[PPT] - P ROHIBIT D P E P RACT S E RSONNE L ICE W HIST R P ROT ION L E PowerPoint Presentation

SLIDE 1

PROHIBIT

E D PE RSONNE L

PRACT

ICE S

WHIST

L E BL OWE R PROT E CT ION

R

IGHT S AND RE ME DIE S

OF F

E DE RAL

E

MPL OYE E S

UNDE

R 5 U.S.C., C HAPT E RS 12 & 23 Mar c h 27, 2013

U.S. O F

F ICE O F SPE CIAL

C OUNSE

L

Updated 12/21/12 to reflect the Whistleblower Protection Enhancement Act

SLIDE 2

T

pic s

5 U.S.C. Cha pte rs 12, 23, 73

U.S. Offic e of Spe c ia l Counse l (OSC)

Prohibite d Pe rsonne l Pra c tic e s
Whistle blowe r Prote c tion

2

SLIDE 3

Offic e Of Spe c ial Counse l (OSC)

5 U.S.C. §§ 1211- 19; 5 C.F .R. PART 1800

Author ize d to —

 Inve stig a te pr

hibite d pe r

sonne l pr a c tic e s a nd othe r a c tivitie s pr

hibite d

by c ivil se r vic e la w, r ule , or r e g ula tion

 Se e k c or

r e c tive a c tion for vic tims of pr

hibite d pe r

sonne l pr a c tic e s

 Se e k disc iplina r

y a c tion a g a inst offic ia ls who c ommit pr

hibite d pe r

sonne l pr a c tic e s

3

SLIDE 4

Offic e Of Spe c ial Counse l (OSC)

5 U.S.C. §§ 1211- 19; 5 C.F .R. Pa rt 1800

Author ize d to —

 Pr

vide safe c hanne l for

whistle blowe r disc losur e s

 Advise & e nfor

c e Hatc h Ac t pr

visions on politic al ac tivity by

fe de r al, state , and loc al gove r nme nt e mploye e s

 Pr

te c t r

e e mployme nt r ights of fe de r al e mploye e militar y ve te r ans and r e se r vists unde r USE RRA

4

SLIDE 5

OSC Org a niza tion

5

SPECIAL COUNSEL Carolyn Lerner

DEPUTY SPECIAL COUNSEL Mark Cohen

COMPLAINTS EXAMINING UNIT INVESTIGATION AND PROSECUTION DIVISION WASHINGTON FIELD OFFICE DALLAS FIELD OFFICE S.F. BAY AREA FIELD OFFICE MIDWEST FIELD OFFICE USERRA UNIT DISCLOSURE UNIT HATCH ACT UNIT CONGRESSIONAL AND PUBLIC AFFAIRS LEGAL COUNSEL AND POLICY DIVISION ADMINISTRATIVE SERVICES HUMAN RESOURCES MANAGEMENT BRANCH INFORMATION TECHNOLOGY BRANCH BUDGET, REPORTING, AND ANALYSIS DOCUMENT CONTROL BRANCH

SLIDE 6

Re sponsibilitie s of Age nc y Offic ials

5 U.S.C. § 2302(c )

Age nc y he ads, and offic ials with de le gate d pe r sonne l manage me nt author ity, ar e r e sponsible for —

l

Pre ve nting prohibite d pe rsonne l pra c tic e s

l

F

llowing a nd e nforc ing c ivil se rvic e la ws,

rule s, a nd re g ula tions

l

E nsuring tha t e mploye e s a re informe d of rig hts a nd re me die s (in c onsulta tion with OSC)

6

SLIDE 7

Ke y Conc e pts

Me r

it Syste m Pr inc iple s T he fr ame wor k and foundation for making all pe r sonne l de c isions in the c ivil se r vic e

Pr
hibite d Pe r

so nne l Pr ac tic e s Admonitions against spe c ific pr ac tic e s that c onflic t with me r it syste ms pr inc iple s

Whistle blo we r

Disc lo sur e s OSC pr

vide s a safe c hanne l for

disc losur e s by c ur r e nt and for me r fe de r al e mploye e s and applic ants for fe de r al e mployme nt

7

SLIDE 8

Prohibite d Pe rsonne l Pra c tic e s:

Ove r vie w

13 Pr

hibite d Pe r

sonne l Pr ac tic e s — four ge ne r al c ate gor ie s:

Disc r

imination

Hir

ing pr ac tic e s that offe nd me r it syste m

Re taliation for

pr

te c te d ac tivity

(inc luding whistle blowing)

Catc h- all: violation of law, r

ule or r e gulation that imple me nt me r it syste ms pr inc iple s (inc luding c onstitutional r ights)

8

SLIDE 9

Disc rimina tion

Pr

hibite d Pe r

sonne l Pr ac tic e to disc r iminate :

Base d on r

ac e , c olor , nationality, r e ligion, ge nde r , handic apping c ondition, age , mar ital status, or politic al affiliation

Base d on “c onduc t whic h doe s not

adve r se ly affe c t the pe r for manc e of the e mploye e or applic ant, or the pe r for manc e of othe r s,” inc luding se xual

r

ie ntation

5 U S C § 2302(b)(1) and (b)(10)

9

SLIDE 10

Politic a l Ac tivity

Pr

hibite d Pe r

sonne l Pr ac tic e to:

Coe r

c e politic al ac tivity of any pe r son (inc luding pr

viding any politic al

c ontr ibution or se r vic e )

Re pr

ising against an e mploye e or applic ant for e mployme nt for the r e fusal

f any pe r

son to e ngage in politic al ac tivity

5 U.S.C. § 2302(b)(3)

10

SLIDE 11

Hiring Offe nse s

Obstr

uc ting the r ight to c ompe te

Influe nc ing withdr

awal fr

m c ompe tition
Unauthor

ize d pr e fe r e nc e s

Ne potism
Conside r

ing impr

pe r

job r e fe r e nc e s

Knowingly violating ve te r

ans’ pr e fe r e nc e

5 U.S.C. § 2302(b)(2); (b)(4); (b)(5); (b)(6);(b)(7); (b)(11)

11

SLIDE 12

Hiring Offe nse s

Most c ommon violations:

De c e iving/ willfully obstr

uc ting r ight to c ompe te for e mployme nt — 5 U.S.C. § 2302(b)(4)

Influe nc ing withdr

awal fr

m c ompe tition to

impr

ve or

injur e e mployme nt pr

spe c ts of

anothe r — 5 U.S.C. § 2302(b)(5)

Gr

anting unauthor ize d pr e fe r e nc e or advantage to impr

ve or

injur e the pr

spe c ts
f any par

tic ular pe r son for e mployme nt — 5 U.S.C. § 2302(b)(6)

12

SLIDE 13

Hiring Offe nse s

13

Common misc onc e ption:

Not pr
hibite d to ac t upon pr

e c onc e ive d ide a that one pe r son may be be st se le c te e for par tic ular position (“pr e se le c tio n”)

T
violate the law the r

e must be —

 T

he gr ant of some ille gal advantage

 An inte ntional and pur

pose ful manipulation

f the syste m to insur

e that one pe r son is favor e d and anothe r is disadvantage d

SLIDE 14

Hiring Offe nse s

Ca ve a ts:

While most hir

ing offe nse s r e quir e inte nt to de c e ive or ma nipula te , hir ing in viola tion of a la w, r ule , or r e g ula tion imple me nting a me r it syste m pr inc iple is a lso a PPP

Ne g lig e nt or

impr ude nt a c tions c a n c r e a te a ppe a r a nc e of viola tion le a ding to c ompla ints a nd inve stig a tions — E .g ., Br

a dc a sting one ’s c hoic e be for

e c ompe tition

14

SLIDE 15

E xa mple s of Hiring Offe nse s

Manage r

de libe r ate ly fails to post vac anc y to stop par tic ular c andidate fr

m applying
Applic ation r

e c e ive d is de libe r ate ly misplac e d or de str

ye d
Supe r

visor give s e mploye e

15

SLIDE 16

E xa mple s Of Hiring Offe nse s

Supe r

visor e nc our age s subor dinate not to c ompe te , or to withdr aw applic ation, by pr

mising futur

e be ne fits that supe r visor doe s not inte nd to gr ant

Close d vac anc y announc e me nt is

r e - ope ne d to pe r mit favor e d

16

SLIDE 17

E xa mple s Of Hiring Offe nse s

Job qualific ations ar

e manipulate d to favor par tic ular applic ant

Supe r

visor te lls qualifie d e mploye e not to apply for job in

r

de r to impr

ve anothe r

e mploye e ’s c hanc e s of se le c tion

17

SLIDE 18

Ca tc ha ll Prohibite d Pe rsonne l Pra c tic e

18

T aking or failing to take pe r sonne l ac tion, in violation of a law, r ule , or r e gulation that imple me nts or dir e c tly c onc e r ns a me r it syste m pr inc iple 5 U.S.C. § 2302(b)(12)

SLIDE 19

Re ta lia tion

5 U.S.C. § 2302(b)(8), (b)(9)

19

T aking, failing to take , or thr e ate ning to take or

fail to take personnel action for ―

Pr
te c te d whistle blowing
E

xe r c ise of appe al, c omplaint, or gr ie vanc e r ights

T

e stimony or

the r

assistanc e to pe r son e xe r c ising suc h r ights

Coope r

ation with or disc losur e s to Spe c ial Counse l or Inspe c tor Ge ne r al

Re fusal to obe y an or

de r that would r e quir e violation of law

SLIDE 20

E le me nts of Proof:

Re pr isal for Whistle blowing

5 U.S.C. §§ 1214(b)(4)(a)- (b), 1221(e )

20

Must show —

Pr
te c te d disc losur

e of infor mation unde r 5 U.S.C. § 2302(b)(8)

Pe r

sonne l ac tion take n, not take n, or thr e ate ne d

Ac tual or

c onstr uc tive knowle dge of pr

te c te d disc losur

e

Pr
te c te d disc losur

e was c ontr ibuting fac tor in pe r sonne l ac tion

SLIDE 21

Prote c te d Whistle blowe r Disc losure s

5 U.S.C. §§ 2302(b)(8), 1213

Disc losure Ca te g orie s

Viola tion of a ny la w, rule , or re g ula tion
Gross misma na g e me nt: substa ntia l risk of

sig nific a nt impa c t on mission

Gross wa ste of funds: more tha n de ba ta ble

e xpe nditure

Abuse of a uthority
Substa ntia l & spe c ific da ng e r to public he a lth

& sa fe ty

Ce nsorship re la te d to sc ie ntific re se a rc h or

a na lysis (sc ie ntific inte g rity)

21

SLIDE 22

Prote c te d Whistle blowe r Disc losure s (c o nt’d)

5 U.S.C. §§ 2302(b)(8), 1213

Ge ne r

ally pr

te c te d whe n made to any

pe r son

Ne e d not be ac c ur

ate to be pr

te c te d
Pr
te c te d if e mploye e r

e asonably be lie ve s that it is tr ue — te st is both

bje c tive and subje c tive

22

SLIDE 23

Prote c te d Whistle blowe r Disc losure s (c o nt’d)

5 U.S.C. §§ 2302(b)(8), 1213

No r

e quir e me nt to go thr

ugh c hain of

c ommand

Whistle blowe r

’s pe r sonal motivation doe s not ne gate r e asonable be lie f

E

mploye e or applic ant pr

te c te d if

e mploye r mistake nly be lie ve s he or she is a whistle blowe r

23

SLIDE 24

Prote c te d Whistle blowe r Disc losure s (c o nt’d)

5 U.S.C. §§ 2302(b)(8), 1213

Disc losur

e doe s not lose pr

te c tion

be c ause :

– disc losur

e made to pe r son who par tic ipate d in the wr

ngdoing;

– disc losur

e r e ve ale d infor mation that had pr e viously be e n disc lose d;

– disc losur

e made while off duty; or

– disc losur

e made dur ing the e mploye e 's nor mal c our se of dutie s.

24

SLIDE 25

Prote c te d Whistle blowe r Disc losure s (c o nt’d)

5 U.S.C. §§ 2302(b)(8), 1213

25

Disc losur e not pr

te c te d (unle ss made to OSC
r

IG), whe r e —

l

Pr

hibite d by law (and c e r

tain r e gulations), o r

l

Re quir e d by E xe c utive Or de r to be se c r e t for national se c ur ity or for e ign affair s

SLIDE 26

Non- Disc losur e Agr e e me nts

Non- disc losur

e agr e e me nts, polic ie s or for ms must inc lude a state me nt c lar ifying that age nc y r e str ic tions on disc losur e s ar e supe r se de d by statutor y whistle blowe r r ights.

Imple me nting or

e nfor c ing a nondisc losur e agr e e me nt that fails to pr

vide this r

e quir e d notific ation of whistle blowe r r ights is a PPP.

26

SLIDE 27

Contributing F a c tor

Any fac tor whic h alone or in c onne c tion with othe r s te nds to affe c t in any way the outc ome of the pe r sonne l ac tion at issue

l

Ca n be e sta blishe d by knowle dg e / timing a lone

l

Ofte n e sta blishe d by c irc umsta ntia l e vide nc e

27

SLIDE 28

Cle a r a nd Convinc ing E vide nc e

(Age nc y De fe nse )

Age nc y must show — by c le ar

and c onvinc ing e vide nc e — that it would have take n same ac tion without disc losur e

F

ac tor s:

Str

e ngth of e vide nc e in suppor t

f pe r

sonne l ac tion

E

xiste nc e & str e ngth of motive to r e taliate

T

r e atme nt of similar e mploye e s who ar e not whistle blowe r s

28

SLIDE 29

OSC’s ma na g e me nt a dvic e

Be me asur

e d in your spe e c h and ac tions

Ke e p the me r

it syste ms c onc e pts on your r adar sc r e e n

F
ste r

an ope n wor k e nvir

nme nt in whic h

e mploye e s ar e not r e luc tant to disc lose wr

ngdoing
Se t the r

ight tone at the top

Be c onsiste nt in managing e mploye e s

29

Se e k e xpe r

t advic e whe n you ar e unsur e

SLIDE 30

Corre c tive Ac tion

5 U.S.C. § 1214

30

If OSC finds pr

hibite d pe r

sonne l pr ac tic e c ommitte d, le tte r is se nt to age nc y he ad r e que sting c or r e c tive ac tion E xample -- Re sc ind suspe nsion, issue bac k pay In most c ase s, age nc ie s agr e e to c or r e c tive ac tion r e que ste d and se ttle me nt

SLIDE 31

Corre c tive Ac tion (c o nt’d)

5 U.S.C. § 1214

Cor r e c tive Ac tion inc lude s:

Plac ing individual in the position he
r

she would have be e n in had no wr

ngdoing oc c ur

r e d

Re asonable and for

e se e able c onse que ntial damage s

Attorne y fe e s, ba c k pa y a nd be ne fits,

me dic a l c osts, tra ve l e xpe nse s

Compe nsa tory damage s

31

SLIDE 32

Corre c tive Ac tion (c o nt’d)

5 U.S.C. § 1214

32

If age nc y doe s not ac t in r e asonable time to c or r e c t PPP, OSC may pe tition the Boar d for c or r e c tive ac tion

l

Boar d allows for

r

al or wr itte n c omme nts by OSC, OPM, the age nc y involve d, and by alle ge d PPP vic tim

l

If Boar d de te r mine s that OSC has de monstr ate d that PPP oc c ur r e d, e xists,

r

is to be take n, Boar d shall or de r appr

pr

iate c or r e c tive ac tion

SLIDE 33

Disc iplinary Ac tion

5 U.S.C. § 1215

33

Ma y be soug ht by OSC for —

l

Prohibite d pe rsonne l pra c tic e s

l

Ha tc h Ac t viola tions

l

Othe r viola tions of c ivil se rvic e la w, rule , or re g ula tion

SLIDE 34

Disc iplinary Ac tion (c o nt’d)

5 U.S.C. § 1215

34

May be sought by OSC fr

m —

l

T he Me r it Syste ms Pr

te c tion Boar

d

l

Age nc y he ads (F

r

unifo r me d se r vic e me mbe r s and c o ntr ac to r s)

l

T he Pr e side nt (F

r

mo st pr e side ntial appo inte e s)

SLIDE 35

Disc iplinary Ac tion (c o nt’d)

5 U.S.C. § 1215

35

Possible pe na ltie s —

l

Re mova l, re duc tion in g ra de , suspe nsion, or re prima nd

l

De ba rme nt from fe de ra l e mployme nt (Up to five ye ar s)

l

Civil pe na lty (Up to $1,100)

SLIDE 36

Disc iplina ry Ac tion (c o nt’d)

5 U.S.C. § 1215

36

Rights of c har ge d e mploye e inc lude —

l

Oppor tunity to r e spond

l

L e gal or

the r

r e pr e se ntation

l

He ar ing be for e Me r it Syste ms Pr

te c tion Boar

d Administr ative L aw Judge

l

Wr itte n de c ision

SLIDE 37

Whistle blowe r Disc losure s

5 U.S.C. § 1213

T he Offic e of Spe c ia l Counse l provide s a sa fe c ha nne l for whistle blowe r disc losure s by fe de ra l e mploye e s, forme r fe de ra l e mploye e s, a nd a pplic a nts for fe de ra l e mployme nt

37

SLIDE 38

Whistle blowe r Disc losure s

5 U.S.C. § 1213

Jurisdic tiona l e le me nts

Cove re d a g e nc y

Most e xe c utive bra nc h a g e nc ie s

Cove re d position

Disc losure must involve oc c urre nc e c onne c te d to pe rforma nc e of e mploye e ’s dutie s & re sponsibilitie s

38

SLIDE 39

Whistle blowe r Disc losure s

5 U.S.C. § 1213 (b)

OSC ha s no inve stig a tive a uthor ity

OSC sha ll ma ke substa ntial like lihood

de te r mina tion 15 da ys a fte r r e c e iving infor ma tion fr

m whistle blowe r
Substa ntial like lihood: a g e nc y inve stig ation

mor e like ly tha n not to substa ntiate a lle g ations

F
llows MSPB de finitions of g r
ss wa ste of

funds, g r

ss misma na g e me nt, & a buse of

a uthor ity

39

SLIDE 40

Whistle blowe r Disc losure s

5 U.S.C. § 1213 (c )

Re fe r r als- - If Spe c ial Counse l de te r mine s the r e is substantial like lihood that infor mation shows one or mor e c ate gor ie s of wr

ngdoing, Spe c ial Counse l must

tr ansmit infor mation to age nc y he ad

40

SLIDE 41

Whistle blowe r Disc losure s

41

l

Age nc y he ad r e quir e d to inve stigate and submit wr itte n r e por t of findings to the Spe c ial Counse l within 60 days— 5 U.S.C. § 1213 (c )(1)

l

Spe c ial Counse l r e vie ws r e por t to de te r mine if it c ontains infor mation r e quir e d by statute and if findings appe ar r e asonable — 5 U.S.C. § 1213 (d), (e )(2)

SLIDE 42

Whistle blowe r Disc losure s

42

Whistle blowe r’s Comme nts Whistle blowe r ha s 15 da ys to c omme nt on a g e nc y re port

5 U.S.C. § 1213 (e ) (1)

SLIDE 43

Whistle blowe r Disc losure s Ag e nc y’s re port a nd a ny whistle blowe r c omme nts a re tra nsmitte d to Pre side nt a nd c ong re ssiona l ove rsig ht c ommitte e s with jurisdic tion ove r the a g e nc y involve d

5 U.S.C. § 1213 (e )(3)

43

SLIDE 44

Whistle blowe r Disc losure s

If Spe c ial Counse l de te r

mine s that the r e is no substantial like lihood that the infor mation shows one of the c ate gor ie s of wr

ngdoing, the n Spe c ial

Counse l infor ms whistle blowe r

Re a sons why disc losure ma y not be

furthe r a c te d on, a nd

Dire c ts individua l to othe r offic e s

a va ila ble for re c e iving disc losure s— 5 U.S.C. § 1213 (g )(3)

44

SLIDE 45

OSC WE B SIT E

(http:/ / www.o sc .go v)

45

SLIDE 46

OSC Phone / e - ma il c onta c ts

46

Complaints E xamining Unit:

(202) 254- 3670 (800) 872- 9855

Disc losur e Hotline :

(202) 254- 3640 (800) 572- 2249

Hatc h Ac t Unit:

(800) 85- hatc h (202) 254- 3650 hatc hac t@o sc .go v

USE RRA Unit:

(202) 254- 3620 USE RRA@o sc .go v

OSC Spe ake r s/ Outr e ac h Re que sts:

(202) 254- 3600 Shir ine Moaze d

SLIDE 47

OSC Ma il Conta c ts

47