HHS Exhibit 752-2-A
Personnel Manual
HHS Transmittal 93.3 (7/13/93)
A Recommended First Step - Alternative Discipline
Interdepartmental Committee on Adverse Actions and Grievance (ICAAG)
Office of the Assistant Secretary for Personnel Administration
Office of Human Relations
July 1993
A METHOD OF ALTERNATIVE DISCIPLINE (AD) IMPLEMENTATION
AD in Lieu of Official Reprimands and Suspensions of Fourteen Days or Less
The form of alternative discipline set forth in the Exhibit was developed by
representatives of the OPDIVs after studying dispute resolution theory, meeting
with experts, reviewing the programs being tested by other Government agencies
(including those described in Exhibit 752-2-B), and completing an exhaustive
comment process that included regional levels and the three employee unions
holding National Consultation Rights with the Department. It was decided that
the AD method developed by the OPDIVs should be put into this Exhibit as the
Department's recommended first step.
A. GOAL AND ADVANTAGES
This AD approach offers an option to the use of traditional disciplinary sanctions
when the penalty to be imposed would be an Official Reprimand or a suspension
of fourteen days or less. Its goal is to positively change an employee's conduct
by offering an alternative means of correcting misconduct. Through the employee's
admission of guilt and commitment to improving future conduct, the employee
becomes involved in the process.
Advantages of this AD approach include but may not be limited to the following:
1.Improves conduct while minimizing resentment.
2.Improves communication between the supervisor and the employee.
3.Commitment to improved conduct is enhanced, since the employee is involved
in the selection of the corrective action, including the employee improvement
plan in the AD agreement.
4.Leads to cooperative attitudes and respect for supervisors on part of employees.
5.Managers are more likely to confront problems early, which is to the advantage
of both manager and employee.
6.A reduction in the amount of time and costs involved for both management and
the employee is achieved.
Thus:
a.There is usually no need for an exhaustive investigation, since the employee admits to misconduct.
b.The management preparation and documentation of adverse action proposals and decisions, together with the employee preparation
and presentation of replies and possible costs of representation, are unnecessarily diminished.
c.Subsequent grievance, complaint, or appeal proceedings are avoided by all parties.
7.The employee remains on the job (rather than the loss of the employee's productivity or possible negative reaction to requiring other
employees to do additional work during a suspension period).
B. PROCEDURES
The AD offered under this Exhibit takes place before any Official Reprimand is issued or any proposal to suspend (or suspension decision when no
proposal is required) is issued. When AD is used under this Instruction, it may be utilized more than once when the same employee is involved. The
procedures for offering AD are described below.
1. The supervisor will conduct appropriate fact-finding surrounding the act of misconduct. The supervisor will then make an initial determination
as to what type of traditional disciplinary action is appropriate. This determination will be made after consulting with the Employee Relations
Specialist/Personnel Management Specialist of the Servicing Personnel Office. (In some cases, the supervisor may also consult with an
official of the Employee Assistance Program in accordance with the reference in Subsection 20I above.) If the supervisor determines that the
misconduct warrants a penalty of an Official Reprimand or a suspension of 14 days or less, the supervisor and the Employee Relations
Specialist/Personnel Management Specialist will discuss the possibility of using AD. If the supervisor decides to use AD, he or she will work
with the Employee Relations Specialist/Personnel Management specialist to draft an AD agreement describing the misconduct and outlining the
conditions to be met by the employee (see Section C below)
.
2. If AD is found warranted by the supervisor, the supervisor will meet with the employee, prior to issuing the Official Reprimand or a
proposal-to-suspend notice, to describe the result of the fact-finding and offer AD. The employee will be given an opportunity to provide input
into the wording of the AD agreement in the sections on description of offense, the severity of the traditional disciplinary action that the
agreement replaces, and the commitment to improving future conduct. The employee's representative, if any, may be present. (When the
employee is a bargaining unit member, the requirements of 5 U.S.C. 7114ta][2][B] concerning labor organization representation must be met.)
An Employee Relations Specialist/Personnel Management Specialist may also be present when the supervisor so requests.
3. The employee, in consultation with appropriate representation, if any, will be given up to seven work days to consider the AD offer. If the
employee rejects the offer, the supervisor will document on the agreement that the offer was made and may proceed with an appropriate
traditional form of disciplinary action. If the employee agrees to the AD, the AD agreement will be signed.
4. The authority to sign the AD agreement for management is an inherent authority held by those officials who have the delegated authority to
issue Official Reprimands or propose suspensions of fourteen days or less (or, when no proposal is required, to effect a suspension of
fourteen days or less), consistent with HHS Instructions 751-1 and 752-1.
C. AD AGREEMENT REQUIREMENTS
All agreements must be in writing, be signed by at least the management official and the employee, and include the following minimum requirements
(not necessarily in the order given):
1. A statement that the employee voluntarily elects to enter into the agreement
2. Identification of the formal traditional discipline for which the agreement substitutes
3. A description of the misconduct
4. A statement that the employee admits engaging in the misconduct as described
5. A statement of how the employee will improve his or her future conduct
6. A statement that the agreement is in lieu of an Official Reprimand or a proposed suspension (or a suspension decision when no proposal is
required) of specified length
7. A statement that, should further misconduct occur, the AD agreement will constitute a prior disciplinary action, i.e., an Official Reprimand (or
a suspension without pay), that may be considered, without having been previously reviewed by a higher authority, as part of any future
disciplinary action
8. A statement (1) that there will be no SF-50 implementing the agreement, (2) that the agreement will be filed and maintained in the disciplinary
action case file (rather than in the employee's Official Personnel Folder) in the servicing personnel office for four years, in accordance with
the General Records Schedule No. 1, Item No. 30.b., and Instructions 293-1 and 293-2, and (3) that, when the agreement is in lieu of a
suspension, no loss of pay will occur
9. A waiver of all rights to grieve, file a discrimination complaint, or otherwise contest the agreement, but a retention of the right to contest any
violation of the agreement by management and any future disciplinary action taken against the employee
10. An advisement that, if the employee believes that his or her misconduct is in any way due to the problem of a personal nature, the employee
may take advantage of the confidential counseling services of the Employee Assistance Program
Attachment 1 to this Exhibit provides a sample AD agreement. However, its use is not mandatory, and other AD
agreements may be used provided they meet the above minimum requirements.
D. RECORD-KEEPING AND EVALUATION
1.Official Personnel Folder:
The AD agreement will not be placed in the employee's Official Personnel Folder (OPF). (There will be no SF-50 implementing the agreement.)
Rather, it will become part of the disciplinary action case file maintained in the servicing personnel office for four years, in accordance with
the General Records Schedule No. 1, Item No. 30b, and HHS Instructions 293-1 and 293-2.
2.Annual Reports:
To permit evaluation of this program, OPDIV Personnel Officers will provide at a minimum the following information to the Assistant Secretary
for Personnel by November 15 of each year beginning with November 15, 1994. Information will be provided on a fiscal year basis:
Official Reprimands and/or
Suspensions
a. Number of offers of an AD agreement under
this Exhibit that the employee elected
b. Number of offers of an AD agreement under
this Exhibit that the employee declined
c. Number of days of suspensions saved through
use of AD
d. Number of AD agreements that were followed
either by a traditional disciplinary action or by
another AD agreement
Attachment 1
HHS Exhibit 752-2-A
Personnel Manual
HHS Transmittal 93.3 (7/13/93)
SAMPLE ALTERNATIVE DISCIPLINE AGREEMENT
I, [insert name], voluntarily elect to accept alternative discipline under B S Personnel Exhibit 7S2-2-A for the misconduct
described below.
DESCRIPTION OF MISCONDUCT:
[Insert description, e.g., I was absent without leave for the first five workdays (40 hours) of March 1993.]
I willingly admit to the misconduct described above. I fully understand that management would have [issued an Official
Reprimand OR proposed a -day suspension without pay] had I not elected to enter into this agreement.
I am committed to improving my future conduct as follows:
[Insert narrative, e.g., I will not be absent without leave in the future and will follow the applicable procedures in requesting
approval for any additional absences.]
I understand that, should further misconduct occur, this alternative discipline agreement will constitute a prior disciplinary
action [i.e., an Official Reprimand or a _ -day suspension without pay] that may be considered, without having been
previously reviewed by a higher authority, in a future disciplinary action.
I understand that (1) this agreement will not be made a part of my Official Personnel Folder but will be maintained in the
disciplinary action case file in the Servicing Personnel Office for four years, in accordance with the General Records
Schedule No. 1, Item No. 30.b., and HHS Instructions 293-1 and 293-2; (2) there will not be any SF-50 implementing this
agreement; and (3) no loss of pay will occur [put (3) in when this agreement is in lieu of a suspension].
I hereby waive any and all rights to contest this agreement, including those under a grievance or discrimination complaint
procedure. However, I retain the right to contest any violation of this agreement by management and any future disciplinary
action taken against me.
I freely and voluntarily agree to these conditions. I have had ample time (__work days) to consider the conditions and to seek
advice, and I fully understand that I could have declined this alternative discipline agreement and that my supervisor could
have then proceeded with traditional disciplinary procedures.
I have been advised that, if I believe my misconduct is in any way due to a problem of a personal nature, I may take
advantage of the confidential counseling services of the Employee Assistance Program.
The conditions of this agreement are agreed to between the parties as indicated by their signatures below:
Employee
Date
Supervisor
Date
HHS Instruction 752-2 "Alternative Discipline"
