EAS Rights & Appeals

ELM 650

Non-Bargaining Disciplinary, Grievance

and Appeal Procedures

EAS

Rights & Appeals

ELM 650

Non-Bargaining Disciplinary, Grievance

and Appeal Procedures

Who does NAPS Represent?

NAPS MEMBERS!

Unlike postal unions, NAPS does not represent non-

members.

NAPS Form 1187.

Disciplinary Defense Fund (DDF) is available 90-days

after an EAS employees joins NAPS, unless joins

within 60-days from being promoted from craft.

ELM 650

Non-Bargaining Disciplinary, Grievance

and Appeal Procedures

Establishes procedures for:

(a) Disciplinary Action against

employees not subject collective

bargaining (i.e. EAS).

(b) Emergency action for conduct that

normally warrants disciplinary action.

ELM 665.3 Cooperation in Investigations

Employees must cooperate in any postal investigation,

• Investigated Interview (I & I)

• Office of the Inspector General (OIG) investigations.

Be cautious: Pre-Disciplinary Interview (PDI) is a

“Fact Finding” action by USPS, not an Investigative

Interview (I & I)

ELM 650

Non-Bargaining Disciplinary, Grievance

and Appeal Procedures

ELM 651.2 Representation

Subject to prohibitions regarding Executive and Administrative

Schedule (EAS)/Craft representation, employees have free choice of

representation. Representatives designated by employees, if postal

employees and if otherwise in a duty status, are granted a

reasonable amount of official time to respond to notices of proposed

disciplinary action, to prepare for and represent the employee at a

hearing held in accordance with 652.24, and/or to represent an

employee who has appealed a letter of warning or emergency

placement in a non-duty status in accordance with 652.4.

Employees covered under these provisions may request

representation during investigative questioning if the employee

has a reasonable belief disciplinary action may ensue.

Pre-Disciplinary Interview (PDI) or

Investigative Interview (I&I)

Who do you call?

Your NAPS Representative

Member directed to a attend a PDI or I&I.

Now what?

• Do Not go in alone – Bring NAPS Rep

• Be professional

• Ask the reason for the PDI

• Ask what are the charges

• Keep answers short & factual

• DO NOT speculate or elaborate

• If you don’t recall – state you don’t recall

• Ask for information that might help you remember

• Tell the truth – DO NOT LIE!

• PDI is “fact finding” -- not an investigation!

After PDI or I&I

Member receives discipline!

Now what?

Member’s Action -- 1st Steps

• Call your NAPS Representative immediately!

• Have copy of discipline ready

for NAPS Representative.

• Date of receipt: 10-days to appeal – that

includes weekends.

ELM 650

Non-Bargaining Disciplinary, Grievance

and Appeal Procedures

EAS Representation

• Free choice of representation

• Representative designated by employee

• Reasonable amount of official time to

respond

Action by NAPS Representative

1st Steps

Verify NAPS Membership - DCO/NAPS HQ

Gather Member Information

Name, address, non-postal email, personal phone #,

USPS Title/Level, Office of domicile

Member signs “Request for Representation”

• Employee has free choice of representation

• Representative designated by employee

Action by NAPS Representative

Step

Designation of Representation (See NAPS.org)

Member signs Request for Representation

• I have requested the following US Postal Service employee to represent me in my

appeal of an adverse action or grievance.

• I understand that my representative is not a lawyer and will act as my

representative without pay and as a layman without legal training. If I decide that

my case needs the service of a lawyer, I am free to engage a lawyer to assist me

at my own expense.

• I understand that I may change representative at any time. If I decide to change

representative, I agree that I must inform the above representative in writing.

• I understand that I am required to provide my representative with all information

and documents that concern my case and to keep the representative informed of

all deadlines and other procedural dates concerning my case and to keep the

representative informed of all deadlines and other procedural dates.

Action by NAPS Representative

Step

Prepare Evidence/Defense Package within 10-Days

• Reviewing material is not enough.

• Request copies of all information relied upon by the

USPS to issue the discipline. Make copies.

• Request other information that my be relevant in defense

of member’s case (i.e. clock ring report, SOPs, Form 50,

checklists, scanning reports, dispatch logs, collection

schedules, etc.). Don’t request more than necessary.

• Label USPS documents received.

ELM 650

Non-Bargaining Disciplinary, Grievance

and Appeal Procedures

Evidence Package continued . . .

• Copy of Discipline Issued

• Copies of any live Discipline

(LOW, LOW 7/14, Adverse Action)

• Get signed witness statements

• Get signed written statement from member.

This is the member’s discipline -- they need to tell their story.

ELM 650

Non-Bargaining Disciplinary, Grievance

and Appeal Procedures

Within 10 Days - Prepare Written Appeal

• State the understanding of charges

• State the understanding of specifications

(dates, names, locations, times, etc.)

• Verify ELM references/violations

• Address each charge (Explain/justify action)

• Discuss “Douglas Factors” (Service history, work performance,

awards, disparage treatment, etc.)

Factors in Penalty Selection

“The Douglas Factors”

1. The nature and seriousness of the offense, and its relation to the

employee’s 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. The employee’s job level and type of employment, including

supervisory or fiduciary role, contacts with the public, and prominence

of the position.

3. The employee’s past disciplinary record.

4. The employee’s past work record, including length of service,

performance on the job, ability to get along with fellow workers, and

dependability.

5. The effect of the offense upon the employee’s ability to perform at a

satisfactory level and its effect upon the supervisor's confidence in the

employee’s ability to perform assigned duties.

6. The consistency of the penalty with those imposed upon other

employees for the same offense in like or similar circumstances.

Factors in Penalty Selection

“The Douglas Factors”

7. The consistency of the penalty with agency guidance on disciplinary

actions. (This FACTOR does NOT apply to USPS – only other Federal Agencies)

8. The notoriety of the offense or its impact upon the reputation of the

agency.

9. The 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. The potential for the employee’s rehabilitation.

11. The mitigating circumstances surrounding the offense such as

unusual job tensions, personality problems, mental impairment,

harassment or bad faith, malice or provocation on the part of others

involved in the matter.

12. The adequacy and effectiveness of alternative sanctions to deter

such conduct in the future by the employee or others.

Douglas v. Veterans Administration, 5 MSPR 280 (1981). , etc.)

ELM 650

Non-Bargaining Disciplinary, Grievance

and Appeal Procedures

Prepare Written Appeal Continued . . .

• Address Medical, Physical or Emotional Issues

• Refute charges with evidence,

documents, statements

• Do not raise specific settlement

in appeal letter (Don't ask for Removal to be reduced to 14-day, there is

no room to negotiate).

• Request to "Rescind“ or “Expunge” the discipline

ELM 650

Non-Bargaining Disciplinary, Grievance

and Appeal Procedures

Defense Measure

ELM 651.3 Nondisciplinary Corrective Measures

Accountable managers/supervisors are responsible for the direct

day-to-day performance management of subordinates. The

accountable manager/supervisor monitors subordinates’

performance and provides appropriate resources, coaching, and

feedback to the subordinates. The manager/supervisor is

responsible for leading the employee to a higher level of

achievement. Performance improvement should be a shared

concern and effort between manager and employee. Early

dialogue and guidance are critical to achieving positive results

and continuance of an effective manager/employee relationship.

ELM 650

Non-Bargaining Disciplinary, Grievance

and Appeal Procedures

Additional Defense Measure from ELM 721

ELM 721.4 Supervisors and Managers

Supervisors and managers are responsible and accountable for:

a. Ensuring that employees under their supervision are trained in a timely manner

to perform their assigned job tasks.

b. Identifying employees’ needs for improvement in their present jobs.

c. Planning for their employees’ training, in coordination with training systems

available for their facilities.

d. Following up after employees complete formal job training to ensure that they

use newly acquired knowledge, skills, and abilities optimally and appropriately.

e. Identifying and providing other training to meet the organization’s and

individual employees’ needs.

f. Evaluating and supporting as appropriate employee requests to participate in

self-development training opportunities.

g. Providing employees with information and guidance on career growth.

h. Documenting the outcomes and expectations of providing training, including

the return on investment.

ELM 650

Non-Bargaining Disciplinary, Grievance

and Appeal Procedures

Additional Defense Measure from ELM 721

ELM 721.5 Employees

Employees are responsible for:

a. Making effective use of training opportunities that

management provides.

b. Consulting with their supervisors and pursuing personal

career goals to guide their own growth and development.

c. Continuing throughout their careers to learn and improve

their knowledge, skills, and abilities while sharing what they

have learned with other employees.

ELM 650 STEP A Appeal

ELM 652.42 – OTM Section 8

Letters of Warning & Emergency Placement in a

non-duty status (652.4) other matters are covered by 652.2

• Appeal in writing AND verbally to issuing supervisor

or manager within 10 calendar days of receipt.

• May discuss case during appeal period.

• Written USPS STEP A decision to be received

within 5 calendar days after receipt of appeal.

• Extenuating circumstances may delay response,

request an extension and in your letter must explain

reason for delay in appeal letter.

• After STEP A decision received, submit written appeal to next

higher level manager within 7 calendar days. This is known as

STEP B Appeal.

• Include a copy of all the documents you relied on to prepare the

appeal.

• Schedule meeting to verbally discuss STEP B appeal.

• Include employee information and basis for appeal.

• STEP B Deciding Official may discuss appeal with parties.

• Deciding Official renders a written decision within 10-calendar

days after receipt of STEP B appeal.

• Usually this decision is final – Except!

ELM 650 STEP B Appeal

ELM 652.43 – OTM Section 8

• May request Review within 15-days of STEP B decision.

• Written Appeal for Review directed to Area HR Manager.

• Give specific reasons for STEP B decision review.

• Area Reviewing Official replies in writing within 60 days.

• States the disposition of the employee’s request.

• The reply is final.

• Discipline can remain in OPF up to 2-years. Contact

Shared Services to have disciplined removed after

timeframe. Submit PS Form 8043 to request removal of

discipline.

ELM 650 Review Process

ELM 652.44 – OTM Section 8

ELM 650

LOW in Lieu of Time-Off Appeal

7 Day or 14 Day or Adverse Action

ELM 652.5

First Option – Request 650 Mediation

• Highly Recommended.

• What gets 650 Mediation?

– Letters of Warning in Lieu of Time-Off Suspensions and/or

Time-off Suspensions

– Adverse Action: Suspension over 14-days, downgrades and

removals

– Not always offered by USPS, subject to circumstances

• What happens at 650 Mediation?

ELM 650

LOW in Lieu of Time-Off Suspensions 7 Day or 14 Day

What if you don’t settle in 650 Mediation?

• Appeal in 10 days of receipt to deciding official regarding the

“no decision” received at the end of the mediation.

• Appeal in writing to Deciding Official. There is no in person

discussion with Deciding Official if mediated - ELM 652.54)

• Deciding Official issues “Letter of Decision” no later than 30

days.

• Appeal Decision Letter within 15 days Area HR Manager.

• Area appeal is based solely on record. No opportunity to meet

with reviewing official. The Review decision is final.

• Discipline can remain in OPF up to 2-years. Contact Shared

Services to have disciplined removed after timeframe. Submit

PS Form 8043 to request removal of discipline.

ELM 650

LOW in Lieu of Time-Off Appeal

7 Day or 14 Day

ELM 651.64 -651.66

What if the Member decides not to mediate the LOW in Lieu of Time Off?

• Appeal the Proposed Letter in writing and/or in person to

the deciding official (next higher level manager) within 10-

days of receipt of the letter.

• Follow the same documentation format as Step A.

• Deciding official issues letter of decision no later than 30-

days after 10-day appeal deadline.

• Decision Letter – 15 days to file for a written Appeal for

Review directed to Area HR Manager. Area appeal is

based solely on record. No opportunity to meet with

reviewing official. The Area review decision is final.

651.6 Letters of Warning in Lieu of Time–Off Suspensions

651.61 Policy

Letters of warning in lieu of time-off suspensions replace time-off suspensions for nonbargaining

employees, except when required otherwise by statute. This policy does not preclude management from

placing a nonbargaining employee in an indefinite nonpay, nonduty status when there is reasonable cause

to believe the employee has committed a crime for which a sentence of imprisonment may be imposed.

651.62 Implementation

Letters of warning in lieu of time–off suspensions may be issued in lieu of either 7–day or 14–day time–off

suspension only. Unless required by statute, suspensions of more than 14 days are prohibited except for

indefinite suspensions referenced in 651.7. Letters of warning in lieu of time–off suspensions are equivalent

to time–off suspensions as an element of past discipline and may be cited as such in future disciplinary

actions.

651.63 Notice

Normally, the employee’s immediate supervisor issues a proposed letter of warning in lieu of time-off

suspension, which must

651.64 Response

The employee and/or his or her representative may respond to the proposed letter of warning in lieu of

time-off suspension in writing and/or in person to the deciding official (management at a higher level of

authority than the individual who issued the proposed letter of warning in lieu of time-off suspension) within

10 calendar days of receipt. You must include the name and title of the deciding official in your response.

651.65 Decision

The deciding official, after consideration of the facts of the case and the employee’s response, issues a

letter of decision after the expiration of the 10–calendar day period for reply, but no later than 30 calendar

days following the receipt of the employee’s response. The decision letter will advise the employee that he

or she may appeal in writing within 15 calendar days of receipt of the letter of decision.

651.66 Retention

Letters of warning in lieu of time–off suspensions remain in the employee’s OPF and/or eOPF for two years

unless otherwise resolved or cited in subsequent disciplinary action.

USPS ELM 650

Adverse Action Appeal

Removals, Suspensions >14 Days, Furloughs or Reduction in

Grade (ELM 652.2)

• Ask for Mediation (subject to USPS offering) No Decision at

mediation -

• Appeal in 10-days of receipt in writing/person or both to Deciding

Official (Note: There is no in person discussion with Deciding Official if mediated - ELM

652.54)

• Deciding official gives written decision no later than 60 days

• Employee rights stated in Letter of Decision

• Appeal to MSPB, ELM 650 Hearing, Area HR Manager

• Adverse Action: Recommend MSPB – Member’s decision

• NAPS Disciplinary Defense Fund (DDF) may be available

651.7 Adverse Actions

651.71 Definition

Adverse actions are defined as discharges, suspensions of more than 14 days, furloughs for 30 days or less,

and/or reductions in grade or pay.

651.72 Policy

Adverse action may be taken against an employee:

1.Because lesser measures have not resulted in the correction of deficiencies in behavior or performance;

2.Because of the gravity of the offense; or

3.For nondisciplinary reasons, such as the correction of a position misranking.

651.73 Notice

Normally, the employee’s immediate supervisor issues a written notice of proposed adverse action. The Postal

Service may substitute as the proposing official another supervisor or manager at the same or higher level as

specified herein. Such a substitution may be made by any of the following: the vice president of Labor Relations;

area vice president; and area manager, Human Resources. The proposal also advises the employee that a

reasonable amount of official time is allowed for the preparation and presentation of a reply, if the employee is

otherwise in a duty status, and that the proposed action will be effected no sooner than 30 calendar days after the

employee receives the notice.

651.74 Response

The employee or representative may respond to the notice of proposed adverse action in writing, in person, or

both, to the deciding official or designee identified in the notice. The employee or representative may respond and

present evidence, including affidavits, within 10 calendar days from receipt of the notice. The time limits for

responding to a proposed adverse action may be extended by the deciding official or designee for reasonable

cause.

651.75 Decision

The deciding official, who must be higher in authority than the proposing official, considers the employee’s

response and gives a written decision, including reasons for the decision, as soon as possible after the employee’s

time to respond has expired, but no later than 60 calendar days following the receipt of the employee’s response.

In field installations, the installation head or designee usually makes the decision. In other offices, the decision is

made by a branch manager or above. Normally, the deciding official is the supervisor or manager of the employee’s

immediate supervisor. The Postal Service may substitute as the deciding official another supervisor or manager.

Such a substitution may be made by any of the following: the vice president of Labor Relations; area vice

president; and area manager, Human Resources. If the decision is to effect the adverse action or to modify it to a

lesser penalty, the employee’s appeal rights, including Merit Systems Protection Board (MSPB) appeal rights, if

applicable, are stated.

Adverse Action Decision is Removal

or Downgrade

MSBP/650-Hearing

Elm 652.2-652.253 – OTM Section 11

• Contact Branch President immediately.

• Branch President sends completed DDF form and

copy of DCO page with member name highlighted to

NAPS Headquarters Executive Vice President and

DDF Provider.

• Send appeal documents, including all appeal letters

via Priority Mail Express to DDF Provider Al Lum at:

Labor Relations Admin Group (LRAG)

P.O. Box 25822

Brooklyn, NY 11202

ELM 650 – EAS Workplace/USPS Policy Matters

652.4 Other Appealable Actions

652.41 Coverage

Employees in EAS-17 and below, regardless of length of service, may appeal letters of warning, emergency

placement in a nonduty status, and other matters not covered by 652.2 by using the procedures

in 652.42 through 652.44.

PCES Level I, and EAS-18 and above employees have access to these procedures only to appeal discipline in the

nature of a letter of warning and emergency placement in a nonduty status.

652.42 Step A

An employee or representative states the appeal in writing to the immediate supervisor within 10 calendar days of

learning the appeal’s cause. The employee or representative has the opportunity to discuss the appeal with the

supervisor during this period. The supervisor gives a written decision within 10 calendar days after receipt of

appeal. If this timeframe is impossible because of extenuating circumstances, the decision must explain the

reason(s) for the delay.

652.43 Step B

A field employee or representative may submit a written appeal to the installation head within seven calendar days

after receipt of the Step A decision. (If the installation head is the immediate supervisor, appeals are made to the

next higher level of management.) A Headquarters, Headquarters field unit, or Inspection Service employee or

representative may appeal within the same time limits to the next higher level of management (superior to the

supervisor), at minimum, a manager or above. The appeal must include the employee’s name, title, grade, location,

nature of appeal, and basis for appeal. Upon receipt of the appeal, the Step B official discusses the appeal with the

employee or representative and renders a decision in writing within 10 calendar days after receipt of the appeal.

Usually this decision is final.

652.44 Review

The employee or representative may request a review of the Step B decision. The request of an employee

administratively responsible to the area vice president is directed to the area Human Resources manager. The

request of a Headquarters, Headquarters field unit, or Inspection Service employee is sent to the vice president of

Labor Relations, or designee, with a copy to the Step B official, who forwards the file to the reviewing official. The

request is in writing and gives specific reasons why the employee believes the Step B decision should be reviewed.

The request is made within 15 calendar days from receipt of the Step B decision. The reviewing official replies in

writing and states the disposition of the employee’s request. This reply is final.

ELM 650

Non-Bargaining Disciplinary, Grievance

and Appeal Procedures

Do you have expired discipline in your eOPF?

Use PS Form 8043 Request to Amend Electronic Official

Personnel Folder complete this form to request that it be

removed from your eOPF.

It must be provided to your District HR and possibly Area HR

for fulfillment. It has to go to someone who has the access to

your eOPF. Typically that is not your manager.

Keep a copy and follow-up by looking in your eOPF. If it

hasn’t been removed contact your NAPS Representative for

assistance.

Thank You!

Questions?