3 FAM 7720
LE Staff CONDUCT AND DISCIPLINE
(CT:PER-956; 08-23-2019)
(Office of Origin: HR/OE)
3 FAM 7721 GENERAL
(CT:PER-956; 08-23-2019)
(Uniform State/USAID/Commerce/Agriculture)
(Applies to Locally Employed Staff Only)
a. The agency heads at each mission are responsible for
developing uniform policies governing the discipline of the locally employed
(LE) staff of their agency. In no case should discipline be arbitrary or
capricious.
b. A supervisor or other management official who is
aware of misconduct that may serve as grounds for disciplinary action against
an employee is responsible for taking action or reporting such incidents or
allegations.
3 FAM 7722 LE STAFF MISCONDUCT
(CT:PER-956; 08-23-2019)
(Uniform State/USAID/Commerce/Agriculture)
(Applies to Locally Employed Staff Only)
a. Misconduct is generally a failure of LE staff to
follow a workplace rule or acceptable standards of behavior. LE staff are
expected not only to follow Mission policies but also applicable laws and
regulations.
b. Although conduct and performance are frequently
interrelated, there are differences. Performance is an employees execution of
assigned job duties, whereas conduct refers to an individuals demonstrated
attitudes and behavior. Misconduct is generally a failure to follow a
workplace rule or standard/norm of acceptable behavior. Poor performance and
poor conduct can coincide, but it is important to recognize the differences
c. Instances of misconduct should be reported to
management.
3 FAM 7723 LE STAFF DISCIPLINE process
3 FAM 7723.1 Overview
(CT:PER-956; 08-23-2019)
(Uniform State/USAID/Commerce/Agriculture)
(Applies to Locally Employed Staff Only)
a. The disciplinary process can range from an informal
admonishment by the supervisor to a formal discipline action by HR, either via
a reprimand letter, suspension, or separation.
b. The discipline proposed and the process followed for
effecting such discipline should be consistent with local law.
c. The disciplinary action taken should be consistent
with the precept of like penalties for similar offenses with mitigating or
aggravating circumstances taken into consideration and should seek to correct,
if possible, unacceptable conduct.
d. In most cases, post should follow progressive
discipline, but, to the extent consistent with local law, there may be
situations where progressive discipline is not appropriate.
3 FAM 7723.2 Forms of Discipline
(CT:PER-956; 08-23-2019)
(Uniform State/USAID/Commerce/Agriculture)
(Applies to Locally Employed Staff Only)
a. Informal Discipline: Informal disciplinary actions are not documented in the
employee's Official Personnel File (OPF) and include:
(1) Oral admonishment: An oral warning or caution to
an employee that conduct is not acceptable; and
(2) Written admonishment: A written warning or
caution to an employee that conduct is not acceptable.
Although informal discipline is not included in the
OPF, it should be documented by the supervisor.
b. Formal Discipline: Formal disciplinary
actions will be documented in the employees Official Personnel File (OPF)
and may include, to the extent consistent with local law:
(1) Written reprimand: A reprimand is a written
rebuke, censure, or registration of disapproval that a specific action or
actions by the employee is not acceptable. The letter of reprimand must
contain full particulars of the matter for which the employee is being reprimanded.
The written reprimand remains in the OPF for the duration of time specified in
post's policy, as consistent with local law requirements.
(2) Suspension: Placement of an employee in a
temporary nonduty and nonpay status for disciplinary reasons. Post should
ensure that placing an employee in this status is consistent with local law. If
it is not, post should not use this form of discipline. Personnel action must
be processed to document suspension and remains in OPF.
(3) Separation for Cause: See 3 FAM 7730.
To the extent consistent with local labor law, formal
disciplinary action may affect the employees employment status for a specified
period of time. For example, the employee may be subject to a 12-month
prohibition on promotions or awards.
3 FAM 7723.3 Taking Disciplinary
Action
(CT:PER-956; 08-23-2019)
(Uniform State/USAID/Commerce/Agriculture)
(Applies to Locally Employed Staff Only)
a. Post should take appropriate steps, consistent with
local law and Department policy, to address misconduct and review reports or
allegations of misconduct that could provide a basis for disciplinary action.
b. If a management official has doubts about how to
proceed, he or she should contact the Office of Overseas Employment in the
Bureau of Human Resources (HR/OE).
3 FAM 7723.4 Discipline and
Personnel Records
(CT:PER-956; 08-23-2019)
(Uniform State/USAID/Commerce/Agriculture)
(Applies to Locally Employed Staff Only)
a. All formal disciplinary actions must be documented
in the employees Official Personnel File (OPF). All documents HR places into
the OPF become a part of the employee's record for the duration of time
specified in post's policy as consistent with local law requirements.
b. LE Staff have the right to grieve disciplinary
actions to Mission management without fear of reprisal or retribution. Unless
inconsistent with local law, filing a grievance does not stop or delay any HR
action that may be the subject matter of the grievance (e.g., suspension).
3 FAM 7724 TABLE OF OFFENSES
(CT:PER-956; 08-23-2019)
(Uniform State/USAID/Commerce/Agriculture)
(Applies to Locally Employed Staff Only)
a. The following table of offenses is not all-inclusive
but is intended to provide guidance to employees about the type of behavior
that is unacceptable in the workplace. Please be aware that inappropriate and/or
unlawful conduct not included in this table or in applicable post policy may
still provide grounds for disciplinary action, up to and including termination.
b. Disciplinary action for misconduct must be
consistent with local law and any penalty should be proportional to the
offense. Post should also keep in mind that local law may set out time periods
for taking disciplinary action. In a number of the examples below, the table
of offenses demonstrates degrees of misconduct under the same general category,
and the degree of misconduct should be considered when determining the severity
of a penalty.
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1. Attendance/Abuse of Leave
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Unauthorized absences,
including repeated tardiness, leaving the job site without permission,
repeated absence without advance leave approval; unsubstantiated sick leave
or refusal to adhere to leave restrictions.
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Abandonment of duty. Complete
failure to report to duty or contact a supervisor explaining the absence.
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2. Loafing or Sleeping on Duty
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Idleness when duties have
been assigned; sleeping at the job site during duty hours; unauthorized
activities during duty hours.
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3. Careless Workmanship or Negligence
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Failure to properly apply
job knowledge and skills; indifference to the quality of work; inattention to
the accuracy of work; waste of materials and/or delays in meeting deadlines.
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Covering up or attempting
to conceal defective work when spoilage or waste of materials is significant.
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4. Failure to Observe Safety Regulations
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Failure to observe safety
practices and regulations when danger to persons and property is minor or
nonexistent; failure to report injury and/or accident to self or to property
within 24 hours; using makeshifts in lieu of tools or equipment where persons
are exposed to possible injury.
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Failure to observe safety
practices and regulations where safety of persons or property is endangered.
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5. Wrongful Operation of Government-Owned
Vehicles (GOV) (6 FAM 1940, 14 FAM 430)
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Operating an official
vehicle in an improper, illegal or dangerous manner; failing to comply with
Department and post policies for driving official vehicles; causing damage to
official vehicles through abuse or neglect of the vehicle.
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Failure to report an
accident involving an official vehicle; use or authorizing use of
government-owned vehicles for other than official purposes; conviction of
operating a government-owned motor vehicle under the influence of alcohol or
narcotics; suspension or revocation of drivers license when such is a
requirement of the job; or failure to notify supervisors of any of the above
infractions within 3 business days.
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6. Loss of, Damage to, Unauthorized Use
of, or Willful Destruction of U.S. Government Property, Records, Information
or Property of Other Employees
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Loss or damage of small
value when no willfulness or intent was involved.
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Willfulness, intent or
unauthorized use is involved or when loss or damage is significant.
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7. Information Security Infraction (12 FAM 500)
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Sharing PC user access
passwords; attempting to obtain unauthorized access to a data file or folder;
intentionally visiting improper internet sites or services.
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Deliberately introducing
malicious program code; deliberately installing unauthorized software;
connecting prohibited hardware or electronic devices; achieving or granting
unauthorized administrator-level access; defeating or attempting to defeat
U.S. Government security measures; in any way undermining the system
managers ability to assign and monitor cryptographic and digital signature
functions.
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8. Misuse of Social Media (5 FAM 790)
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Use of U.S. Government
seals in personal social media activities; failing to include an explicit
disclaimer on writings or materials of official concern.
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Violating ethics rules,
such as those prohibiting the use of public office for private gain or the
disclosure of nonpublic information; discussing internal agency policy and/or
procedures.
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Claiming to represent the
U.S. Government or its policies; posting PII of other mission employees;
making defamatory statements about the U.S. Government or its employees,
contractors, or contacts.
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9. Violation of Security Regulations
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When the breach does not
result in release of security/sensitive information to unauthorized sources
and there is no evidence of compromise of sensitive or classified information.
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When violation is
deliberate or when there has been unauthorized release or compromise of
sensitive or classified information.
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10. False Statements / Misrepresentation
or Misuse of Information
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When there is evidence of
lack of understanding of requirements and there is no personal gain.
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Deliberate
misrepresentation or dishonesty in official matters; fraud; falsification;
deliberate concealment of a material fact in connection with matters; use of
official information for personal gain (including gain by family or friend).
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Defamation knowingly
making false, malicious or unauthorized disclosures against other employees,
supervisors or damaging the reputation, authority or official standing of colleagues.
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11. Insubordination
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Deliberate delay, refusal
or other failure to carry out assigned work or instructions in a reasonable
period of time to a satisfactory result.
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A general pattern of refusing
to obey the supervisors legitimate instructions showing disrespect,
insolence, or rudeness to superiors.
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12. Gambling
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Participation in gambling
on duty or during working hours; use of U.S. Government equipment or
resources for gambling.
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13. Theft
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Actual or attempted theft
of U.S. Government property or property of others.
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14. Use of Intoxicants (3 FAM
7224.2-6)
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Use of or possession of
intoxicants while on duty, regardless of whether the substance may be legal
in country.
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Reporting for duty while
under the influence of intoxicants so as to be unable to effectively perform
assigned duties or to be a hazard to self or others.
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Possession, selling or
otherwise distributing illegal drugs or narcotics.
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15. Workplace Abuse / Bullying
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Conduct creating a work
environment that is hostile, intimidating or abusive; behavior toward others
that a reasonable person would consider humiliating, intimidating,
exclusionary, retaliatory, or threatening.
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16. Disorderly Conduct/Violence in the
Workplace
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Rude, boisterous activity
that adversely affects performance and/or an orderly workplace environment;
use of disrespectful, abusive or offensive language, quarreling or inciting
to quarrel.
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Fighting, threatening or
inflicting bodily harm; physical resistance to known authority; violent acts
or language; indecent or immoral conduct that adversely affects performance
and/or an orderly workplace environment.
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17. Weapons Possession
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Possession of unauthorized
firearm or other weapons (guns, knives, biological agents, explosive
materials, and other such devices) on U.S. Government property.
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18. Prohibition Against Striking (3 FAM
7224.2-5)
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Striking, including sit-ins
or any other type of work stoppage, against the U.S. Government, including
any agency or other U.S. Government entity.
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19. Violation of Equality Principles
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Discriminating against
another based on their race, color, religion, sex (including pregnancy or
gender identity), national origin, age, or disability.
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20. Prohibited or Unethical Activities
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Failure to comply with U.S.
Government laws governing employee conduct, including Standards of Ethical Conduct for Employees of the
Executive Branch in 5 CFR 2635, the Conflict of Interest laws in Chapter 11
of Title 18 of the United States Code, the Financial Disclosure requirements
in 5 CFR 2634, the Emoluments Clause of the U.S. Constitution, and 3 FAM 4120 (e.g., accepting gifts or favors from subordinates
or contractors; giving gifts to those in higher position or position of
authority with the intent to solicit or obtain preferential treatment, or
influence a major decision; giving or accepting bribes; engaging in business
activities without prior approval of COM.)
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21. Failure to Honor Debts or Legal
Obligations
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Failure to honor debts or
legal obligations acknowledged by the employee to be valid or the validity of
which is supported by a court judgment.
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Failure to comply with all
tax obligations.
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Failure to promptly resolve
any debt/obligation that is the subject of a garnishment order.
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22. Off Duty Misconduct
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Misconduct which affects
the ability of the employee to perform his/her job or adversely affects the
interest of the United States at post.
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23. Violation of Other Administrative
Rules or Regulations
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3 FAM 7725 THROUGH 7729 UNASSIGNED