Human Resources Policy Manual (HRPM)

Human Resources Operating Instructions (HROI)

Table of Penalties (TOP)

This HROI established: August 10, 2000

This version effective: May 9, 2008

Background information: This HROI is revised to clarify the material in the introduction and to
change the format from narrative to questions and answers. The Offenses and Penalties have
been enhanced and special emphasizes placed on misconduct by employees engaged in safety-
or security-sensitive work.

Use this HROI in conjunction with: ER-4.1, Standards of Conduct (link to

https://employees.faa.gov/org/staffoffices/ahr/policy_guidance/hr_policies/hrpm/er/er-4-1/)
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1. What is the purpose of the TOP?
The listed offenses and suggested penalties are provided as guidance. This TOP is not designed
to cover every possible offense. Managers may initiate disciplinary measures, up to and
including removal, for offenses not listed. Where a range of penalties is listed, a manager may
select the penalty, including the most severe penalty, which is believed warranted. When
describing a charge, care should be exercised to cite only those portions or phrases of the
offense that apply. For instance, offense number 5 of this TOP is “failure or delay in
carrying out orders.” Do not charge the employee with failure and delay if the employee
only delayed in accomplishing a task. The charge must be accurately described and the
supporting specification must be specific and supportive of the charge.

2. What is meant by first offense, second offense, etc., in the TOP?

The first time an employee is formally disciplined (written reprimand or suspension) is
considered a first offense on this TOP. Continued misconduct involving subsequent violations of
rules or regulations may be considered under the second and third offense columns, even if the
misconduct is different from that for which previously disciplined. For instance, an employee is
disciplined as a first offense for running a football pool at the workplace. At a later date
the employee is disciplined for AWOL. The manager would look at the discipline
suggested as a second offense for the AWOL charge. It is not necessary for the manager
to refer to the first offense column for AWOL violations. Managers must weigh the
significance of prior discipline when choosing an appropriate penalty to correct the
situation.

3. What steps should the manager follow when considering discipline?

Before initiating a disciplinary measure, a manager should familiarize him/herself with the
Personnel Management System (PMS), Chapter III, (link to
https://employees.faa.gov/org/staffoffices/ahr/policy_guidance/hr_policies/PMS/PMSCH3/) and
pertinent Chapters contained in Volume 4 of the Human Resources Policy Manual (HRPM) (link
to
https://employees.faa.gov/org/staffoffices/ahr/policy_guidance/hr_policies/hrpm/HRPMTOC/#er)
and associated Human Resources Operating Instructions (HROI). Managers of employees
included in a bargaining unit must also review the collective bargaining agreement.
Consultation with the servicing HRMD prior to issuance of any notice is mandatory in order to
assure consistency in the application of the Federal Aviation Administration (FAA) disciplinary
program and to determine if the contemplated action is supportable. However, the manager is
responsible for the level of discipline proposed and for the ultimate decision.

4. May a manager deviate from the range of penalties suggested in the TOP?
Yes. A manager may deviate from the guide, if supported by the facts of a specific event, and
impose either a lesser or greater penalty as circumstances dictate. Consideration of the
applicable FAA Factors (also referred to as the “Douglas Factors”) is not only mandatory, but
assists managers in selecting the appropriate level of discipline. The TOP is only one of the
twelve FAA Factors. For instance, an employee has misused the Government contractor-
issued travel card for personal purchases on hundreds of occasions and has accumulated
substantial debt. This TOP suggests a 7 to 14 day suspension for a first offense for this
type of misconduct. However, when the manager analyzes the FAA Factors, a decision
may be made to initiate an action more severe than the TOP suggests, up to and including
removal. The reason for deviating from the TOP should be documented in the proposal
notice. The manager could carefully explain, for example, that this behavior is particularly
egregious because it is apparent that the employee’s actions were deliberate, committed
repeatedly, could have a negative impact on the reputation of the FAA and any other
factors that play a significant role in proposing disciplinary action. Managers are not
required to perform an analysis of the FAA Factors for actions initiated for unacceptable
performance or condition of employment cases, such as, failure to maintain a medical
clearance, failure to successfully complete ATC training, loss of a security clearance,
statutorily mandated discipline, inability/unavailability to perform the essential functions
of a position. See
https://employees.faa.gov/org/staffoffices/ahr/policy_guidance/hr_policies/hrpm/er/er_ref/douglasf
actors/ for more information.

5. May managers use demotion to address misconduct?

While not specifically addressed in most of the listed offenses, managers may consider demotion
as an appropriate course of action. Since managerial officials are held to a higher standard
than the general workforce, most often demotions may result because of managerial
misconduct. However, demotions are not restricted to managers. There is no prohibition
against initiating a suspension in addition to a demotion action for the same misconduct.

6. How are suspensions calculated?

Suspensions shall generally be applied in consecutive calendar days, regardless of the
employee’s work schedule. On occasion, deviation from consecutive calendar days may be
required for the good of the Service. If circumstances warrant such a deviation, the servicing
Human Resources Management Division (HRMD) may grant an exception.

7. Does the TOP apply to probationary employees?

Typically, the imposition of discipline suggested in this TOP applies to non-probationary period
employees. Managers must closely monitor a probationer’s performance and conduct during this
critical period of employment. Termination action should be initiated whenever the probationer
fails to demonstrate appropriate conduct or satisfactory performance for continued Federal
employment. See the HRPM, ER-4.6, Termination during New Hire Probationary Period (link to
https://employees.faa.gov/org/staffoffices/ahr/policy_guidance/hr_policies/hrpm/er/ER-4-6/) or
HRPM, ER-4.7, Termination during Managerial Probationary Period (link to
https://employees.faa.gov/org/staffoffices/ahr/policy_guidance/hr_policies/hrpm/er/ER-4-7/) and
the companion HROI’s for further guidance.

8. What impact does the Accountability Board have on discipline?

In accordance with FAA Order 1110.125(series) (link to
https://employees.faa.gov/org/staffoffices/ahr/policy_guidance/hr_policies/order/orders/1110_125
A/) , Accountability Board, the HRMD must be consulted on discipline proposed and decided for
discipline associated with behavior under the purview of the Board. If the Accountable Official
and the responsible HRMD do not agree to what action is appropriate, the Accountability Board
shall be consulted prior to initiating any action.

FAA Table of Disciplinary Offenses and Penalties (link to

https://employees.faa.gov/org/staffoffices/ahr/policy_guidance/hr_policies/hrpm/hroi/er/tblchart.pd
f)