness of alternative
sanctions to deter such conduct in the future.
3 FAM 4546 LIST OF DISCIPLINARY
OFFENSES AND PENALTIES
(CT:PER-860; 07-17-2017)
|
Nature of Offenses
|
Penalties
|
|
|
Penalties will generally fall within
the range of a Letter of Reprimand to Removal except where indicated
|
|
Relationship With Public
|
|
1. Failure to obtain any required clearance of speech or
article involving matters of official concern (see 3 FAM 4170)
|
|
|
2. Discourteous conduct to the public confirmed by an
immediate supervisor's report of four such instances within a 1-year period (5
U.S.C. 7503(a))
|
|
|
3. Making unauthorized commitments for contracts,
grants, or cooperative agreements
|
|
|
Security Regulations
|
|
4. Commission of a security infraction or violation (12 FAM 550)
|
|
|
5. Violation of security regulations relating to
reporting contacts with, and/or restricting association with, certain foreign
nationals
|
|
|
6. Violations of security regulations, guidelines, or
instructions such as unauthorized disclosure or exposure of classified/administratively-controlled
information, improper handling of classified/administratively controlled
information
|
|
|
Outside Employment and Interests
|
|
7. Engaging in private business activities of a
prohibited or unethical nature ( 3 FAM 4120)
|
|
|
8. Accepting of improper dual employment or dual
compensation by the U.S. Government
|
|
|
9. Solicitation or acceptance by an employee of gratuity
or gift which might reasonably be interpreted as tending to influence the
performance of official duties
|
|
|
10. Violation of regulations relating to acceptance of
gifts and decorations from foreign governments (3 FAM 4122)
|
|
|
11. Engaging, directly or indirectly, in financial or
other transactions, which create real or apparent conflicts of interest
|
|
|
Political Activity
|
|
12. Improper political activity (5 U.S.C. 7321, et seq.)
|
Suspension or removal
|
|
*Attendance-Related
|
|
13. Unexcused or unauthorized absence from the job
during working hours or on any scheduled day of work (AWOL)
|
|
|
14. A pattern of frequent lateness for duty (excessive
tardiness)
|
|
|
15. Improper use of sick leave
|
|
|
*Penalty depends on length and frequency of absences;
removal may be appropriate for a first or second offense if the absence is
prolonged. NOTE: A letter of leave restriction may be issued by an Executive
Director or equivalent prior to formal disciplinary action.
|
|
Conduct on the Job
|
|
16. Intoxication caused by alcohol or other drugs
|
|
|
17. Disruptive behavior; fighting; threatening or
attempting to inflict bodily injury to another; engaging in dangerous
horseplay; use of abusive or obscene language to or about another person;
creating a disturbance which adversely affects efficiency or which reflects
unfavorably on the agency
|
|
|
18. Making false or unfounded statements concerning
another officer or employee of the U.S. Government
|
|
|
19. Safety (nonmotor vehicle): violations of safety
regulations, instructions or prescribed safe practices, including failure to
report accident or injury
|
|
|
20.Safety (U.S. Government motor vehicle operation):
Violation of traffic laws, safety regulations or instructions, or safe
driving practices, including failure to report accident or injury
|
|
|
21.U.S. Government Property:
|
|
|
a. Willful or negligent damage or defacement
|
30-day suspension to removal (31 U.S.C. 1349(b))
|
|
b. Willful misuse of or allowing the use of U.S.
Government motor vehicles, aircraft, or watercraft for other than official
purposes
|
|
22.Act of negligence or carelessness in performance of
duty resulting in waste of public funds or inefficiency
|
|
|
23.Use or allowing uses of U.S. Government funds,
property, or other resources for unofficial purposes or for private benefit
|
|
|
24. Use of U.S. Government equipment for prohibited
activities, including gambling, advertising for personal gain, or viewing,
downloading, storing, or transmitting, or copying materials that are sexually
explicit, while on duty.
|
|
|
25.Conducting personal affairs while in duty status,
which negatively impacts on the efficiency of the Service
|
|
|
26. Sleeping, loafing, or willful idleness while on duty
|
|
|
27. Unauthorized maintenance or use of slush funds, gift
funds, or other funds, which are undisclosed or unaccounted for
|
|
|
28. Failure to follow proper instructions
|
|
|
29. Insubordination
|
|
|
30. Misuse of U.S. Government credentials, diplomatic or
official passports
|
|
|
31. Misuse of U.S. Government-sponsored or issued credit
cards, or untimely payment or nonpayment of balance due, other than disputed
charges
|
|
|
32. Improper use of official authority or information
|
|
|
33. Acceptance of voluntary services for U.S. Government
contrary to statute
|
Appropriate administrative discipline including, when circumstances
warrant, suspension without pay or removal ( 31 U.S.C. 1349(a))
|
|
34. Use or attempted use of influence or pressure to
secure favor in appointment, transfer, advancement or retention of a relative
in the agency
|
|
|
35. Violation of the "no strike" affidavit
|
Removal
|
|
36. Violation of merit principles or procedures with a
demonstrable adverse effect on one or more persons
|
|
|
37. Harassing, threatening, or taking reprisal action
against an employee as a result of or in anticipation of a grievance,
appeals, complaint, or other exercise of rights
|
|
|
38. Misappropriation or misapplication of funds (see for
example, 31 U.S.C. 1341 or 31 U.S.C. 1301)
|
Appropriate administrative discipline including, when
circumstances warrant, suspension without pay or removal (see for example, 31
U.S.C. 1349)
|
|
39. Gifts to official supervisorssoliciting contributions for gifts or presents to those in
superior official positions, accepting gifts or presents from U.S. Government
employees receiving lower salaries, or making donations as a gift or present
to official supervisors (exception: this does not prohibit a voluntary gift
of nominal value or donation in a nominal amount made on a special occasion
such as marriage, illness, retirement, or transfer (22 CFR 1203.735-202(e))
|
Removal (required by 5 U.S.C. 7351)
|
|
Personal Conduct or Character
|
|
40. Dereliction of management and supervisory duty by
neglecting to carry out personnel management responsibilities, including
failure to address conduct or performance problems, failure to complete
required performance ratings or reviews, or failure to address a toxic
workplace
|
|
|
41. Conduct by a senior official that demonstrates
unsatisfactory leadership in relation to a security incident under review by
an Accountability Review Board convened pursuant to 22 U.S.C. 4831.
|
|
|
42. Fraud (misrepresentation, falsification, or willful
omission of material fact in connection with application, employment, or any
record, report, investigation, or other proceeding)
|
|
|
43.. Conduct demonstrating untrustworthiness,
unreliability, or use of poor judgment
|
|
|
44. Discrimination*
|
|
|
*As used in this table, discrimination refers to a
specific act taken by an employee in the performance of his or her official
duties, which discriminates against one or more individuals on the basis of
race, sex, religion, color, age, national origin, handicapping condition,
marital status, political affiliation, or sexual orientation
|
|
45. Refusal to answer appropriate interrogation or
otherwise cooperate in properly authorized inquiry
|
|
|
46. Failure to pay a just financial obligation(s) in a
proper and timely manner
|
|
|
47. Violation of laws, regulations, or policies relative
to possession, use, or transportation of firearms or other dangerous weapons
|
|
|
48. Violation of laws, regulations, or policies relative
to trafficking in persons and the procurement of commercial sex, any attempt
to procure commercial sex, or the appearance of procuring of commercial sex
|
|
|
49. Sexual Assault (3 FAM 1700)
|
|
|
Miscellaneous Offenses
|
|
50. Failure to maintain records as required by 5 FAM 414.8
|
|
|
51. Misconduct or unsatisfactory performance that
significantly contributes to the serious injury, loss of life, or significant
destruction of property, or the serious breach of security in relation to a
security incident, as found by an Accountability Review Board convened
pursuant to 22 U.S.C. 4831.
|
|
3 FAM 4547 THROUGH 4549 UNASSIGNED