Corrective and Adverse Actions; Enforced Leave; and Grievances
Provisions on filing grievances and initiating corrective and adverse actions. Current Transmittal No: 238
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|1605||Misconduct; Performance Deficits|
|1606||Establishing Appropriate Action|
|1607||Table of Illustrative Actions|
|1617||Enforced Leave Action|
|1618||Notices of Proposed Action|
|1619||Administrative Leave During Notice Periods|
|1620||Summary Action Notices|
|1623||Final Agency Decision|
|1626||Grievance Policy and Applicability|
|1627||Matters Subject to Grievance Procedures|
|1628||Filing a Grievance; Time Limits|
|1629||Initial Grievance Review|
|1630||First Level Grievance Reviews|
|1631||Second Level Grievance Reviews|
|1632||Third Level Grievance Reviews|
|1633||Final Grievance Reviews|
|1634||Grievances Under Collective Bargaining Agreement|
|1637||Dismissal of Grievance|
1600.1 This chapter establishes a progressive approach for addressing District of Columbia government employee performance and conduct deficits, pursuant to chapter XVI of the District of Columbia Government Comprehensive Merit Personnel Act of 1978, effective March 3, 1979, as amended (D.C. Law 2-139; D.C. Official Code §§ 1-616.51 through 1-616.54).
1600.2 The provisions of this chapter apply to all District government employees except the following:
1600.3 The rules established in this chapter shall be relied upon as a guide for Management Supervisory Services (MSS) when a disciplinary action is taken for cause.
1601.1 The policies outlined in this section apply to employees and their supervisors, personnel authorities and agency heads, and form the basis for the standards governing this chapter.
1601.2 Each supervisor has a duty and responsibility to ensure that employees are aware of the established performance and conduct standards (“standards”) applicable to their role and function and the consequences of not meeting those standards. Whenever such standards are not met, supervisors have an affirmative obligation to provide the employee necessary guidance and training to meet these standards and, when appropriate, to take corrective or adverse action pursuant to this chapter.
1601.3 Each employee has the duty and the responsibility to be aware of and abide by the existing rules and policies. Each employee also has the responsibility to perform his or her duties to the best of his or her ability and to the standards established by management and his or her job description.
1601.4 The District of Columbia takes a positive approach toward employee management to achieve organizational effectiveness by using a progressive system to address performance and conduct issues.
1601.5 The District’s progressive system typically includes the following:
1601.6 Strict application of the progressive steps in §§ 1601.5 and 1610 may not be appropriate in every situation.Therefore, management retains the right to evaluate each situation on its own merits and may skip any or all of the progressive steps. However, deviation from the progressive disciplinary system is only appropriate when consistent with §§ 1606 and 1607.
1601.7 Each agency head and personnel authority has the obligation to and shall ensure that corrective and adverse actions are only taken when an employee does not meet or violates established performance or conduct standards, consistent with this chapter.
1602.1 Employees enjoy the protections established in this chapter. No employee may be reprimanded, suspended, demoted, placed on enforced leave or removed without cause, as defined in this chapter.
1602.2 Employees who are subject to a recognized labor agreement shall enjoy the additional benefits of their collective bargaining agreement. Conflicts between such agreements and this chapter shall be resolved as follows:
1602.3 Corrective and adverse actions taken against employees are subject to the following limitations:
1605.1 District employees are expected to demonstrate high standards of integrity, both on and off the job, guided by established standards of conduct and other Federal and District laws, rules and regulations. When established standards of conduct are violated or performance measures are not met, or the rules of the workplace are disregarded, corrective action or adverse action is warranted to encourage conformity to acceptable behavioral and performance standards or to protect operational integrity.
1605.2 Taking a corrective or adverse action against an employee is appropriate when the employee fails to or cannot meet identifiable conduct or performance standards, which adversely affects the efficiency or integrity of government service. Before initiating such action, management shall conduct an inquiry into any apparent misconduct or performance deficiency (collecting sufficient information from available sources, including when appropriate the subject employee) to ensure the objective consideration of all relevant facts and aspects of the situation.
1605.3 Whether an employee fails to meet performance standards shall be determined by application of the provisions set forth in Chapter 14.
1605.4 Though not exhaustive, the following classes of conduct and performance deficits constitute cause and warrant corrective or adverse action:
1606.1 After establishing a sufficient basis for taking action (i.e., evidence to support the allegation(s); a nexus between the conduct or performance at issue and the employee’s job or the agency’s mission), managers must determine the appropriate action for the employee's conduct or performance deficits.
1606.2 For all corrective and adverse actions, managers shall be prepared to demonstrate that the following factors were considered:
1606.3 All of these factors shall be considered and balanced to arrive at the appropriate remedy. While not all of these factors may be deemed relevant, consideration should be given to each factor based on the circumstances.
1606.4 Except in the case of a reprimand, the analysis of the factors above shall be included in any proposed corrective or adverse action and shall be included in and taken into consideration regarding any final agency decision on corrective or adverse action.
1607.1 Once it is established that an employee has failed to meet performance or conduct standards, which requires corrective or adverse action, a supervisor or manager must determine the appropriate action based on the circumstances.
1607.2 The illustrative actions in the following table are not exhaustive and shall only be used as a guide to assist managers in determining the appropriate agency action. Balancing the totality of the relevant factors established in § 1606.2 can justify an action that deviates from the penalties outlined in the table.
1610.1 The District strives to employ highly qualified and motivated individuals who successfully perform their job duties, without the need for disciplinary action. To this end, the District uses a progressive disciplinary system when an employee’s conduct fails to meet expectations. The District’s progressive system includes the following steps:
1610.2 Every situation is different and in each case management must consider a number of factors when determining an appropriate action to take. This includes, among others, consideration of the seriousness of the situation, the employee’s past disciplinary history, and the employee’s work history. When appropriate, and consistent with §§ 1606 and 1607, management may skip any or all of the progressive steps outlined in § 1610.1.
1610.3 When a deciding official deviates from the actions outlined in § 1607, he or she shall provide a written justification specifying the reasons for the deviation in the final agency decision, as provided in § 1623.
1611.1 As an employer, the District and its managerial staff have an obligation to create a fair, supportive, and transparent work environment that lessens the need for disciplinary action.
1611.2 However, when employees engage in misconduct or fail to meet performance standards, steps shall be taken to gather the relevant facts, correctly identify the problem(s), and then decide whether further action is warranted.
1611.3 As a first step within the continuum of progressive discipline, management should attempt to correct misconduct and performance deficits. When appropriate to the circumstances, employees shall first be counseled concerning misconduct. Performance matters shall be progressively addressed as set forth in Chapter 14.
1611.4 When counseling the employee is deemed appropriate to the circumstances the supervisor or manager shall:
1611.5 Within five (5) days, supervisors shall follow-up verbal counseling with a letter (or email) to the employee. The correspondence shall establish the date, time, and content of all verbal counseling described in this section, and shall restate the information contained in § 1611.4. Supervisors shall retain a copy of the correspondence for a period of no less than two years, but it shall not be made a part of the official personnel file.
1611.6 While verbal counseling is a step within the disciplinary model, it is neither a corrective nor adverse action for purposes of this chapter.
1612.1 When counseling fails to correct conduct or performance issues, or where verbal counseling is an inadequate disciplinary response to address the conduct or performance that fails to meet expectations, a more formal response may be required. Within the progressive disciplinary model, this formal response is a reprimand and represents a corrective action.
1612.2 A reprimand is a written document issued by an employee’s supervisor that identifies a specific conduct fault by an employee. At a minimum, a reprimand shall include:
1612.3 The employee against whom a reprimand is issued shall be asked to acknowledge its receipt in writing. If the employee refuses to acknowledge receipt in writing, a witness to the refusal shall provide a brief written statement that the employee refused to acknowledge receipt in writing, which shall be signed and dated by the witness.
1612.4 When an employee chooses to submit a written response to the reprimand, he or she must do so within ten (10) workdays of receipt of the reprimand. Such a response shall be in writing and submitted to the person issuing the reprimand. An employee’s written response may clarify, expand on, or take exception to the statements or conclusions made in the reprimand. Once submitted, the response shall be maintained and treated as an attachment to the reprimand.
1612.5 The official who issued the reprimand shall consider any written response submitted by the employee. The official may sustain, modify or rescind the reprimand, based on an employee’s response. If the reprimand is modified, the modified reprimand shall be served and the employee given an opportunity to submit a supplemental response consistent with §§ 1612.2 through 1612.4.
1612.6 Unless modified or rescinded pursuant to § 1612.5, a reprimand shall be final upon receipt of an employee written response, or the expiration of the ten days specified in § 1612.4, whichever is later.
1612.7 A reprimand may be considered in establishing a corrective or adverse action, when the action is initiated within three (3) years of the reprimand.
1613.1 A corrective action is a reprimand, reassignment, or suspension of less than ten (10) workdays. 1613.2 Except in the case of a reprimand, when a corrective action is warranted, the agency shall:
1613.3 Immediately following the issuance of a notice of proposed corrective action for a suspension pursuant to § 1613.2(a), the proposing official may conduct a resolution conference with the employee and his or her union representative (if any).
1613.4 The use of resolution conferences shall be limited only to proposed suspensions of less than ten (10) days.
1614.1 Whenever a corrective action fails to improve a performance or conduct problem, or in the case when an employee cannot carry an essential duty of his or her employment, adverse action may be warranted.
1614.2 An adverse action shall be a suspension of ten (10) or more workdays, a reduction in grade, or removal.
1614.3 When an adverse action is warranted, the agency shall:
1616.1 An employee may be summarily suspended or removed from his or her position, notwithstanding §§ 1613 and 1614.
1616.2 An employee may be suspended or removed summarily when his or her conduct:
1616.3 Any decision to take a summary action under this section must be approved in writing by the agency head. All such approvals must identify:
1616.4 When the agency head is satisfied that the conditions of § 1616.2 are present, the agency may order the employee to immediately leave his or her duty station. Additionally, the agency may order the employee to stay away from any District government owned or occupied properties, to the extent reasonably necessary to ensure the safety of District employees and property, the integrity of government operations, and the public health, safety, and welfare.
1616.5 When summary action is warranted, the agency shall:
1616.6 Except when the associated suspension or removal action is overturned by a tribunal of competent jurisdiction, an agency head’s final decision on a summary action under this section shall be final and not subject to further review.
1617.1 Enforced leave occurs when an employee is involuntarily placed in a non-duty leave status, which is neither a corrective nor adverse action for purposes of this chapter. This section sets forth the standards for an agency’s implementation of an enforced leave action.
1617.2 For any period of enforced leave, the employee shall use any accrued leave, except sick leave, until exhausted. Thereafter, the employee will be held in a leave without pay status.
1617.3 An agency may place an employee on enforced leave when there is reliable evidence that he or she:
1617.4 Notwithstanding § 1617.3(c), the Metropolitan Police Department may place uniformed members and the Department of Corrections may place a correctional officers on enforced leave when he or she has been arrested, charged, indicted or convicted of any crime irrespective of the relationship between the crime and the employee’s duties and responsibilities.
1617.5 Any decision to place an employee on enforced leave under this section shall be approved in writing by the personnel authority. All such approvals shall:
1617.6 Upon finding that the conditions described in § 1617.3 are met, the personnel authority shall place an employee on administrative leave for five (5) days prior to the effective date of the enforced leave action.
1617.7 When enforced leave is warranted, the agency shall –
1617.8 Whenever an employee is placed on enforced leave:
1617.9 If the basis for placing an employee on enforced leave pursuant to this section does not result in corrective or adverse action, any annual leave or pay lost as a result of the enforced leave action shall be restored retroactively.
1617.10 The personnel authority may extend the time limit prescribed by § 1617.8(b) for good cause.
1618.1 Except in the case of a summary actions, described in § 1616, an agency contemplating a corrective, adverse, or enforced leave action shall provide the employee a notice of proposed action. Such notices shall be delivered to the employee:
1618.2 The notice of the proposed action shall inform the employee of the following:
1618.3 In addition to the information outlined in § 1618.2 the notice shall advise the employee of his or her right to:
1618.4 The notice shall be approved and signed by a proposing official, who must be a manager within the employee’s chain of command or a management official designated by the personnel authority.
1618.5 The material upon which the notice of proposed action is based, and which is necessary to support the reasons given in the notice, shall be assembled and provided to the employee along with the notice, unless impractical. If the materials cannot be provided at the time of notice, they shall be made available to the employee for his or her review, upon request.
1618.6 The notice of proposed actions and supporting materials shall be served upon the employee. Service shall be accomplished by delivering the notice and materials to the employee in person, or to the employee’s address of record by a commercial courier that provides delivery tracking and confirmation information. However, service shall also be deemed proper upon a showing that the employee actually received delivery of the notice, irrespective of delivery method.
1618.7 For notices of proposed actions delivered in person, the employee to whom the notice is issued shall be asked to certify its receipt in writing. If the employee refuses to certify receipt, a brief descriptive written statement, signed by a witness to the refusal, may be used as evidence of service.
1618.8 For purposes of §§ 1618.6 and 1618.7, service shall be deemed effective when the employee has actual notice of the proposed actions.
1618.9 Except in the case of a summary action in § 1615, employees shall remain in an active duty status pending issuance of a final determination of the proposed action pursuant to § 1623.
1619.1 Following the issuance of a notice of proposed corrective or adverse action pursuant to § 1618 of this chapter, an agency head, at his or her discretion, may place the employee on administrative leave pending a final determination in accordance with this section.
1619.2 Except as provided in §§ 1619.3 and 1619.4, an agency may place an employee on administrative leave for no more than ninety (90) calendar days.
1619.3 Prior to the expiration of the limit in § 1619.2 the agency head may make a written request for an extension of time to the personnel authority.
1619.4 The personnel authority may approve extensions of time in increments of no more than thirty (30) days when:
1619.5 When the time limits prescribed by this section are exhausted, the employee shall be returned to full duty pending a final agency decision.
1620.1 Whenever an agency summarily removes or suspends an employee, it shall serve the employee with a notice of summary action within five (5) days. Service shall be accomplished pursuant to §§ 1618.6 and 1618.7.
1620.2 The notice shall inform the employee of the following:
1620.3 In addition to the information outlined in § 1620.2, the notice of the proposed summary action shall advise the employee of his or her right to:
1621.1 Whenever an employee is served a notice of proposed or summary action, he or she may submit a written response to the appropriate official identified in the notice. In the case of removals, the appropriate official shall be a hearing officer appointed pursuant to § 1622. Otherwise, the appropriate official shall be the deciding official.
1621.2 An agency head shall authorize an employee to use official time to prepare a written response to any notice of proposed action in the following amounts of administrative leave: up to four (4) hours for proposed corrective actions, and up to ten (10) hours for proposed adverse actions.
1621.3 Written responses must be received by the appropriate official according to the following schedule:
1621.4 Upon application by the employee and a showing of good cause, the deciding official, or in the case of removal the hearing officer, may grant a reasonable extension of time to the limits prescribed by § 1621.3.
1621.5 The right to respond shall include the right to present evidence that the employee believes might affect the final decision on the proposed or summary action. Such evidence may include written statements of witnesses, affidavits, or documents or any other form or depiction of information.
1621.6 As a written part of his or her response, an employee shall raise every defense, fact, or matter in extenuation, exculpation, or mitigation of which the employee has knowledge or reasonably should have knowledge or which is relevant to a reason for which the employee took an action (of failed to take an action) which is a subject of the proposed or summary action. The failure of the employee to raise a known defense, fact, or matter shall constitute a waiver of such defense, fact, or matter in all subsequent proceedings.
1622.1 The personnel authority shall provide for an administrative review of a proposed or summary removal action against an employee, unless he or she is an exempt employee.
1622.2 The administrative review shall be conducted by a hearing officer, who shall meet the following criteria:
1622.3 In conducting the administrative review, the hearing officer shall:
1622.4 A hearing officer’s review of a proposed or summary removal action shall be limited to the notice and supporting materials and any written arguments and evidence submitted by the employee.
1622.5 Within thirty (30) days after receiving the employee’s response, or the expiration of his or her time to respond, the hearing officer shall submit a written report and recommendation to the deciding official, and shall provide a copy to the employee.
1622.6 Upon request, the time limit in § 1622.5 may be extended by the personnel authority for good cause for no more than thirty (30) days.
1622.7 The hearing officer shall ensure that there are no substantive ex parte communications during the administrative review process. Any substantive inquiry or information sent by or to the hearing officer shall be served on the employee, the employee’s representative (if any), and the agency representative.
1623.1 The final agency decision relating to a corrective or adverse action against an employee shall be made by the deciding official, who shall be the agency head, or his or her designee. A proposing official may not serve as the deciding official for the same matter, except when the size of the agency mandates otherwise.
1623.2 In making the final decision, the deciding official shall:
1623.3 The final determination shall be in writing, dated and signed by the deciding official.
1623.4 The final determination shall:
1623.5 In addition to the information specified in § 1623.4 each final agency decision shall be accompanied by:
1623.6 The final decision shall be completed within forty-five (45) days of the latter of:
1623.7 The final agency decision shall be served on the employee in accordance with §§ 1618.6 and 1618.7.
1623.8 The time limit established in § 1623.6 may be extended by the personnel authority for good cause.
1623.9 A copy of the final agency decision shall be placed in the employee’s official personnel file. If the decision incorporates a notice of proposed or summary action, in whole or in part, the notice of proposed or summary action shall be attached to the final agency decision before filing in the official personnel file.
1623.10 Except in the case of a removals, a final agency decision shall be retained by the personnel authority in the official personnel file for three (3) years unless sooner ordered withdrawn by the issuing official, the official’s superiors or successors, a court of competent jurisdiction, an arbitrator of competent jurisdiction, the appropriate personnel authority, the Office of Human Rights, or pursuant to a settlement agreement.
1623.11 A final agency decision separating an employee from government service shall be a permanent record maintained by the personnel authority in the official personnel file.
1625.1 An employee who disputes a final agency reprimand or a final agency corrective, adverse, or enforced leave action under this chapter may seek one (1) of the following remedies:
1625.2 Notwithstanding Subsection 1625.1, a system of grievance resolution negotiated between the District and a labor organization shall take precedence over the procedures of this chapter for employees in a bargaining unit represented by the labor organization.
1625.3 Neither a grievance nor an appeal to OEA shall delay implementation of a final agency action under this chapter.
1626.1 The District of Columbia government maintains a grievance policy and procedure to allow for the prompt, fair and orderly resolution of grievances and complaints relating to District employment. The grievance procedures shall be applied to:
1626.2 Notwithstanding § 1600 and except for the Mayor, members of the Council, sworn members of the Metropolitan Police Department, and employees in the Executive and Excepted Services, the grievance policies and procedures established at §§ 1626 through 1635 apply to all applicants and employees of all District agencies except:
1626.3 Employees subject to a negotiated collective bargaining agreement may choose between any grievance procedure contained in the agreement and the grievance procedure outlined in §§ 1627 through 1637, but not both.
1626.4 Disciplinary actions taken against attorneys pursuant to Chapter 36 of Title 6-B DCMR shall not be subject to grievance procedures established in §§ 1627 through 1637.
1627.1 An applicant or employee may grieve any agency action taken pursuant to this subtitle if:
1627.2 Notwithstanding § 1627.1, no applicant or employee may submit a grievance to an agency action under this subtitle if the action is:
1628.1 All grievances shall be made using a grievance form provided by the Director of the District of Columbia Department of Human Resources (DCHR). DCHR shall maintain the grievance form on its internet website.
1628.2 Each grievance shall include the following:
1628.3 For purposes of this chapter, grievance official means:
1628.4 Grievances of corrective actions and of enforced leave actions of less than ten (10) days shall be filed with the appropriate grievance official within ten (10) days of the issue date of the final decision.
1628.5 All other grievances shall be filed with the appropriate grievance official no more than forty-five (45) business days from the date of the alleged violation or the final action, whichever is later.
1628.6 Grievances may be filed with the grievance official by one of the following means:
1629.1 Upon receipt, the grievance official shall make a preliminary determination as to whether the grievance meets the criteria set forth in §§ 1627 and 1628.
1629.2 Within five (5) days of receipt, the grievance official shall do one of the following:
1630.1 Within five (5) days of acknowledging the grievance, the grievance official, or designee, shall interview the grievant and review the record.
1630.2 Unless mediation has already been attempted pursuant to § 1635, at the interview, the grievance official shall inform the grievant that he or she has the option of pursuing mediation. The grievant shall execute either a declination of mediation or a mediation agreement. If mediation is declined, the grievance official shall proceed with the initial grievance interview, in accordance with § 1630.3. If mediation is elected by executing a mediation agreement, mediation shall proceed in accordance with § 1635.
1630.3 During the interview, the grievance official, or designee, shall note the grievant’s specific allegations, the facts supporting those assertions and the relief being sought by the grievant.
1630.4 The grievance official, or designee, shall interview the subject of the grievance and any additional witnesses deemed appropriate to the grievance. Following each interview, the grievance official shall summarize each interview in writing.
1630.5 Within five (5) days of interviewing the grievant, the grievance official, or designee, shall issue a first level grievance decision and report based on the totality of the facts.
1630.6 Within five (5) days of the issuance of the first level grievance decision, a grievant may notify the grievance official in writing that he or she is not satisfied with the decision. The notification shall include any additional arguments and documents that support the grievant’s position. Upon receipt of this notification, the grievance official shall proceed to the second level of grievance review.
1631.1 At the second level grievance review, the grievance shall be reviewed by a second level official in the grievant’s chain of command who reports directly to the agency head.
1631.2 Within two (2) days of receiving the notification specified in § 1630.6, the grievance official shall forward all materials to the second level official for resolution. The materials forwarded shall include the grievance application, the grievance official’s decision and report, any interview summaries, any records reviewed by the grievance official in rendering his or her decision, and the notification requesting second level review.
1631.3 In his or her discretion, and within no more than ten (10) days, the second level official may interview the grievant and any other individuals deemed necessary. An interview summary shall be created following any interview.
1631.4 After having completed any interviews, and any further investigation that may be deemed appropriate by the second level official, the second level official shall issue a second level grievance report and decision based on the totality of the facts.
1631.5 If the second level official finds that the grievance is substantiated by the facts, the grievance decision shall specify the remedy being provided and the date the remedy will be implemented.
1631.6 Within five (5) days of the issuance of the second level grievance decision, a grievant may notify the original grievance official in writing that he or she is not satisfied with the decision and request a third level grievance review. Upon receipt of this notification, the grievance official shall proceed to the third level grievance review.
1632.1 At the third level of grievance review, the grievance shall be reviewed by the agency head.
1632.2 Within two (2) days of receiving the notification specified in § 1631.6, the grievance official shall forward all materials to the agency head for resolution. The materials forwarded shall include the grievance application, the second level official’s decision and report, any interview summaries, any records reviewed by the second level official in rendering his or her decision, and the notification requesting third level review.
1632.3 In his or her discretion, and within no more than ten (10) days, the agency head may interview the grievant and any other individuals deemed necessary. An interview summary shall be created following any interview.
1632.4 After having completed any interviews, and any further investigation that may be deemed appropriate by the agency head, the agency head shall issue a third level grievance report and decision based on the totality of the facts.
1632.5 If the agency head finds that the grievance is substantiated by the facts, the grievance decision shall specify the remedy being provided and the date the remedy will be implemented.
1632.6 If the agency head finds that the grievance is not substantiated by the facts, then the grievance shall be denied.
1632.7 The third level grievance decision shall be issued no more than twenty-one (21) days following the notification specified in § 1631.6 and shall inform the grievant of his or her right to seek a final review.
1632.8 Within five (5) days of the issuance of the third level grievance decision, a grievant may notify the original grievance official in writing that he or she is not satisfied with the decision and request a final review. Upon receipt of this notification, the grievance official shall proceed to the final grievance review.
1633.1 At the final level of grievance review, the grievance shall be reviewed and decided by the personnel authority. For purposes of this section, when the grievant is an employee of the Department of Human Resources, the personnel authority shall mean the City Administrator or his or her designee.
1633.2 Within two (2) days of receiving the grievance request for a final review, the grievance official shall forward all materials the agency received during the grievance process to the personnel authority.
1633.3 The personnel authority shall conduct a thorough records review of the grievance.
1633.4 The decision of the personnel authority shall be delivered to the agency and the grievant no more than thirty (30) days after receiving the grievance request. The decision of the personnel authority shall be final and not subject to any further grievance or appeal before any administrative body or court.
1634.1 Notwithstanding any other provision in this chapter, a negotiated grievance procedure established within a collective bargaining agreement shall supersede and replace the grievance procedures established in this chapter.
1635.1 Mediation shall be initiated by the grievant executing and presenting the grievance official with a mediation agreement, pursuant to § 1630.2. The mediation agreement shall be a standard agreement form issued by the personnel authority. The agreement shall, at a minimum:
1635.2 The grievance official shall forward a copy of the agreement to the personnel authority. Within five (5) business days, the personnel authority shall designate an individual to serve as a mediator and the agency head, or his or her designee, shall designate an appropriate agency official to serve as the agency representative. The mediator shall either be an attorney licensed to practice law in the District of Columbia or an individual trained in conducting mediation. The agency representative shall have sufficient authority to mediate the dispute.
1635.3 The mediator shall schedule the mediation date(s) and conduct the mediation proceedings in such a manner as to ensure a fair and equitable result. However, the mediation process must be concluded within thirty (30) days from the date the mediator was designated by the personnel authority. If mediation has not concluded within that time period, the matter shall be returned to the grievance official for the first level of review.
1635.4 The parties may agree to any remedies permitted under § 1636. If an amicable resolution of the grievance is reached through mediation, the terms of the resolution shall be reduced to writing in a Mediation Settlement Agreement and signed by all parties, including the mediator. The written resolution shall be binding on all parties and is not subject to review by any administrative body, court or other tribunal.
1635.5 If the parties are unable to resolve the grievance through the mediation process, the grievance shall be returned to the grievance official to resume the first level grievance review. Grievances shall be returned to the grievance official by the mediator on either the date the mediator determines that no resolution can be reached or thirty (30) days from the date the mediator was designated by the personnel authority, whichever is earlier.
1635.6 If a grievance is returned to the grievance official pursuant to § 1635.5, the grievance official shall proceed with the first level grievance review pursuant § 1630.
1636.1 Whenever a grievance is substantiated, the appropriate deciding official shall establish a remedy that is equitable and fitting to the circumstances.
1636.2 Remedies provided under this section shall be consistent with, but need not precisely conform to, the provisions of this subtitle. However, remedies that vary from the precise language of any regulation shall conform to the variance standards established at Chapter 1.
1636.3 Remedies under this section shall be limited to those remedies within the authority of the personnel authority.
1637.1 A grievant may request a dismissal of the grievance at any time.
1637.2 A grievance official may dismiss a grievance if the grievant substantially fails to carry out his or her responsibilities; fails to participate with; or otherwise impedes the grievance process under this chapter.
1637.3 A dismissal issued pursuant to this section following the issuance of a second level grievance decision shall be with prejudice.
1637.4 A dismissal of a grievance under this section shall not toll or otherwise enlarge the time limits established in § 1628.
1699.1 As used in this chapter the following meanings apply –
Administrative leave – an excused absence with full pay and benefits that is not charged to annual leave or sick leave.
Admonition – any written communication from a supervisor or manager to an employee, up to but excluding an official reprimand, that advises or counsels the employee about conduct or performance deficiencies, and the possibility that future violations will result in corrective or adverse action.
Adverse action – a suspension of ten (10) workdays or more, a reduction in grade, or a removal.
Agency – any unit of the District of Columbia government, excluding the courts, required by law or by the Mayor of the District of Columbia to administer any law, rule, or any regulation adopted under authority of law. The term “agency” shall also include any unit of the District of Columbia government created by the reorganization of one (1) or more of the units of an agency and any unit of the District of Columbia government created or organized by the Council of the District of Columbia as an agency, and shall include boards and commissions as described in D.C. Official Code § 1-603.01(13).
Cause – a reason that is neither arbitrary nor capricious, such as misconduct or performance deficits, which warrants administrative action, including corrective and adverse actions. The classes of conduct and performance deficits outlined in § 1605 constitute causes for corrective and adverse action.
Conduct – the act, manner or process taken by an employee to carry on, including the lack or omission of taking action or carrying out duties and responsibilities.
Corrective action – an official reprimand, involuntary reassignment or a suspension of less than ten (10) workdays.
Days – are calendar days for all periods of more than ten (10) days; otherwise, days are workdays.
Deciding official – the individual who issues a final decision on a disciplinary action in accordance with § 1623.
Disciplinary action – a corrective or adverse action taken against an employee.
Enforced leave – involuntary placement of an employee in a leave status in accordance with § 1617.
Ex parte communication – an oral or written communication between a hearing officer and only one of the parties, either the employee or management.
Exempt employee – individuals serving the District of Columbia in the Management Supervisory Services.
Grievance official – see § 1628.
Hearing officer – an impartial individual who assess the sufficiency of a proposed action consistent with § 1622.
Independent agency – an agency that is not subject to the administrative control of the Mayor.
Manager – an individual responsible for controlling or administering all or part of an agency or its operation. The term “manager” includes all individuals who supervise others and are employed in the Executive, Excepted and Management Supervisory Services, and similar managerial at-will employees.
Nexus – connection or link (such as a connection to an employee’s duties and responsibilities).
Personnel authority – an individual or entity with the authority to administer all or part of a personnel management program as provided in D.C. Official Code §§ 1-604.01 et seq.
Personal history – information about a specific individual, including information about his or her educational, financial, criminal, or employment status or history.
Progressive disciplinary process – refers to the incremental steps to correct either misconduct or systemic performance deficits. Typically, the process includes verbal counseling, reprimand, corrective action and adverse action.
Proposing official – an agency head or an official authorized by the agency head to issue a written notice of proposed corrective or adverse action or enforced leave.
Reduction in grade – an involuntary action that changes an employee to a lower grade level, typically with lower pay.
Removal – the involuntary separation of an employee from District government service.
Reprimand – a written, official censure of an employee that is placed in the employee’s Official Personnel Folder.
Subordinate agency – any agency under the direct administrative control of the Mayor.
Summary action – an action taken to immediately suspend or separate an employee pursuant to § 1616.
Suspension – the temporary placing of an employee in a non-duty, non-pay status.
Standard - any criterion, guideline, or measure established by appropriate authority for the purpose of making objective comparisons or determinations for such purposes, including, but not limited to, the classification of positions, establishment of pay, evaluation of qualifications, and appraisal of work performance.
Temporary appointment – a Career Service appointment effected as provided in Chapter 8 of these regulations that has a specific time limitation of one (1) year or less.
Toll - to delay, suspend or hold off the effect of a statute, regulation or rule.
With prejudice – mean without the ability to re-bring an action; for example, a grievance dismissed with prejudice cannot be reinitiated and the dismissal is final.
Supervisor – an individual who supervises another employee or his or her activities.
The following D.C. Register citations identify when a given section(s) of Chapter 16, General Discipline and Grievances, of Title 6 of the District of Columbia Municipal Regulations, was amended. Following the publication in the D.C. Register of subsequent final rulemaking notices, this Addendum will be updated accordingly.
For the convenience of DPM subscribers, the Addendum identifies amendments on a section-by-section basis, as well as the page in this DPM Transmittal impacted by the amendment(s) occurred, and provides brief comments on the amendment(s) accomplished.
|D.C. Register Date||Section(s)||Transmittal No.||Comments|
|34 DCR 1845 (3/20/87)||Sections 1601 through 1618; 1631 through 1641||DPM Transmittal No. 1||-|
|37 DCR 8297 (12/21/90)||Sections 1601, 1603, 1618||DPM Transmittal No. 22||-|
|46 DCR 7208 (9/10/99)||Section 1603||DPM Transmittal not issued||Section 1603, Definition of Cause, amended in chapter|
|47 DCR 7094 (9/1/00)||Sections 1600 through 1637; and 1699||DPM Transmittal No. 63||These rules implemented the new general discipline and grievances provisions pursuant to D.C. Official Code § 1-616.51 et seq. Name of chapter changed from “Adverse Action and Grievances” to “General Discipline and Grievances;” Table of Appropriate Penalties removed from the chapter|
|49 DCR 11781 (12/27/02)||Sections 1601, 1603, 1606, 1612, 1614, 1615, 1616, 1617, 1630, 1631, 1699||DPM Transmittal No. 92||Deleted provision stating that atwill employees may be subjected to any or all of the measures in the chapter, etc.; added a provision that the final decision in the case of summary suspension/summary removal actions shall be issued not later than 45 days from the date of delivery of the summary suspension/summary removal notice|
|50 DCR 3185 (4/25/03)||Section 1631||DPM Transmittal No. 97||Clarifies that the non-adoption of a suggestion or the failure to receive an incentive award are not grievable matters|
|51 DCR 7951 (8/13/04)||Sections 1600, 1604, 1605, 1608, 1614, 1615, 1616, 1617, 1618, 1619, 1631, 1634, 1635, 1699||DPM Transmittal No. 114||Among other changes, the rules informed covered employees of their right to file an appeal with the OEA for any enforced leave that lasts 10 or more days|
|53 DCR 3974 (5/12/06)||Section 1601||DPM Transmittal No. 144||Amended section 1601.5 of the chapter to add the provisions of Title V of the Omnibus Public Safety Agency Reform Amendment Act of 2004|
|55 DCR 1775 (2/22/08)||Sections 1600, 1601, 1603, 1604, 1606, 1608, 1619, 1620, 1699||DPM Transmittal No. 161||Addition of a new section 1604.3 to the chapter to provide that a proposing official may attempt to resolve a proposed corrective action of a suspension of less than 10 days by conducting a Resolution Conference; changes to section 1603.3 to modify the definition of the causes for which disciplinary action may be taken; and Table of Appropriate Penalties added to the chapter (section 1619)|
|59 DCR 008398 (7/13/12)||Sections 1600.2, 1630.1 and 1630.2||DPM Transmittal No. 206||The rules amended subsections 1600.2, 1630.1 and 1630.2 to add the Educational Service employees in the Office of the State Superintendent of Education.|
|63 DCR 001265 (02/05/16)||Sections 1600 through 1699||DPM Transmittal No. 227||These rules implemented the new discipline and grievances provision pursuant to D.C. Official Code § 1- 616.51 et seq. Name of chapter changed from “General Discipline and Grievances” to “Corrective and Adverse Actions; Enforced Leave; and Grievances”.|
|63 DCR 001265 (02/05/16)||Sections 1600 through 1699||DPM Transmittal No. 227||These rules implemented the new discipline and grievances provision pursuant to D.C. Official Code § 1- 616.51 et seq. Name of chapter changed from “General Discipline and Grievances” to “Corrective and Adverse Actions; Enforced Leave; and Grievances”.|
|64 DCR 004623 (05/12/17)||Sections 1600, 1602, 1605, 1606, 1607, 1610, 1611, 1612, 1613, 1621, 1622, 1623, 1625, 1626, 1629, 1630, 1631,1632, 1699||DPM Transmittal No.231||These rules amend the provisions for the discipline and grievance program. Add language to exclude excepted service employees and sworn members of the Metropolitan Police Department; allow management supervisory service employees to file grievances; clarify that the unlawful possession of controlled substances or paraphernalia violations is caused for corrective or adverse action; require written justification when a deciding official deviates from the table of illustrative action; clarify managerial staff obligation to create a work environment that will reduce the need for disciplinary action. In addition, amended sections 1602, 1606, 1607, 1612, 1613, 1621, 1622, 1623, 1625, 1626, 1629, 1630, 1631, 1631, 1699.|
|66 DCR 005866 (05/10/2019)||Section(s)1625, 1628, 1634||DPM transmittal No. 238||The chapter was amended to make clear that negotiated grievance procedures within a collective bargaining agreement supersede the grievance provisions of Chapter 16, consistent with D.C. Official Code § 1-616.52.|
|66 DCR 011585 (08/30/2019)||Section 1600.3(a)||Errata correction: due to updates made pursuant to 66 DCR 005866, § 1600.3(a) cross-reference to § 1625(c) updated to 1625(b).|
|66 DCR 013372 (10/11/2019)||Section1600.3(a)||Errata correction: update to the numbering in 1600.3 to cross reference 1625.1 (a) and (b)|