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SUMMARY TABLE OF CONTENTS

PREFACE ..................................................................................................................................... i

CHAPTER 1: MSPB STRUCTURE AND JURISDICTION...............................................1

CHAPTER 2: APPEAL AND DISCOVERY .....................................................................607

CHAPTER 3: HEARING .....................................................................................................965

CHAPTER 4: EVIDENCE ................................................................................................ 1089

CHAPTER 5: INITIAL DECISION AND PETITION FOR REVIEW ....................... 1219

CHAPTER 6: ADVERSE ACTIONS .............................................................................. 1445

CHAPTER 7: NEXUS AND MITIGATION .................................................................. 1745

CHAPTER 8: SUBSTANTIVE OFFENSES ................................................................... 1847

CHAPTER 9: PERFORMANCE CASES ....................................................................... 2189

CHAPTER 10: REDUCTIONS IN FORCE ................................................................... 2277

CHAPTER 11: HARMFUL ERROR ............................................................................... 2405

CHAPTER 12: DISCRIMINATION ............................................................................... 2515

CHAPTER 13: PROHIBITED PERSONNEL PRACTICES ....................................... 2735

CHAPTER 14: RETIREMENT AND REEMPLOYMENT .......................................... 3055

CHAPTER 15: ATTORNEY FEES .................................................................................. 3161

CHAPTER 16: SETTLEMENT, REMEDIES, AND ENFORCEMENT .................... 3341

CHAPTER 17: JUDICIAL REVIEW ............................................................................... 3685

CHAPTER 18: RESEARCH, REFERENCE MATERIALS, AND FORMS ............... 3849

BIBLIOGRAPHY ............................................................................................................... 3873

TABLE OF CASES ............................................................................................................ 3881

INDEX ................................................................................................................................. 3993

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Table of ConTenTs

PREFACE ..................................................................................................................................... i

CHAPTER 1: MSPB STRUCTURE AND JURISDICTION...............................................1I. REFORM ACT .............................................................................................................................................................................................................................1

A. CAPSULE HISTORY ..........................................................................................................................................................................................................1B. OFFICE OF SPECIAL COUNSEL ..................................................................................................................................................................................2

II. MSPB ORGANIZATION AND ADMINISTRATIVE OPERATION ...................................................................................................................................3A. IMPARTIAL ADJUDICATION ........................................................................................................................................................................................4

1. De Novo Review of Agency Actions .................................................................................................................................................................5a. Deference to OPM Regulations .................................................................................................................................................................6

2. Prohibition Against Advisory Opinions; Internal Guidance; Requests for Advisory Opinions ...................................................6B. CUSTOMER SERVICE STANDARDS ...........................................................................................................................................................................7C. ORGANIZATION ...............................................................................................................................................................................................................7

1. Clerk ............................................................................................................................................................................................................................82. Office of Appeals Counsel ...................................................................................................................................................................................9

D. ADMINISTRATIVE JUDGES ....................................................................................................................................................................................... 121. Delegations of Authority .................................................................................................................................................................................. 12

a. Administrative Law Judges Adjudicating Specialized Cases ....................................................................................................... 122. Judges’ Handbook ................................................................................................................................................................................................ 13

a. Qualifications of Administrative Judges ............................................................................................................................................ 133. Regulatory Responsibilities ............................................................................................................................................................................. 13

a. Waiver of Procedural Regulations ........................................................................................................................................................ 14b. Judges’ Position Descriptions and Performance Standards ......................................................................................................... 14c. Regional Director (Chief Judge) Position Description and SES Performance Plan .............................................................. 16

4. Quality Review ..................................................................................................................................................................................................... 19E. CASES OF PARTICULAR SIGNIFICANCE .............................................................................................................................................................. 19

1. Sensitive and Public Interest Appeals .......................................................................................................................................................... 192. Referrals to OPM and to OSC ........................................................................................................................................................................... 193. Board Decisions; Precedential Significance ............................................................................................................................................... 19

a. Nonprecedential Final Orders ................................................................................................................................................................. 20F. MSPB RECORDS ............................................................................................................................................................................................................ 21

1. Gaining Access; Review Procedures ............................................................................................................................................................. 232. Precluding Access ............................................................................................................................................................................................... 23

a. Sanitization of Initial Decisions ............................................................................................................................................................. 24b. Sealing of Records or Files ....................................................................................................................................................................... 24c. Attempts to Preclude Publication of Decisions ................................................................................................................................ 27d. Expungement of Records ........................................................................................................................................................................ 27e. Classified Information ............................................................................................................................................................................... 27

G. RESPONSIBILITY OF PARTIES IN MSPB CASES ................................................................................................................................................. 28III. JURISDICTIONAL OVERVIEW ............................................................................................................................................................................................ 28

A. SOURCES OF JURISDICTION ................................................................................................................................................................................... 301. Original Jurisdiction Cases ................................................................................................................................................................................ 302. Jurisdiction Through Agency Regulation ................................................................................................................................................... 313. Appealable Actions ............................................................................................................................................................................................. 31

a. Adverse Actions .......................................................................................................................................................................................... 32b. Performance-Based Actions .................................................................................................................................................................... 32c. Demonstration Projects ........................................................................................................................................................................... 32

B. PRELIMINARY JURISDICTIONAL ANALYSIS IN APPEALS .............................................................................................................................. 331. Distinction Between Lack of Jurisdiction and Failure to State a Claim ............................................................................................. 34

IV. EMPLOYEES WHO MAY APPEAL; APPEALABLE MATTERS .................................................................................................................................... 34A. NATURE OF CIVIL SERVICE APPOINTMENTS ..................................................................................................................................................... 36B. CONCEPTS COMMON TO DEFINITION OF “EMPLOYEE” FOR COMPETITIVE AND EXCEPTED SERVICE ..................................... 37

1. Current Continuous Service ............................................................................................................................................................................. 37a. Breaks in Service .......................................................................................................................................................................................... 39

2. Same or Similar Position .................................................................................................................................................................................... 40a. Resolution of Factual Disputes Concerning Similarity of Positions ........................................................................................... 46

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b. Service During Detail or in Acting Position ........................................................................................................................................ 473. Not Serving a Probationary or Trial Period Under an Initial Appointment ...................................................................................... 474. Counting Service Time in a Prior Position or Appointment; McCormick .......................................................................................... 48

C. COMPETITIVE SERVICE EMPLOYEES ..................................................................................................................................................................... 551. Competitive and Excepted Service ................................................................................................................................................................ 552. Other Than a Temporary Appointment Limited to One Year or Less ................................................................................................. 57

D. EXCEPTED SERVICE EMPLOYEES ............................................................................................................................................................................ 591. 1990 Civil Service Due Process Amendments ............................................................................................................................................ 59

a. Excepted Service Employees Excluded From Coverage of Due Process Amendments ..................................................... 592. Statutory Preconditions to Employment Status for Board Appeal Rights ...................................................................................... 633. Preference Eligible Status .................................................................................................................................................................................. 64

a. Disabled Veteran .......................................................................................................................................................................................... 68b. Derivative Preference Eligible Status .................................................................................................................................................... 69

4. In an Executive Agency ...................................................................................................................................................................................... 715. Effect of Grievance Settlements; Labor Agreements .............................................................................................................................. 736. Periods of Non-Pay Status ................................................................................................................................................................................. 73

E. DETERMINATION OF PROBATION ......................................................................................................................................................................... 741. Probationary Classification Problems ........................................................................................................................................................... 74

a. Individuals Hired From Registers .......................................................................................................................................................... 74b. Treatment of Transfers .............................................................................................................................................................................. 75c. TAPER Appointments ................................................................................................................................................................................. 77d. Career Reinstatements .............................................................................................................................................................................. 77

2. Calculating Year of Service ................................................................................................................................................................................ 78a. Incorrect Determination of End of First Year of Employment .................................................................................................... 79b. Effective Time and Date of Inexplicit Termination Notice ............................................................................................................ 81c. Significance of SF–50; Unclear Appointment Date ......................................................................................................................... 82d. WAE Appointments .................................................................................................................................................................................... 83e. Military Service ............................................................................................................................................................................................. 83

3. Tacking of Prior Service: Competitive Service Probation ....................................................................................................................... 83a. Same Agency ................................................................................................................................................................................................ 90b. Same Line of Work ....................................................................................................................................................................................... 91

4. Tacking of Prior Service: Excepted Service Trial or Probationary Period .......................................................................................... 945. Agreement to Serve Probationary Period; Waiver of Preexisting Appeal Rights ......................................................................... 956. Representation by Agency That Probation Is Not Required ................................................................................................................. 98

F. APPEAL RIGHTS OF PROBATIONERS .................................................................................................................................................................... 981. Appeal of Probationary Termination ............................................................................................................................................................. 992. Classification of Probationers and Their Appeals ...................................................................................................................................101

a. Competitive Service Term Appointees; Trial Period ......................................................................................................................101b. Probationary Supervisors .......................................................................................................................................................................102

3. Jurisdictional Issues; Right to Hearing ........................................................................................................................................................105a. Effect of Collective Bargaining Agreement; Agency Regulations ............................................................................................107b. Other Contracts ..........................................................................................................................................................................................107c. Harmful Error Analysis; Stephen ..........................................................................................................................................................107d. Relationship to Suitability Determinations ......................................................................................................................................109

4. Preappointment Conditions ..........................................................................................................................................................................112a. Harmful Error Analysis .............................................................................................................................................................................113b. Entitlement to Hearing ............................................................................................................................................................................116c. Measure of Substantive Review ...........................................................................................................................................................117

5. Postappointment Reasons ..............................................................................................................................................................................117a. Pre- and Postappointment Distinctions ............................................................................................................................................117

6. Defective or Untimely Termination Notice ...............................................................................................................................................121a. Termination by Unauthorized Official ................................................................................................................................................122

7. Discrimination and Partisan Politics ............................................................................................................................................................123a. Nonfrivolous Allegations ........................................................................................................................................................................123b. Partisan Political Reasons .......................................................................................................................................................................124c. Marital Status ..............................................................................................................................................................................................125d. Other Discrimination ...............................................................................................................................................................................130

8. Constitutional Claims .......................................................................................................................................................................................1319. Involuntary Resignations .................................................................................................................................................................................132

G. LOSS OF APPEAL RIGHTS BY CHANGE IN POSITION ....................................................................................................................................1321. Movement Between Positions in Same Agency .....................................................................................................................................132

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a. Movement to Positions Through Settlement Agreements .......................................................................................................1382. Movement From One Agency to Another; Transfers .............................................................................................................................138

H. TEMPORARY AND TERM APPOINTMENTS .......................................................................................................................................................1411. Competitive Service Temporary, Term Appointees ...............................................................................................................................1442. Excepted Service Preference Eligible Temporary Appointees ...........................................................................................................1483. Excepted Service Nonpreference Eligible Temporary Appointees...................................................................................................1494. Particular Temporary or Irregular Schedule Appointments ................................................................................................................150

a. TAPER .............................................................................................................................................................................................................150b. Seasonal; On-Call .......................................................................................................................................................................................150c. Intermittent .................................................................................................................................................................................................154d. Full–Time/Part–Time .................................................................................................................................................................................155e. Postal Service Light Duty ........................................................................................................................................................................156f. Indefinite Appointments .......................................................................................................................................................................156g. Federal Career Intern Program .............................................................................................................................................................156h. Student Temporary Employment Program ......................................................................................................................................160

5. Jurisdictional Effect of Lapse of Term or Temporary Appointment .................................................................................................1606. Appeal Right if Termination Occurs Before End of Term .....................................................................................................................162

I. PARTICULAR APPOINTMENTS ...............................................................................................................................................................................1631. Nonappropriated Fund ....................................................................................................................................................................................1632. Veterans Readjustment Act ............................................................................................................................................................................1643. Reemployed Annuitants ..................................................................................................................................................................................1684. Senior Executive Service ..................................................................................................................................................................................1705. Administrative Law Judges .............................................................................................................................................................................1706. Disabled Employees ..........................................................................................................................................................................................1707. Employees in Confidential, Policy–Making, Policy–Determining Positions; Presidential Appointees ................................173

a. White House and Executive Office of the President Employees .............................................................................................1778. Aliens; Noncitizens ............................................................................................................................................................................................1779. Students.................................................................................................................................................................................................................17710. Judicial Branch ....................................................................................................................................................................................................17811. Government Corporations ..............................................................................................................................................................................17912. Postal Service ......................................................................................................................................................................................................180

a. One Year of Qualifying Service; Current Continuous Service in Same or Similar Position ..............................................184b. Postal Supervisors and Managers .......................................................................................................................................................189c. Postal Personnelists and Confidential Employees .........................................................................................................................194d. Postal Service Employees Who Lack Preference Eligibility, Who Have No Negotiated Grievance Procedures,

and Who Are Neither Managers nor Personnelists .......................................................................................................................19813. Contractors ...........................................................................................................................................................................................................20114. Others .....................................................................................................................................................................................................................201

J. AGENCIES WITH SPECIALIZED PERSONNEL SYSTEMS: MSPB JURISDICTIONAL EXCLUSIONS AND MODIFICATIONS ....2021. Department of Homeland Security .............................................................................................................................................................202

a. Human Resources Management System’s Rise and Demise ....................................................................................................203b. Transportation Security Agency: Screeners; Other Employees ................................................................................................203

i. Probationers ......................................................................................................................................................................................205ii. Other TSA Employees ......................................................................................................................................................................205

c. Reduction in Force ....................................................................................................................................................................................2092. Federal Aviation Administration ...................................................................................................................................................................209

a. 2000 Legislation Restoring MSPB Jurisdiction; Back Pay Issues ...............................................................................................209b. 1996 Legislation Divesting MSPB of Jurisdiction ...........................................................................................................................217

3. Department of Defense National Security Personnel System ..........................................................................................................2174. District of Columbia ..........................................................................................................................................................................................2185. Central Intelligence Agency; Defense Department Intelligence ......................................................................................................2186. Federal Bureau of Investigation ....................................................................................................................................................................2197. Canal Zone ............................................................................................................................................................................................................2198. National Archives ...............................................................................................................................................................................................2199. National Guard Technicians ............................................................................................................................................................................21910. Tennessee Valley Authority Employees ......................................................................................................................................................22111. Library of Congress; GAO; Congressional Employees ...........................................................................................................................221

a. Ramspeck Act ............................................................................................................................................................................................22212. Smithsonian Institution ...................................................................................................................................................................................22213. Bureau of Indian Affairs ....................................................................................................................................................................................22214. MSPB Employees ................................................................................................................................................................................................222

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15. Department of Veterans Affairs Title 38 Medical Professionals .........................................................................................................223a. USERRA Coverage ......................................................................................................................................................................................226b. Actions Against Healthcare Professionals Not Involving Professional Conduct or Competence .................................227c. Involuntary Retirements, Resignations ..............................................................................................................................................228

16. Department of Veterans Affairs Veterans Canteen Service .................................................................................................................23017. Agriculture: Stabilization and Conservation Service; Cooperative Extension Services ............................................................23218. Department of Defense Education Activity ..............................................................................................................................................23319. Office of Independent Counsel .....................................................................................................................................................................23420. Foreign Service ....................................................................................................................................................................................................23421. World Bank ...........................................................................................................................................................................................................234

K. NATURE OF PERSONNEL ACTION APPEALED .................................................................................................................................................2351. Possible Adverse Action; Proposals ............................................................................................................................................................2352. Suspensions .........................................................................................................................................................................................................235

a. Paper Suspensions ....................................................................................................................................................................................235b. Consolidation of Short Suspensions...................................................................................................................................................236c. Calculation of Duration of Suspension .............................................................................................................................................237d. Erroneous Imposition of Suspension Exceeding 14 Days ..........................................................................................................237e. Indefinite Suspension ..............................................................................................................................................................................238

3. Reassignments; Details; Transfers; Nonselections ..................................................................................................................................239a. Rank Reductions ........................................................................................................................................................................................241b. Loss of Promotional or Earnings Opportunities; Change in Work Schedule ........................................................................241c. Disciplinary Reassignments; Unified Penalties ..............................................................................................................................243d. Disabled Employees .................................................................................................................................................................................244

4. Pay and Classification Changes .....................................................................................................................................................................244a. Classification ..............................................................................................................................................................................................245b. Pay System Conversion; Grade Reduction .......................................................................................................................................246c. Correction of Pay .......................................................................................................................................................................................247d. Reduction in Pay; Locality Pay Issues .................................................................................................................................................252e. Misrepresentations Concerning Pay Rates ......................................................................................................................................257f. Termination of Premium Pay; LEAPA; Seniority Roster Adjustments; Severance Pay; Bonuses ....................................257g. Retirement Credit, Contributions, and Incentives .........................................................................................................................261h. Debt Collection; Recoupments ............................................................................................................................................................262i. Leave Disputes; Administrative Leave ...............................................................................................................................................265

5. Pay and Compensation Claims: Role of OPM ...........................................................................................................................................2666. Promotion Issues ...............................................................................................................................................................................................267

a. Termination of Temporary Promotions .............................................................................................................................................267b. Return Rights—Overseas Employees ...............................................................................................................................................268

7. Back Pay Disputes ..............................................................................................................................................................................................269a. Retirement Payments ..............................................................................................................................................................................269

8. Resignation ...........................................................................................................................................................................................................269a. Abandonment of Position ......................................................................................................................................................................269

9. Mandatory Retirement ....................................................................................................................................................................................27010. OWCP Benefits; Insurance Programs ...........................................................................................................................................................27111. Requests for Reinstatement: Non-Military Personnel ...........................................................................................................................276

a. Failure to Rehire .........................................................................................................................................................................................277b. Reinstatement Rights—Occupational Illness or Injury; Others ................................................................................................277

12. Performance Standards; Ratings; PIP ..........................................................................................................................................................27813. Prohibited Personnel Practices ......................................................................................................................................................................27814. Merit System Principles Violations ...............................................................................................................................................................27915. Constitutional Violations .................................................................................................................................................................................28016. Miscellaneous Matters .....................................................................................................................................................................................281

L. EFFECT OF COLLECTIVE BARGAINING AGREEMENT GRIEVANCE AND RELATED PROCEDURES ...............................................2811. Postal Service Employees ...............................................................................................................................................................................284

a. Effect of EEO Allegations or EEO Complaint ....................................................................................................................................2852. Administrative Grievance Systems .............................................................................................................................................................2863. Statutory Grievance Systems; Foreign Service Grievance Board ......................................................................................................2864. Employee Choice: Adverse Actions; Performance Cases .....................................................................................................................2865. Contractual Exclusivity; Impact on Board Jurisdiction of EEO Allegations ...................................................................................287

a. Appeal Rights With EEO Allegations ...................................................................................................................................................288b. USERRA Claims ..........................................................................................................................................................................................290c. Reduction in Force ....................................................................................................................................................................................293

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d. Acceptable Level of Competence Determination; Within–Grade Increases ........................................................................2946. Problems Arising From Choice of Contractual Procedures .................................................................................................................295

a. Incorrect or Inadequate Advice From Agency ................................................................................................................................295b. Dispute Over Bargaining Unit Status or Arbitrability; Ineffective Elections; Cross-Filing ..............................................296c. Defunct Union ............................................................................................................................................................................................299d. Union Actions on Behalf of Employees .............................................................................................................................................301e. What Constitutes Filing of Grievance ................................................................................................................................................302f. Premature Elections ..................................................................................................................................................................................302g. Failure to Obtain Arbitration Hearing ...............................................................................................................................................304

7. Allegations of Discrimination ........................................................................................................................................................................3068. Indefinite Suspensions .....................................................................................................................................................................................3079. Appeal Right With Arbitration Award; Employees of Agencies Other Than Postal Service ....................................................30810. Unfair Labor Practice Charges .......................................................................................................................................................................309

M. GRADE AND PAY RETENTION ................................................................................................................................................................................3111. Atwell ......................................................................................................................................................................................................................313

a. Allegations of Discrimination ...............................................................................................................................................................315b. Restoration Actions ..................................................................................................................................................................................315

2. Absence of Retention; Benefits Declined .................................................................................................................................................3153. Appeal of RIF; Classification ...........................................................................................................................................................................3164. Termination of Pay Retention .......................................................................................................................................................................318

V. UNIFORMED SERVICE EMPLOYMENT AND REEMPLOYMENT RIGHTS ACT; VETERANS EMPLOYMENT OPPORTUNITIES ACT ...318A. BOARD APPEAL RIGHTS OF MILITARY PERSONNEL AND INDIVIDUALS WITH VETERANS PREFERENCE ..............................318

1. Regulations Governing USERRA, VEOA Claims .......................................................................................................................................3222. Judge’s Responsibility in the Appeal ...........................................................................................................................................................3243. Hearing Entitlement .........................................................................................................................................................................................3254. Exclusivity of VEOA Board Appeal; Joinder of USERRA Claim ...........................................................................................................328

B. UNIFORMED SERVICE EMPLOYMENT AND REEMPLOYMENT RIGHTS ACT ........................................................................................3291. USERRA Statutory Structure ...........................................................................................................................................................................334

a. Related EEO Violations; Prohibited Personnel Practice Allegations ........................................................................................340b. Affirmative Defense ..................................................................................................................................................................................342

2. Time for USERRA Appeal .................................................................................................................................................................................343a. Waiver of Right to Appeal ......................................................................................................................................................................344

3. Permissive Exhaustion of Department of Labor Remedy ...................................................................................................................3464. Liberal Pleading Standard ...............................................................................................................................................................................348

a. Summary Disposition of Claim .............................................................................................................................................................3525. Burden of Proof ..................................................................................................................................................................................................353

a. Circumstantial Evidence ..........................................................................................................................................................................355b. Analysis of Alleged Discrimination Because of Military Service ..............................................................................................357c. Disability Incurred While in Military Service ....................................................................................................................................361d. Disparate Impact Theory Inapplicable ...............................................................................................................................................362e. Reprisal Against the Exercise of USERRA Rights .............................................................................................................................363

6. Recovery Period .................................................................................................................................................................................................364a. Nonretroactive Substantive Application...........................................................................................................................................366b. Vietnam Era Veterans’ Readjustment Assistance Act of 1974 ....................................................................................................369

7. Covered Personnel; Agencies ........................................................................................................................................................................370a. Contractor Employees .............................................................................................................................................................................373b. Relatives of Service Members ...............................................................................................................................................................375

8. Covered Personnel Actions, Benefits ..........................................................................................................................................................375a. Dismissal From Employment; Demotion ..........................................................................................................................................375b. Constructive Adverse Action ................................................................................................................................................................380c. Suspension ..................................................................................................................................................................................................380d. Failure to Appoint .....................................................................................................................................................................................380e. Failure to Consider Employee for Vacant Positions; Manipulation of Positions ..................................................................385f. Noncompetitive Promotions; Bid Assignments .............................................................................................................................387g. Reassignments ..........................................................................................................................................................................................389h. Retirement Benefits ..................................................................................................................................................................................389i. Education Benefits ....................................................................................................................................................................................390j. Military Leave; Butterbaugh ..................................................................................................................................................................391k. Charges to Leave .......................................................................................................................................................................................398l. Harassment; Hostile Working Environment .....................................................................................................................................398m. Changes in Employment Status; Reemployment; Benefits Following Restoration to Duty ...........................................399

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n. Effect of Reduction in Force ...................................................................................................................................................................402o. Ready Reserve Status ...............................................................................................................................................................................403

C. VETERANS EMPLOYMENT OPPORTUNITIES ACT ..........................................................................................................................................4031. VEOA Statutory Structure ................................................................................................................................................................................4052. Covered Personnel .............................................................................................................................................................................................406

a. Exclusions From Statutory Coverage .................................................................................................................................................413b. Related EEO Violations or Other Prohibited Personnel Practices .............................................................................................415

3. Time for VEOA Appeal .....................................................................................................................................................................................4164. Mandatory Exhaustion of Department of Labor Remedy ...................................................................................................................417

a. Specificity Required for Complaint to Labor Department ..........................................................................................................420b. Equitable Tolling of Time Limits; Waiver of Administrative Exhaustion Requirements ....................................................421c. Effect of Settlement Reached by Department of Labor ..............................................................................................................430

5. Liberal Pleading Standard ...............................................................................................................................................................................4306. Basis for Veterans Preference .........................................................................................................................................................................4327. General Operation and Application of Veterans Preference on Appointment Process ............................................................434

a. Excepted Service Positions; “Positive Factor”; Attorneys .............................................................................................................435b. Geographic Extent of Competition .....................................................................................................................................................445c. Qualifications for Position ......................................................................................................................................................................446d. Education Requirements ........................................................................................................................................................................449e. Assessments of Medical Fitness ...........................................................................................................................................................449f. Nonselection for Position .......................................................................................................................................................................450g. Improper Assessment of Qualifications ............................................................................................................................................451h. Disabled Veterans ......................................................................................................................................................................................452i. Age Limitations on Appointments ......................................................................................................................................................452

8. Disciplinary Cases...............................................................................................................................................................................................4589. Reassignments ....................................................................................................................................................................................................45810. Retirement Benefits ...........................................................................................................................................................................................45811. Other Benefits......................................................................................................................................................................................................45812. Appointment and Promotion Processes Challenges ............................................................................................................................458

a. Competitive Appointment Procedures; Exceptions to Competitive Requirements .........................................................458b. Category Hiring Procedures ..................................................................................................................................................................462c. Appointments Through Reinstatements ..........................................................................................................................................463d. Merit Promotion by Internal Candidates Only; Reassignment; Reinstatement .................................................................464e. Merit Promotion, Open to External Candidates .............................................................................................................................465f. Positions Announced Under Both Open Competition and Merit Promotion Procedures ..............................................473g. Veterans Readjustment Authority Appointments ........................................................................................................................477h. Federal Career Intern Program Appointments ...............................................................................................................................478i. Outstanding Scholar Program ..............................................................................................................................................................487j. Failure to Provide Proper Veterans Preference ................................................................................................................................493

13. Remedial Structure; Reconstruction of Selection Processes ..............................................................................................................494a. Use of Appointment Authority With Effect of Denying Consideration of Veterans’ Applications ................................504b. Manipulation of Appointments ............................................................................................................................................................506c. Passover Process ........................................................................................................................................................................................512d. Rule of Three ................................................................................................................................................................................................518e. Mootness; Review of Agency-Initiated Reconstruction Efforts ................................................................................................519

14. Damages................................................................................................................................................................................................................520VI. SUITABILITY DETERMINATIONS ....................................................................................................................................................................................522

A. APPLICATION TO COMPETITIVE SERVICE APPOINTEES ..............................................................................................................................5291. Employees Serving in Probationary or Trial Periods ..............................................................................................................................529

B. SUITABILITY DETERMINATIONS BY AGENCIES OPERATING UNDER AUTHORITY DELEGATED BY OPM ................................5291. Cases Involving Evidence of Material, Intentional False Statement or Deception or Fraud ....................................................5312. Nonselection for Position; Constructive Suitability Determination Under Delegated Authority ........................................5333. Impact of 2008 OPM Suitability Regulations............................................................................................................................................544

C. ADJUDICATION STANDARDS ...............................................................................................................................................................................5451. Mitigation; EEO Defenses ................................................................................................................................................................................5482. Disparate Treatment .........................................................................................................................................................................................5493. Rehabilitation ......................................................................................................................................................................................................549

D. EVIDENCE .....................................................................................................................................................................................................................5501. Collateral Estoppel; Res Judicata ...................................................................................................................................................................551

E. BASES FOR SUITABILITY DETERMINATIONS ....................................................................................................................................................5521. Falsification of Employment Documents .................................................................................................................................................552

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2. Involvement With Drugs .................................................................................................................................................................................5533. Post–Appointment Conditions .....................................................................................................................................................................5544. Other Problems ..................................................................................................................................................................................................556

F. REMEDIES ......................................................................................................................................................................................................................5561. Mootness ...............................................................................................................................................................................................................557

G. RELATION OF SUITABILITY AND PASSOVER DETERMINATIONS ............................................................................................................558H. RELATION OF OPM-DIRECTED SUITABILITY REMOVAL AND ADVERSE ACTION APPEAL RIGHTS,

MITIGATION ANALYSIS .............................................................................................................................................................................................560VII. OPM REGULATION REVIEW; CHALLENGES TO AGENCY IMPLEMENTATION OF OPM REGULATIONS; CHALLENGES

TO OPM EMPLOYMENT PRACTICES ...........................................................................................................................................................................564A. REGULATION AND REGULATION IMPLEMENTATION REVIEW PROCEDURES ....................................................................................565B. GENERAL CRITERIA FOR REGULATION REVIEW AND REGULATION IMPLEMENTATION REVIEW ..............................................566

1. Distinction Between Regulation Review and Implementation Review .........................................................................................568C. PLEADING REQUIREMENTS; SCOPE OF REVIEW ............................................................................................................................................569

1. Discretionary Review; Likelihood of Success ...........................................................................................................................................5702. Likelihood of Harm ...........................................................................................................................................................................................5703. Likelihood Issues Will Be Addressed in a Different MSPB Appeal or a Different Forum ...........................................................5714. Standing; “Interested Person” .........................................................................................................................................................................5725. Covered Personnel Actions .............................................................................................................................................................................573

D. EXAMPLES OF REGULATION REVIEW ................................................................................................................................................................5731. Administrative Law Judge Examination Authority ...............................................................................................................................5732. SES Reassignments and Work Schedules .................................................................................................................................................5733. Administration of Leave ..................................................................................................................................................................................5754. Scope of Administrative Grievance Procedures .....................................................................................................................................5755. Other Issues .........................................................................................................................................................................................................575

E. EXAMPLES OF REGULATION IMPLEMENTATION REVIEW ..........................................................................................................................5771. SES Performance Appraisal Disputes ..........................................................................................................................................................578

F. EMPLOYMENT PRACTICE CHALLENGES ...........................................................................................................................................................5791. Agency Misapplication of Valid OPM Requirement; Agency Employment Practices ................................................................5822. Standing to Raise Challenge ..........................................................................................................................................................................5843. General Characteristics of Tests Rather Than Individual Examination Results at Issue .............................................................5854. Failure to Hire .......................................................................................................................................................................................................5865. Scope of Competition .......................................................................................................................................................................................5876. Position Qualification Standards; Educational Requirements ...........................................................................................................5887. Medical and Physical Qualification Requirements .................................................................................................................................5938. OPM Involvement in Agency Selections ...................................................................................................................................................5949. Selection and Examination Practices for Administrative Law Judges .............................................................................................59710. Passover Determination ..................................................................................................................................................................................60311. Time-In-Grade Restrictions .............................................................................................................................................................................60412. Eligibility Ratings and Suitability Determinations ..................................................................................................................................60613. Failure to Promote .............................................................................................................................................................................................60614. Remedy .................................................................................................................................................................................................................606

CHAPTER 2: APPEAL AND DISCOVERY .....................................................................607I. INITIATING AN APPEAL .....................................................................................................................................................................................................607

A. RULES AND PRACTICES OF GENERAL APPLICATION GOVERNING APPEALS ...................................................................................6071. Dates of Filing .....................................................................................................................................................................................................6072. Service of Pleadings ..........................................................................................................................................................................................607

a. Date of Filing; Electronic Filing; Technical Difficulties ..................................................................................................................6083. MSPB Processing of Appeal ...........................................................................................................................................................................611

B. TIME FOR FILING APPEAL .......................................................................................................................................................................................6121. MSPB Treatment of Timeliness Issues ........................................................................................................................................................6122. Jurisdiction or Timeliness as Alternate Bases for Dismissal of Appeal ...........................................................................................6133. Time to Appeal; Regulatory Provisions; Computation of Time ..........................................................................................................615

a. Allegations of Discrimination—Mixed Cases ..................................................................................................................................616b. Effect of Grievance Procedures .............................................................................................................................................................616c. Whistleblowing Reprisal Allegations—Individual Right of Action Cases .............................................................................616d. Computation of Time ...............................................................................................................................................................................617e. Technical Constructions ..........................................................................................................................................................................617f. Requests for Extension of Time to Appeal .......................................................................................................................................618

4. Suspension Appeals ..........................................................................................................................................................................................618

xviii TablE of CoNTENTs

a. Indefinite Suspensions; Enforced Leave ............................................................................................................................................6195. Individual Right of Action Appeals ..............................................................................................................................................................6226. USERRA Appeals .................................................................................................................................................................................................6237. Negative OPM Reconsideration Decision Appeals ................................................................................................................................623

a. Failure to Seek Timely Reconsideration; Requests to Extend Time to Request Reconsideration .................................625b. Relationship Between Scope of Reconsideration Request and MSPB Appeal ....................................................................627c. Failure of OPM to Act Upon Reconsideration Request; Failure of OPM to Advise of Reconsideration Right ..........627d. Overpayment Determinations .............................................................................................................................................................631

8. Law Enforcement Officer Retirement Credit Appeals ...........................................................................................................................631C. METHOD AND PLACE OF FILING .........................................................................................................................................................................633

1. Method of Filing .................................................................................................................................................................................................633a. Mail .................................................................................................................................................................................................................633b. Significance of Postmark: Presumptive Filing Date .......................................................................................................................633c. Significance of Actual Mailing Date; Mailstream Rule: Actual Filing Date ............................................................................634d. Commercial Delivery ................................................................................................................................................................................634e. Facsimile .......................................................................................................................................................................................................634f. Personal Delivery .......................................................................................................................................................................................635g. Electronic Filing ..........................................................................................................................................................................................635

2. Irregular and Misdirected Filings ..................................................................................................................................................................636a. Appeals to or From Congressional Offices .......................................................................................................................................636b. Misfiled Mixed Case Appeals ................................................................................................................................................................636c. Non-Mixed Appeal Filed With Employing Agency .......................................................................................................................638d. Appeals Misdirected Within MSPB, to OPM or OSC .....................................................................................................................639e. Incomplete Appeals .................................................................................................................................................................................640

D. PREMATURE APPEALS ..............................................................................................................................................................................................6401. Abeyance Arrangement ...................................................................................................................................................................................6402. Premature Appeals That Ripen Into Appealable Actions During Regional Adjudication or During Petition

for Review ............................................................................................................................................................................................................6413. Retirement Appeals ...........................................................................................................................................................................................6424. Mixed and Whistleblowing Cases; Actions Initiated in Court ............................................................................................................642

E. TIMELINESS OF APPEALS ........................................................................................................................................................................................6431. Responsibilities of Judge and Parties in Appeals Involving Timeliness Issues .............................................................................644

a. Mental or Physical Illness; Lacy Notice ...............................................................................................................................................645b. Duty of Appellant to Produce Evidence Concerning Timeliness .............................................................................................647c. Duty of Agency and Judge to Produce and Develop Evidence ................................................................................................648

2. Waiver; Alonzo ....................................................................................................................................................................................................650a. Prejudice to Respondent; Laches.........................................................................................................................................................652b. Current Law on Waiver; Multifactor Analysis ...................................................................................................................................652c. Historical Position on Waiver .................................................................................................................................................................657d. Retirement Appeals .................................................................................................................................................................................658

3. Application for Waiver ......................................................................................................................................................................................660a. Hearing Entitlement on a Timeliness Issue ......................................................................................................................................661b. Due Diligence .............................................................................................................................................................................................663

4. Contractual Stay Provisions; Postal Service Employees .......................................................................................................................663F. EXCUSES FOR LATE FILING ....................................................................................................................................................................................665

1. Sickness or Hospitalization .............................................................................................................................................................................665a. Supporting Evidence ................................................................................................................................................................................666b. Mental Impairment ...................................................................................................................................................................................667c. Effect of Continuing Mental Disorder on Filing Deadline ...........................................................................................................668

2. Business or Outside Activities ........................................................................................................................................................................6693. Military Service ....................................................................................................................................................................................................6704. Incarceration; Criminal Proceedings ...........................................................................................................................................................6725. Need to Obtain Documentation ...................................................................................................................................................................6726. Unfamiliarity With MSPB Procedures and Law ........................................................................................................................................673

a. Inability to Obtain Counsel ....................................................................................................................................................................674b. Language Difficulties ...............................................................................................................................................................................674c. Miscalculation of Time for Appeal .......................................................................................................................................................675

7. Lack of, Interference With, or Incorrect Notice ........................................................................................................................................675a. Obligation to Provide Notice; Appeal Form .....................................................................................................................................676b. Belated Receipt of Adverse Action Decision....................................................................................................................................680c. Constructive Receipt of Decision Notice ...........................................................................................................................................681

GuiDE To MsPb law aND PRaCTiCE xix

d. Proof Concerning Delivery of Notice of Appeal Rights ...............................................................................................................682e. Notice of Appeal Rights to Appellant’s Representative ...............................................................................................................683f. Appellant’s Obligations When Removal Notice or Appeal Rights Not Received ................................................................683g. Constructive Adverse Action; Notice if Agency Learns of Protest ...........................................................................................684h. Constructive Adverse Action Without Notice to Agency ............................................................................................................686i. Initiation of Adverse Action or Performance-Based Appeals Arising From Last Chance or Other Settlement

Agreements .................................................................................................................................................................................................696j. Lack of Notice Concerning Restoration and Reemployment Appeal Rights ......................................................................699k. Enforced Leave ..........................................................................................................................................................................................702l. Agency on Notice but Fails to Provide Appeal Rights; Secondary Information Concerning Appeal Rights ...........703m. Prior or Subsequent Notice of Filing Deadlines ..............................................................................................................................704n. Agency Misrepresentation .....................................................................................................................................................................705o. Threats by Agency Personnel ................................................................................................................................................................707p. Mixed Case Notice Problems .................................................................................................................................................................707q. Problems With Receipt of Mail; Certified Mail; International Mailings ...................................................................................708

8. Appeals Lost in Mails.........................................................................................................................................................................................7139. Facsimile Problems ............................................................................................................................................................................................71510. Problems Caused by Adjudicators; Misdirected Appeals ....................................................................................................................715

a. MSPB ..............................................................................................................................................................................................................715b. EEOC ...............................................................................................................................................................................................................716c. OPM ................................................................................................................................................................................................................716

11. Uncertainty as to Outcome of a Related Case; Pending Settlement Negotiations; Case Taken to Court ..........................717a. Grievances ....................................................................................................................................................................................................718

12. Inadequate Representation ............................................................................................................................................................................718a. Not Excused .................................................................................................................................................................................................718b. Excused; Obstruction or Misrepresentation by Counsel .............................................................................................................719c. Excused; Inconsequential Delays by Representatives ..................................................................................................................723

13. Other Problems ..................................................................................................................................................................................................724G. TIME FOR RAISING NEW APPELLATE ISSUES AND CLAIMS .......................................................................................................................724

1. Issues and Defenses .........................................................................................................................................................................................724a. Liberal Construction of Pleadings ......................................................................................................................................................724b. EEO Affirmative Defenses ......................................................................................................................................................................724

2. Claims ....................................................................................................................................................................................................................724H. MOOT, WITHDRAWN, AND WAIVED APPEALS ................................................................................................................................................725

1. Mootness of Appeal .........................................................................................................................................................................................725a. Cancellation of Action Appealed .........................................................................................................................................................726b. Appellant Resigns Prior to Termination ............................................................................................................................................727c. Restoration of Status Quo Ante .............................................................................................................................................................727d. Initiation of New Action Based on Events Leading to Cancelled Action ...............................................................................732e. Procedure Followed if Action Not Completely Rescinded..........................................................................................................732f. Procedures for Raising Issues Pertaining to Restoration of Status Quo ................................................................................733g. Procedure Following Remand to Judge ............................................................................................................................................734h. Settlement Independent of MSPB Appeal .......................................................................................................................................734i. Complete Relief Through Other Means; Stays of Pending Litigation .....................................................................................743J. Collateral Issues Following Rescission of Action; Claims for Counsel Fees or General Damages; Interest ................743k. EEO Allegations; Claims for Compensatory Damages .................................................................................................................744l. Whistleblower Protection Act: Claims for Consequential Damages, Other Relief ............................................................746m. Uniformed Services Employment and Reemployment Rights Act .........................................................................................751n. Effect of Resignation ................................................................................................................................................................................753o. Criminal Conviction ..................................................................................................................................................................................753p. Consecutive Adverse Actions ................................................................................................................................................................753q. OPM Rescinds Reconsideration or Final Decision ..........................................................................................................................754r. Retirement Appeals; Constructively Adverse Retirements.........................................................................................................757s. Compliance or Enforcement Issues .....................................................................................................................................................759t. ALJ Cases ......................................................................................................................................................................................................760u. Other Problems ..........................................................................................................................................................................................760

2. Effect of Retirement on Appealable Actions ............................................................................................................................................760a. Effect of Cleansing Personnel File When the Adverse Action Decision Is Accompanied by Retirement ...................765b. Reductions in Force ..................................................................................................................................................................................767c. Law Prior to 1989 .......................................................................................................................................................................................769

3. Withdrawal of Appeal .......................................................................................................................................................................................770

xx TablE of CoNTENTs

a. Withdrawal to Pursue EEO Complaint; Withdrawal of EEO Claims ..........................................................................................772b. Withdrawal to Pursue a Contract Grievance Procedure ..............................................................................................................774c. Confusion Between Necessity for Withdrawal of Appeal, Continuance, and Withdrawal of Appeal

Without Prejudice to Refile ....................................................................................................................................................................774d. Unauthorized Act of Representative ..................................................................................................................................................776e. Duress; Misrepresentation; Incompetence .....................................................................................................................................779f. Mistake ..........................................................................................................................................................................................................781g. Misleading or Incomplete Information From Judge .....................................................................................................................781h. Attempts to Reinstate Withdrawn Appeals ......................................................................................................................................784

4. Dismissal Without Prejudice to Refile (“DWOP”) .....................................................................................................................................788a. Pending Criminal Proceedings; Indefinite Suspensions ..............................................................................................................793b. Procedures for Obtaining Dismissal; Refiling ..................................................................................................................................794c. Refiling Dates ..............................................................................................................................................................................................795d. Effect of Petition for Review .................................................................................................................................................................797e. Agency-Initiated Requests .....................................................................................................................................................................798f. Dismissals Initiated by Judge or MSPB ..............................................................................................................................................799g. Delays in Refiling .......................................................................................................................................................................................800h. Late Refiling; Independent Right of Appeal ....................................................................................................................................803i. Imperfect Attempts to Refile; Confusion Caused by Judge .......................................................................................................803

5. Waiver of Appeal Through Last Chance Agreements and Other Preappeal Waivers ................................................................804a. Jurisdictional Analysis ..............................................................................................................................................................................806b. Public Policy Considerations; Complete Preclusion of Appeal; Conflict With Agency Regulations; Valid

Consideration; Scope of Agreement ..................................................................................................................................................813c. Ambiguous Terms; Failure to Waive Future Appeal Rights .........................................................................................................815d. Due Process Considerations; Notice ...................................................................................................................................................819e. Last Chance Agreement Superseded by Independent Adverse Action ................................................................................820f. Lack of Authority of Representative to Enter Agreement ...........................................................................................................822g. Agreement Preceding Effective Date of Adverse Action; Agreement to Accept Demotion ..........................................822h. Bad Faith, Coercion, or Lack of Mental Capacity in Inducement of Agreement as a Condition

to MSPB Jurisdiction .................................................................................................................................................................................825i. Agency Noncompliance With Agreement as a Condition of MSPB Jurisdiction ................................................................829j. Burden of Proof on Issue of Breach of Last Chance Agreement ...............................................................................................830k. Entitlement to a Hearing ........................................................................................................................................................................832l. Illegal or Punitive Terms; General Descriptions of Prohibited Conduct .................................................................................834m. Conditions Unrelated to Underlying Action; Ambiguous Conditions; Conditions Described in Notice

of Violation of LCA .....................................................................................................................................................................................835n. Claims Collateral to Breach of Agreement ........................................................................................................................................840o. Duration of Agreement ...........................................................................................................................................................................841

6. Personnel Actions Reached Through Settlements Not Constituting Last Chance Agreements ..........................................841II. FORMAT AND PRELIMINARY PROCESSING OF APPEAL ......................................................................................................................................843

A. ESSENTIAL INFORMATION ......................................................................................................................................................................................843B. FORMAT..........................................................................................................................................................................................................................844

1. Interpretation of Appeal ..................................................................................................................................................................................8442. Signature ...............................................................................................................................................................................................................8453. Appeals Filed Through Representatives ....................................................................................................................................................8464. “John and Jane Doe” Appeals: Protecting Appellant’s Privacy ...........................................................................................................8465. Agency-Initiated Retirement Appeals .......................................................................................................................................................8496. Class Actions, Consolidated Appeals, and Joinder .................................................................................................................................849

a. Consolidation .............................................................................................................................................................................................849b. Joinder; Compulsory Joinder ................................................................................................................................................................851c. Class Actions................................................................................................................................................................................................853

7. Substitution; Survival of Claims ....................................................................................................................................................................854a. IRA Cases .......................................................................................................................................................................................................856

C. INTERVENTION ............................................................................................................................................................................................................8561. Intervention of Right: OPM, OSC ..................................................................................................................................................................8572. Permissive Intervention Procedures ...........................................................................................................................................................8593. Rights of Intervenors .........................................................................................................................................................................................8614. Amicus Curiae .......................................................................................................................................................................................................861

D. STEPS TAKEN AFTER APPEAL IS FILED ..............................................................................................................................................................8621. Acknowledgment of Appeal ..........................................................................................................................................................................863

a. Philippines Retirement Appeals ..........................................................................................................................................................864

GuiDE To MsPb law aND PRaCTiCE xxi

2. Amendment of Appeal.....................................................................................................................................................................................8643. Service of Pleadings ..........................................................................................................................................................................................8644. Deficient Appeals ...............................................................................................................................................................................................865

E. AGENCY RESPONSE TO APPEAL ...........................................................................................................................................................................8661. Narrative Response to Appeal ......................................................................................................................................................................8672. Motion to Dismiss Appeal ...............................................................................................................................................................................8683. Delay in Appeal Response...............................................................................................................................................................................8684. Designation of Agency Representative ......................................................................................................................................................868

F. APPEALS INVOLVING JURISDICTIONAL ISSUES .............................................................................................................................................8691. Nonfrivolous Jurisdictional Allegations ....................................................................................................................................................8722. Judge Must Ensure Jurisdictional Issues Are Identified .......................................................................................................................8723. Agency Representative’s Responsibilities .................................................................................................................................................8754. Hearings on Jurisdictional Issues ................................................................................................................................................................876

G. REPRESENTATIVES ......................................................................................................................................................................................................8771. Right to Representation ...................................................................................................................................................................................877

a. Inadequate Representation ...................................................................................................................................................................878b. Service on Representative ......................................................................................................................................................................879

2. Disqualification of Representative; Application of State Disciplinary Rules .................................................................................8803. Conflicts .................................................................................................................................................................................................................880

a. Representatives as Witnesses ................................................................................................................................................................8824. Disciplinary Rules and Proceedings ............................................................................................................................................................882

H. PRO SE AND INADEQUATELY REPRESENTED PARTIES ................................................................................................................................8831. Pro Se Appellants ...............................................................................................................................................................................................8832. Assistance to Mentally Incompetent Appellants; French Procedures ............................................................................................884

I. EX PARTE COMMUNICATIONS ...............................................................................................................................................................................8871. What They Are ....................................................................................................................................................................................................8882. How Ex Parte Communications Are Treated ............................................................................................................................................891

III. INTERLOCUTORY APPEALS ............................................................................................................................................................................................891A. INTERLOCUTORY APPEAL PROCEDURE ............................................................................................................................................................891

1. Regulation.............................................................................................................................................................................................................8912. Application of Regulation ...............................................................................................................................................................................893

a. Rulings on Bias and Intervention .........................................................................................................................................................894b. Direct Appeal to MSPB .............................................................................................................................................................................895

3. Stays of Proceedings .........................................................................................................................................................................................895IV. DISCOVERY ............................................................................................................................................................................................................................896

A. AN OVERVIEW OF DISCOVERY PROCEDURES ................................................................................................................................................8961. Initial Disclosures ................................................................................................................................................................................................8992. Preliminary Steps in Discovery ......................................................................................................................................................................9003. Discovery Limitations ......................................................................................................................................................................................900

a. Jurisdictional Issues ..................................................................................................................................................................................9014. Discovery Disputes; Motions to Compel ....................................................................................................................................................9015. Federal Rules .......................................................................................................................................................................................................903

a. Federal Rules of General Application .................................................................................................................................................9036. Interrogatories.....................................................................................................................................................................................................905

a. Use of Interrogatories .............................................................................................................................................................................9067. Depositions ..........................................................................................................................................................................................................9078. Other Discovery Devices ................................................................................................................................................................................909

a. Document Requests ................................................................................................................................................................................909b. Requests for Admissions .........................................................................................................................................................................910c. Medical, Psychiatric Examinations .....................................................................................................................................................911d. Motion for More Definite Statement of Appeal .............................................................................................................................913

9. Discovery From Nonparties ...........................................................................................................................................................................913B. STRATEGIC CONSIDERATIONS IN DISCOVERY ...............................................................................................................................................913

1. Burdensome Discovery ...................................................................................................................................................................................914a. Effect of EEO, Reprisal Allegations .......................................................................................................................................................914b. Discovery During Pendency of Criminal Proceedings .................................................................................................................914

2. Privileged Information .....................................................................................................................................................................................915a. In Camera Inspection ...............................................................................................................................................................................916b. Law Enforcement Privilege ....................................................................................................................................................................916c. OSC Files; Executive, and Investigative Privileges .........................................................................................................................917d. OPM Suitability Files .................................................................................................................................................................................918

xxii TablE of CoNTENTs

e. Agency Investigative Files .....................................................................................................................................................................918f. Attorney-Client Privilege .......................................................................................................................................................................919g. Attorney Work Product Privilege ........................................................................................................................................................922h. Agency Deliberative Process Privilege ...............................................................................................................................................925i. Statutory Confidentiality Limitations .................................................................................................................................................926

3. Privacy Act ............................................................................................................................................................................................................9274. Failure to Use Discovery; Informal Discovery Efforts .............................................................................................................................929

a. Informal Discovery; Control by Agencies of Employees’ Time .................................................................................................9315. Protective Orders ...............................................................................................................................................................................................932

C. ENTRY OF DISCOVERY MATERIAL INTO RECORD .........................................................................................................................................932D. SUBPOENAS ................................................................................................................................................................................................................933

1. When a Subpoena Is Used ..............................................................................................................................................................................9332. Obtaining and Serving Subpoenas .............................................................................................................................................................9343. Subpoena Enforcement ...................................................................................................................................................................................9354. Witness Fees; Travel Allowances ...................................................................................................................................................................936

E. REVIEW OF DISCOVERY RULINGS .......................................................................................................................................................................9371. Effect of Denial of Discovery ..........................................................................................................................................................................937

a. Preservation of Issue ................................................................................................................................................................................9392. Rulings on Discovery Disputes ......................................................................................................................................................................940

a. Synopsis of Testimony .............................................................................................................................................................................940b. Relevance .....................................................................................................................................................................................................940c. Mitigation; Disparate Treatment ..........................................................................................................................................................941d. Deposition of Agency Head ...................................................................................................................................................................942e. Electronic Records .....................................................................................................................................................................................942f. Inspection Rather Than Production of Documents.......................................................................................................................942

3. Discovery in OSC Cases ....................................................................................................................................................................................943V. SANCTIONS ..........................................................................................................................................................................................................................943

A. MONETARY SANCTIONS; ATTORNEY FEES .....................................................................................................................................................945B. FAILURE TO RESPOND TO APPEAL ......................................................................................................................................................................946

1. Default Judgments ............................................................................................................................................................................................946C. FAILURE TO PROSECUTE APPEAL ........................................................................................................................................................................947

1. Dismissal Warranted .........................................................................................................................................................................................948a. Failure to Provide Basis for Appeal .....................................................................................................................................................948b. Failure to Designate Representative ...................................................................................................................................................948c. Failure to Comply With Judges’ Orders ..............................................................................................................................................949

2. Dismissal Unwarranted ....................................................................................................................................................................................950a. Failure to Attend Hearing .......................................................................................................................................................................951b. Inadvertent or Isolated Failure to Obey Order ................................................................................................................................952c. Late Appeals ................................................................................................................................................................................................954

D. FAILURE TO COOPERATE IN DISCOVERY ...........................................................................................................................................................9541. Discovery Procedures ......................................................................................................................................................................................954

a. Sanctions Against Agency .....................................................................................................................................................................955b. Materials in Control of Third Parties ....................................................................................................................................................958c. Sanctions Against Appellant ................................................................................................................................................................958

E. FAILURE TO FOLLOW PREHEARING OR HEARING PROCEDURES ...........................................................................................................9601. Sanctions Against Appellant; Prejudice to Agency ................................................................................................................................9602. Sanctions Against Agency .............................................................................................................................................................................962

CHAPTER 3: HEARING .....................................................................................................965I. HEARING .................................................................................................................................................................................................................................965

A. RIGHT TO HEARING ...................................................................................................................................................................................................9651. De Novo Hearing .................................................................................................................................................................................................9662. Jurisdictional Hearing; Documentary Evidence ......................................................................................................................................966

a. Timeliness Issues .......................................................................................................................................................................................969b. Issues of Law; No Material Disputed Facts ......................................................................................................................................969

3. Counsel ..................................................................................................................................................................................................................9704. Control by Judge ................................................................................................................................................................................................970

a. Role of Intervenors ...................................................................................................................................................................................973b. Official Time; Resources Available to Appellant ............................................................................................................................973

B. WAIVER OF HEARING ................................................................................................................................................................................................9731. Inability to Travel to Hearing Site ................................................................................................................................................................976

GuiDE To MsPb law aND PRaCTiCE xxiii

2. Failure to Request Hearing .............................................................................................................................................................................9763. Untimely Hearing Request ..............................................................................................................................................................................978

a. Effect of Amendment of Appeal ..........................................................................................................................................................9784. Withdrawal of Hearing Request ....................................................................................................................................................................979

a. Failure to Receive Hearing Notice........................................................................................................................................................979b. Continuance Denied ................................................................................................................................................................................980c. Events Beyond Appellant’s Control .....................................................................................................................................................981

5. Strategic Considerations—Intentional Waiver ........................................................................................................................................9816. Adjudication After Waiver, Failure to Attend Hearing ...........................................................................................................................9817. Cases Adjudicated Without a Hearing; Right to Respond to Evidentiary Submissions ............................................................982

C. CONTINUANCE OF HEARING ................................................................................................................................................................................9861. Timing of Hearing .............................................................................................................................................................................................9862. MSPB Policy on Continuances ......................................................................................................................................................................986

a. Dismissals Without Prejudice to Refile ..............................................................................................................................................988b. Case Suspension Procedure...................................................................................................................................................................988

3. Continuance Procedure ...................................................................................................................................................................................988a. Request; Form of Sworn Statement ...................................................................................................................................................989b. Failure to Make Request ..........................................................................................................................................................................990c. Status of Pending Motion .......................................................................................................................................................................990d. Proceeding After Denial of Motion ....................................................................................................................................................990

4. Good Cause Requirement ...............................................................................................................................................................................990a. Need to Prepare .........................................................................................................................................................................................990b. Awaiting Outcome of Another Case ...................................................................................................................................................991c. Unavailability of Representative ..........................................................................................................................................................991d. Appellant Proceeds to Hearing Without Representative ...........................................................................................................994e. Medical Condition of Appellant ...........................................................................................................................................................994f. Effect of Criminal Proceedings on Appeal; Processing of Indefinite Suspensions .............................................................995g. Appellant Incarcerated ...........................................................................................................................................................................997h. Military Service ..........................................................................................................................................................................................999i. Change in Hearing Location ..................................................................................................................................................................999j. Missing or Unavailable Witness ...........................................................................................................................................................999

5. Continuance Denial—Review Standard ....................................................................................................................................................999D. VENUE OF HEARING ................................................................................................................................................................................................1000

1. Change of Venue .............................................................................................................................................................................................1001a. Cost to Appellant ....................................................................................................................................................................................1002

2. Requesting a Change of Venue ...................................................................................................................................................................10023. Venue Determination Review Standard ..................................................................................................................................................1003

E. HEARING FUNDAMENTALS .................................................................................................................................................................................10031. Change, Resignation, or Death of Judge ................................................................................................................................................10032. Interaction With Judges .................................................................................................................................................................................10033. Prehearing Conference; Order Summarizing Conference ................................................................................................................1004

a. Preservation of Objections ..................................................................................................................................................................1006b. Stipulations ................................................................................................................................................................................................1007c. Waivers .......................................................................................................................................................................................................1007d. Dismissal of Charges ..............................................................................................................................................................................1007

4. Prehearing Orders and Submissions; Prehearing Conference Memoranda ...............................................................................1007a. Treatment of EEO and Other Affirmative Defenses; Summary Judgment ..........................................................................1009b. Preservation of Issues for Petition for Review Through Objection to Prehearing Rulings ...........................................1010

F. CONDUCT OF HEARING; RESPONSIBILITIES OF JUDGE ...........................................................................................................................10121. Hearing Errors: Measure of Damage .........................................................................................................................................................1012

a. Timing of Submission of Pleadings ..................................................................................................................................................1013b. Timing of Initial Decisions ...................................................................................................................................................................1013

2. Control and Exclusion of Representatives and Participants .............................................................................................................10143. Maintaining Order ............................................................................................................................................................................................1015

a. Exclusion From Hearing Room of Individuals Whose Presence May Intimidate Witnesses ..........................................1015b. Security Arrangements ..........................................................................................................................................................................1015

4. Control of Witnesses; Sequestration .........................................................................................................................................................10165. Conduct of Questioning ................................................................................................................................................................................1018

a. Multiple Representatives; Questioning of Witnesses .................................................................................................................10196. Permitting Record Development ...............................................................................................................................................................1019

a. Telephone and Videoconference Hearings ....................................................................................................................................1020

xxiv TablE of CoNTENTs

b. Bifurcated Hearings ...............................................................................................................................................................................1024c. Hearing Subpoenas ................................................................................................................................................................................1025

7. Ensuring Record Development; EEO Files ...............................................................................................................................................1025a. Retirement Benefit Cases ......................................................................................................................................................................1028b. Duty of Judge to Inform an Appellant of Governing Law; Assistance to Pro Se Appellants;

Liberal Construction of Pleadings .....................................................................................................................................................10298. Raising Issues Sua Sponte; Addressing Legal Issues ............................................................................................................................10319. Preserving Review Rights Through Objections .....................................................................................................................................103210. Media Coverage ................................................................................................................................................................................................103211. Closing Hearing ................................................................................................................................................................................................103312. Timing of Hearing ............................................................................................................................................................................................103413. Hearing Accommodations for Disabled Appellants ............................................................................................................................103414. Allocation of Burden of Proof ......................................................................................................................................................................103615. Opening Statements .......................................................................................................................................................................................1036

a. Advice to All Representatives .............................................................................................................................................................1036b. Advice to Appellant’s Counsel ............................................................................................................................................................1036

16. Submission of Briefs .......................................................................................................................................................................................1036a. Closing Arguments .................................................................................................................................................................................1037

G. PREVENTION OF INTERFERENCE WITH MSPB PROCEEDINGS ...............................................................................................................10371. Protective Orders ..............................................................................................................................................................................................10372. Protective Orders for Appellants ...............................................................................................................................................................10383. Interference With and Protection of Witnesses, Representatives; Sanctions .............................................................................1039

a. Agency Regulatory Restrictions on Appearance of Their Employees as Witnesses ........................................................1043H. POSTHEARING ACTIVITIES ..................................................................................................................................................................................1043

1. Closing Record ..................................................................................................................................................................................................1043a. Ensuring Notice of Record Closing ...................................................................................................................................................1044b. Clarifying Scope of Record; Off-the-Record Discussions ..........................................................................................................1045c. Timing of Evidentiary Submissions and Responses ....................................................................................................................1045d. Effect of Closing Record ........................................................................................................................................................................1047

2. Regional Authority After Initial Decision .................................................................................................................................................1047a. Judge’s Request to Reopen Record to Correct Error ..................................................................................................................1047

II. MOTION PRACTICE ..........................................................................................................................................................................................................1047A. USE OF MOTIONS .....................................................................................................................................................................................................1048

1. Dispositive Motions ........................................................................................................................................................................................1050a. Motion to Dismiss Filed Prior to Hearing ........................................................................................................................................1050b. Motion to Dismiss Filed During Hearing .........................................................................................................................................1050c. Summary Judgment ...............................................................................................................................................................................1051

B. FORM AND TIMING OF MOTIONS ......................................................................................................................................................................1056III. WITNESSES ..........................................................................................................................................................................................................................1057

A. WITNESS REQUESTS ...............................................................................................................................................................................................10571. Obligation to Permit Relevant Testimony ..............................................................................................................................................1057

a. Competence to Testify ..........................................................................................................................................................................1057b. Appellant ...................................................................................................................................................................................................1058c. Decisionmakers ........................................................................................................................................................................................1058d. Agency Head ............................................................................................................................................................................................1058

2. Obligation to Request Witnesses ...............................................................................................................................................................1059a. Use of Witness List ...................................................................................................................................................................................1060b. Rebuttal Witnesses ..................................................................................................................................................................................1061

3. Repetitious Testimony ....................................................................................................................................................................................10614. Offers of Proof ...................................................................................................................................................................................................10625. Compelling Witness Attendance ................................................................................................................................................................1062

a. Appellant ....................................................................................................................................................................................................1062b. Others; Former Employees; Subpoenas ..........................................................................................................................................1063c. Duty Status of Federal Employee Witnesses; Entitlement to Pay, Travel Expenses, Per Diem .....................................1063d. Official Time for Federal Employees ..................................................................................................................................................1063

6. Protecting Record; Missing Witnesses .....................................................................................................................................................1064a. Preservation of Objections ...................................................................................................................................................................1065

7. Judges May Call Witnesses ...........................................................................................................................................................................10658. Obtaining Testimony by Alternate Means ...............................................................................................................................................10659. Right of Witnesses to Representation .......................................................................................................................................................1066

a. Self–Incrimination ..................................................................................................................................................................................1066

GuiDE To MsPb law aND PRaCTiCE xxv

10. Witness Denial—Review Standard ............................................................................................................................................................1066B. EXAMINATION OF WITNESSES ...........................................................................................................................................................................1068

1. Production of Witness Statements and Documents Relied Upon During Testimony ............................................................10682. Taking Witnesses Out of Order ...................................................................................................................................................................10693. Leading Questions ...........................................................................................................................................................................................10704. Control by Judge ..............................................................................................................................................................................................10715. Examination by Judge ....................................................................................................................................................................................1071

IV. DISQUALIFICATION OF JUDGE ...................................................................................................................................................................................1071A. PRESUMPTION OF HONESTY AND IMPARTIALITY .....................................................................................................................................1072

1. Competence of Judges .................................................................................................................................................................................1073B. TREATMENT OF BIAS ALLEGATIONS .................................................................................................................................................................1074

1. Procedures; Documenting Record .............................................................................................................................................................10762. Significance of Extrajudicial Source of Bias.............................................................................................................................................10773. Judge’s Treatment of Bias Allegation .......................................................................................................................................................10784. Specific Bias Allegations ................................................................................................................................................................................1078

a. Relationship With Party or Witness ...................................................................................................................................................1078b. Relationship With Counsel ...................................................................................................................................................................1079c. Improper Communication ...................................................................................................................................................................1079d. Examination of Witnesses .....................................................................................................................................................................1080e. Criticisms of Counsel, Party, or Position; Settlement Efforts; Ex Parte Communications ...............................................1080f. Change in Judges Without Finding of Bias ...................................................................................................................................1084g. Prior Rulings Against Party ...................................................................................................................................................................1086h. Erroneous Rulings ..................................................................................................................................................................................1086i. Incorrect Factual Conclusions .............................................................................................................................................................1086j. Hasty or Late Decisions .........................................................................................................................................................................1086

CHAPTER 4: EVIDENCE ................................................................................................ 1089I. FUNDAMENTALS ..............................................................................................................................................................................................................1089

A. RELEVANCE, MATERIALITY, AND FAIRNESS ...................................................................................................................................................10891. Informal Adjudication ....................................................................................................................................................................................10892. Relevance and Materiality ............................................................................................................................................................................1089

a. De Novo Review .......................................................................................................................................................................................1089b. Conditional Admission of Evidence ..................................................................................................................................................1090

3. Record ..................................................................................................................................................................................................................1090a. Offers of Proof ...........................................................................................................................................................................................1090

4. Fairness in Development of Evidence .......................................................................................................................................................1090a. Erroneous Exclusion of Evidence .......................................................................................................................................................1090b. Erroneous Admission of Evidence .....................................................................................................................................................1091c. Manipulation or Redaction of Evidence ..........................................................................................................................................1091

B. NATURE OF CHARGES ...........................................................................................................................................................................................10921. Evidentiary Value of Charges .......................................................................................................................................................................1092

a. Response to Charges .............................................................................................................................................................................1093C. HEARSAY .....................................................................................................................................................................................................................1094

1. Borninkhof ..........................................................................................................................................................................................................10952. Judicial Interpretations ..................................................................................................................................................................................10973. 5 USC 2302(b)(2): Investigative Statements ...........................................................................................................................................1097

II. EVALUATION OF EVIDENCE .........................................................................................................................................................................................1098A. DOCUMENTARY EVIDENCE .................................................................................................................................................................................1098

1. Response to Appeal ........................................................................................................................................................................................10982. Medical Reports and Records ......................................................................................................................................................................10993. Notes of Witnesses; Memoranda of Conversations..............................................................................................................................10994. Time and Attendance Records; Recollection Recorded .....................................................................................................................11005. Production Records and Reports; Business Records ...........................................................................................................................11006. Regulations; Laws .............................................................................................................................................................................................11017. Evidence From Other MSPB Hearings; Other Judicial Proceedings ...............................................................................................11018. Procedure for Introducing Documents ....................................................................................................................................................11019. Authentication Requirements ....................................................................................................................................................................1102

a. Handwriting ..............................................................................................................................................................................................1103b. Significance of Signature ......................................................................................................................................................................1103c. Copies; Photographs ..............................................................................................................................................................................1103

B. PHYSICAL EVIDENCE ...............................................................................................................................................................................................1103

xxvi TablE of CoNTENTs

1. Custody and Control ......................................................................................................................................................................................11032. Use at Hearing ..................................................................................................................................................................................................1103

C. ADMISSIONS ..............................................................................................................................................................................................................11041. Probative Value .................................................................................................................................................................................................1104

a. Repudiated or Recanted Admissions ...............................................................................................................................................11052. Settlement Offers .............................................................................................................................................................................................1106

D. CIRCUMSTANTIAL AND SECONDARY EVIDENCE .......................................................................................................................................11061. Common Possession/Multiple Causation................................................................................................................................................11082. Contemporaneous Statements ...................................................................................................................................................................11093. Flight or Evasion ...............................................................................................................................................................................................11094. Statistical Information ....................................................................................................................................................................................1109

E. OPINION AND IMPEACHMENT EVIDENCE .....................................................................................................................................................11091. Physical Condition ..........................................................................................................................................................................................11102. Character .............................................................................................................................................................................................................1110

a. Past Misconduct ......................................................................................................................................................................................1111b. Arrests, Convictions ................................................................................................................................................................................1112c. Reputation .................................................................................................................................................................................................1112d. Habit ............................................................................................................................................................................................................1112

3. Conduct or Deportment During Hearing ...............................................................................................................................................11134. Evidence in Disability Annuity Cases; Chavez; Post-Separation Evidence ...................................................................................1113

F. RECURRENT EVIDENTIARY PROBLEMS ............................................................................................................................................................11201. Polygraph Evidence .........................................................................................................................................................................................11202. Unsworn and Sworn Statements ................................................................................................................................................................1121

a. No Hearing .................................................................................................................................................................................................1122b. Hearing Held ............................................................................................................................................................................................1122c. Affidavits; Sworn Statements; Form of Attestation ....................................................................................................................1123d. Depositions ...............................................................................................................................................................................................1125

3. Investigation Reports ......................................................................................................................................................................................11264. Tapes .....................................................................................................................................................................................................................1128

a. Videotapes .................................................................................................................................................................................................1128b. Audio Tapes ..............................................................................................................................................................................................1128

5. Transcripts of Prior Testimony ......................................................................................................................................................................11286. Expert Witnesses; Medical Evidence ........................................................................................................................................................1128

a. Medical Expert Opinion .......................................................................................................................................................................1130b. Other Experts ............................................................................................................................................................................................1132

7. Statements of Representatives and Parties ............................................................................................................................................11328. Testimony of Children ....................................................................................................................................................................................11339. Interpretation of Collective Bargaining Agreements ..........................................................................................................................113310. Newspaper Articles .........................................................................................................................................................................................113311. Drug Tests ............................................................................................................................................................................................................1134

III. SUBSTITUTES FOR DIRECT EVIDENCE .....................................................................................................................................................................1135A. OFFICIAL NOTICE ....................................................................................................................................................................................................1135

1. Regulations .........................................................................................................................................................................................................1136a. Federal Personnel Manual; Publications ........................................................................................................................................1136b. Related Board Case Records ................................................................................................................................................................1136

B. ADVERSE INFERENCES AND PRESUMPTIONS ..............................................................................................................................................11361. Silence ..................................................................................................................................................................................................................11362. Failure to Produce Evidence; Loss of Evidence or Spoliation; Negative or Adverse Inferences ...........................................1138

a. Negative Evidence ..................................................................................................................................................................................11413. Presumptions ....................................................................................................................................................................................................1141

a. Delivery of Mail; Other Documents .................................................................................................................................................1142C. STIPULATIONS ...........................................................................................................................................................................................................1146

1. Issues of Fact and Law ...................................................................................................................................................................................11472. Stipulations Directed by Judge ..................................................................................................................................................................1147

D. RES JUDICATA, COLLATERAL ESTOPPEL, AND LAW OF THE CASE—THE DOCTRINES ..................................................................11481. Elements of Res Judicata ................................................................................................................................................................................1148

a. Identity of Prior Cause of Action and Issues ..................................................................................................................................1152b. Identity of Parties; Privity .....................................................................................................................................................................1153c. Res Judicata Raised Sua Sponte by MSPB; Waiver of Defense .................................................................................................1153d. Jurisdictional Issues ...............................................................................................................................................................................1155e. Settlements ................................................................................................................................................................................................1157

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2. Collateral Estoppel ...........................................................................................................................................................................................1158a. Errors in Law; Changes in Law ...........................................................................................................................................................1160b. Proof of a Prior Adjudication ...............................................................................................................................................................1161c. Privity; Appellant as a Party to Prior Case .......................................................................................................................................1161d. Privity of Agencies ..................................................................................................................................................................................1161e. Identity of Prior Issues ...........................................................................................................................................................................1162f. Jurisdictional Issues ...............................................................................................................................................................................1163g. Decisions of Other Tribunals ..............................................................................................................................................................1164h. Collateral Estoppel Raised Sua Sponte by MSPB ..........................................................................................................................1166

3. Judicial Estoppel ..............................................................................................................................................................................................11664. Law of the Case .................................................................................................................................................................................................11675. Stare Decisis ........................................................................................................................................................................................................1170

E. RES JUDICATA AND COLLATERAL ESTOPPEL—THE DOCTRINES APPLIED ........................................................................................11701. Criminal Convictions .......................................................................................................................................................................................11702. Pleas to Criminal Charges ..............................................................................................................................................................................1173

a. Guilty Pleas ................................................................................................................................................................................................1173b. Nolo Contendere and Alford Pleas ......................................................................................................................................................1173c. Conviction, Misconduct Distinguished ...........................................................................................................................................1177

3. Acquittal; Reversal of Criminal Conviction ..............................................................................................................................................11774. Successive MSPB Cases; Dismissal for Adjudicatory Efficiency ........................................................................................................1178

a. WIGI/Removal ...........................................................................................................................................................................................1179b. Successive RIFs .........................................................................................................................................................................................1179c. Whistleblowing Prohibited Personnel Practice Complaint or Appeal ..................................................................................1179d. Suitability Determinations ...................................................................................................................................................................1184

5. Other Judicial and Administrative Proceedings ....................................................................................................................................1184a. Agency Credentialing Committee .....................................................................................................................................................1184b. Union Trial Board .....................................................................................................................................................................................1185c. Contract and Administrative Grievance, Arbitration Cases ......................................................................................................1185d. OPM Annuity Determinations ............................................................................................................................................................1188e. Unemployment Compensation Awards..........................................................................................................................................1190f. OWCP Findings; Social Security Determinations .........................................................................................................................1191g. EEOC Determinations ............................................................................................................................................................................1192h. Comptroller General or GAO Decisions ..........................................................................................................................................1193i. Judicial Determinations ........................................................................................................................................................................1194

6. Exceptions to Application of Collateral Estoppel, Res Judicata ........................................................................................................1195a. Pendency of an Appeal ........................................................................................................................................................................1195b. Fraud; Misrepresentation .....................................................................................................................................................................1196

IV. EXCLUSION OF EVIDENCE .............................................................................................................................................................................................1197A. PROCEDURES .............................................................................................................................................................................................................1197

1. Objections, Motions to Strike, Motions in Limine ................................................................................................................................11972. Witness Exclusion ............................................................................................................................................................................................1197

B. CONSTITUTIONAL AND STATUTORY CHALLENGES ...................................................................................................................................11981. Search ...................................................................................................................................................................................................................1198

a. Wiretaps ......................................................................................................................................................................................................1202b. Tape Recordings .......................................................................................................................................................................................1203c. Drug Testing ..............................................................................................................................................................................................1203

2. Interrogations ....................................................................................................................................................................................................1206a. Misconduct of Investigators ................................................................................................................................................................1206b. Constitutional Objections; Compelled Testimony ......................................................................................................................1206c. Right to Silence, Counsel ......................................................................................................................................................................1208

3. Denial of Union Representation .................................................................................................................................................................1210C. OTHER BASES FOR EXCLUSION OF EVIDENCE ............................................................................................................................................1210

1. Claims of Privilege ............................................................................................................................................................................................1211a. Alcoholism Treatment Records ...........................................................................................................................................................1211b. Other Medical Records ..........................................................................................................................................................................1211c. Privacy; Attorney-Client Communications ....................................................................................................................................1211

2. Failure to Follow MSPB Procedures ...........................................................................................................................................................1211V. HEARING TRANSCRIPT ....................................................................................................................................................................................................1211

A. RIGHT TO AND NECESSITY FOR A TRANSCRIPT ...........................................................................................................................................12111. Current MSPB Practice ....................................................................................................................................................................................12122. Past Treatment of Transcripts .......................................................................................................................................................................1213

xxviii TablE of CoNTENTs

3. Internal MSPB Guidance on Transcripts ...................................................................................................................................................12134. Federal Circuit Commentary on Transcripts ...........................................................................................................................................1214

a. Arbitration Cases ....................................................................................................................................................................................12155. Use of Tapes ........................................................................................................................................................................................................1215

B. PROBLEMS CONCERNING TRANSCRIPT AND RECORD .............................................................................................................................12151. Off-the-Record Discussions ..........................................................................................................................................................................12152. Hearing Tape Omissions; Transcript Errors ..............................................................................................................................................12153. Correction of Transcript .................................................................................................................................................................................12164. Unofficial Transcripts .......................................................................................................................................................................................1217

CHAPTER 5: INITIAL DECISION AND PETITION FOR REVIEW ....................... 1219I. INITIAL DECISION ..............................................................................................................................................................................................................1219

A. INITIAL DECISION FORMAT .................................................................................................................................................................................12191. Minimum Requirements ................................................................................................................................................................................1219

a. Bench Decisions ......................................................................................................................................................................................1221b. Notice of Right to Review ....................................................................................................................................................................1222

2. Cases Dismissed by Consent; Mootness of Initial Decision...............................................................................................................1223B. REQUIRED ANALYSIS .............................................................................................................................................................................................1223

1. Analytical Structure ........................................................................................................................................................................................1223a. Analysis of Appeals Presenting Both Timeliness and Jurisdictional Issues .......................................................................1224b. Degree of Analysis Required; Omitted Factual Findings ...........................................................................................................1225c. Incorrect Standard of Adjudication ..................................................................................................................................................1226

2. Ultimate Issues of Law ....................................................................................................................................................................................1226a. Adverse Actions ......................................................................................................................................................................................1227b. Annuity Appeals .....................................................................................................................................................................................1227

3. EEO and Prohibited Personnel Practice Issues .......................................................................................................................................1227a. Nondispositive EEO Issues....................................................................................................................................................................1229

4. Consolidated Cases ........................................................................................................................................................................................12305. Counsel Fee Determinations .......................................................................................................................................................................12306. Issues Not Raised in Appeal .........................................................................................................................................................................1230

C. CREDIBILITY FINDINGS .........................................................................................................................................................................................12301. Necessary Findings .........................................................................................................................................................................................1230

a. Weight of Evidence Equally Balanced .............................................................................................................................................12312. Factors Considered; Hillen ............................................................................................................................................................................1231

a. Some Testimony Discredited ..............................................................................................................................................................1233b. Alibi Defense ............................................................................................................................................................................................1234c. Inconsistencies; Denials; Memory Lapse; Failure to Provide Statement .............................................................................1234d. Contemporaneous Notations, Statements; Post Hoc Explanations .......................................................................................1235e. Self–Serving Testimony; Bias; Criminal Conviction; Past Misconduct .................................................................................1235f. Uncontradicted Testimony ...................................................................................................................................................................1236g. Implausible or Inherently Improbable Testimony ......................................................................................................................1237h. Telephonic Hearing .................................................................................................................................................................................1237i. Determinations Made Without Hearing ..........................................................................................................................................1237

3. Authenticity Issues ...........................................................................................................................................................................................1237II. PETITION FOR REVIEW; RECONSIDERATION ..........................................................................................................................................................1237

A. PFR PROCESS ............................................................................................................................................................................................................12381. Statutory and Regulatory Structure ..........................................................................................................................................................1238

a. Internal Board Guidance .......................................................................................................................................................................12392. Board Treatment of Petitions for Review and Requests for Reopening .......................................................................................12403. Effect of Judicial Review on Petition for Review ..................................................................................................................................1242

a. Effect of EEOC Review ...........................................................................................................................................................................12424. Grounds for PFR; 5 CFR 1201.115 ..............................................................................................................................................................1243

a. Evidentiary Disputes ..............................................................................................................................................................................1243b. Other Bases for Review .........................................................................................................................................................................1243c. Frivolous Petition for Reviews; Sanctions ......................................................................................................................................1243d. Challenges to Settlements ..................................................................................................................................................................1244

5. Time for Filing ....................................................................................................................................................................................................12446. Service .................................................................................................................................................................................................................12447. MSPB Processing .............................................................................................................................................................................................1245

a. Tied Vote; Lack of Quorum ..................................................................................................................................................................1247b. Decision Effective Upon Issuance by Clerk ...................................................................................................................................1247

GuiDE To MsPb law aND PRaCTiCE xxix

8. Cross-Petition for Review ..............................................................................................................................................................................1247a. Conditional Cross-Petition for Review ............................................................................................................................................1248

9. MSPB Final Decision .......................................................................................................................................................................................124810. Authority to Reopen and Reconsider .......................................................................................................................................................1250

a. Jurisdictional Issues ................................................................................................................................................................................1252b. Due Diligence ..........................................................................................................................................................................................1253c. Reversal of Criminal Conviction ........................................................................................................................................................1257d. Changes in Law .......................................................................................................................................................................................1257e. Fraud ...........................................................................................................................................................................................................1259f. Retirement Cases ....................................................................................................................................................................................1260g. Effect of Judicial Review on Petition to Reopen ...........................................................................................................................1261h. Reopening in Lieu of Excusing Untimely or Defective Petition for Review .......................................................................1263i. Correction of Case Processing Error .................................................................................................................................................1263j. Manifest Injustice ...................................................................................................................................................................................1264

11. Entry of Settlement Agreement Into Record..........................................................................................................................................1264B. PFR PROCEDURE .....................................................................................................................................................................................................1265

1. Who May Obtain Review ..............................................................................................................................................................................1265a. OPM .............................................................................................................................................................................................................1265b. OSC ..............................................................................................................................................................................................................1265c. Others; Intervention at Petition for Review Stage ......................................................................................................................1266

2. Failure to Prosecute; Withdrawal of Petition for Review ....................................................................................................................1266a. Dismissal Without Prejudice ................................................................................................................................................................1266

3. PFR Settlement Program ..............................................................................................................................................................................1267C. INTERIM RELIEF .........................................................................................................................................................................................................1267

1. Effective Date of Interim Relief ....................................................................................................................................................................12702. Effect of Supplemental Initial Decision on Interim Relief ..................................................................................................................12703. Obligation to Return Employee to Work and Pay; Undue Disruption Determinations ..........................................................1271

a. Necessity for Undue Disruption Determination ...........................................................................................................................1273b. Form of Undue Disruption Notice ....................................................................................................................................................1275c. Implicit Undue Disruption Determination; Strong Overriding Interest ...............................................................................1276d. Restoration Followed by Removal From Workplace or Adverse Action During Interim Relief Period .....................1280e. Restoration Followed by Appellant’s Inability to Work ..............................................................................................................1281f. Pay Entitlements; Overtime; Allowances .......................................................................................................................................1281g. Deductibility of Interim Earnings or Severance Pay ...................................................................................................................1283h. Prior “Bad Faith” Implementation Standard ..................................................................................................................................1283

4. Dismissal of Petition for Review for Failure to Provide Interim Relief ...........................................................................................1284a. Appellant’s Remedy for Inadequate Agency Compliance With Interim Relief Order ....................................................1285b. Time and Format for Filing Motion to Dismiss Petition for Review for Lack of Proper Interim Relief;

Enforcement Procedures .....................................................................................................................................................................1286c. Petition for Review Not Mooted by Overbroad Interim Relief ...............................................................................................1287d. Effect of Jurisdictional Issues ..............................................................................................................................................................1288

5. Certification and Proof of Interim Relief .................................................................................................................................................1288a. Evidence of Interim Relief ....................................................................................................................................................................1289b. Substantial Compliance but Technical Errors; Supplemental Evidence of Interim Relief ............................................1292c. Delay in Payment Following Certification or Prima Facie Evidence of Interim Relief ......................................................1293d. Withdrawal of Interim Relief ...............................................................................................................................................................1294

6. Factors Limiting or Warranting Denial of Interim Relief ....................................................................................................................1294a. Receipt of OWCP Benefits ....................................................................................................................................................................1294b. Effect of Retirement ................................................................................................................................................................................1295c. Restrictions on Extension of Appointment ...................................................................................................................................1296d. Waiver or Settlement of Interim Relief; Change in Duties or Employment Status .........................................................1297

7. Special Situations ............................................................................................................................................................................................1298a. Retirement Cases ....................................................................................................................................................................................1298b. Suitability Appeals .................................................................................................................................................................................1299c. Mitigation of Removal to Demotion ................................................................................................................................................1299d. Mitigation of Removal to Suspension .............................................................................................................................................1300e. Demotion Mitigated to Suspension ................................................................................................................................................1300f. Mitigation or Cancellation of Suspension .....................................................................................................................................1301g. Enforced Leave Concluded by the Date of the Initial Decision ...............................................................................................1301h. Unified Penalties Involving Reassignment ....................................................................................................................................1301i. Appeal of Within-Grade Increase Denial ........................................................................................................................................1301

xxx TablE of CoNTENTs

j. Discriminatory Application of Interim Relief ................................................................................................................................1301k. VEOA Appeals ...........................................................................................................................................................................................1302

D. FACTUAL AND CREDIBILITY FINDINGS ...........................................................................................................................................................13021. Standards of Review of Factual Findings; “Special Deference” ........................................................................................................1302

a. Cases Decided on Affidavits or Documents ..................................................................................................................................1307b. Telephonic or Videoconference Hearings ......................................................................................................................................1307

2. Objections Based on Omitted Findings ..................................................................................................................................................13083. Unnecessary Findings ....................................................................................................................................................................................13094. Issue of Mental Competence During Appeal Adjudication .............................................................................................................1309

E. NEW EVIDENCE ........................................................................................................................................................................................................13101. What Constitutes Evidence ..........................................................................................................................................................................13122. What Evidence Is New ....................................................................................................................................................................................1312

a. Evidence Previously Available ............................................................................................................................................................1313b. Timeliness of Appeal, Pleading, or Other Submission ...............................................................................................................1314c. Jurisdictional Issues ...............................................................................................................................................................................1316d. Claims of Surprise ...................................................................................................................................................................................1317e. Test of Due Diligence .............................................................................................................................................................................1317f. Evidence Concerning Issues First Raised by Judge ....................................................................................................................1320g. Evidence From Other MSPB Cases ....................................................................................................................................................1321

3. Materiality of New Evidence ........................................................................................................................................................................1321a. Reversal of Criminal Conviction ........................................................................................................................................................1322b. Impeachment Evidence .......................................................................................................................................................................1322c. Subsequent Corroborative Evidence ..............................................................................................................................................1325d. Evidence of Disparate Treatment ......................................................................................................................................................1326e. Subsequent OPM, SSA, OWCP, VA Determinations ....................................................................................................................1326f. Subsequent Adjudication of Past Discipline .................................................................................................................................1327

F. NEW LAW ....................................................................................................................................................................................................................1327G. NEW ISSUES; ISSUES NOT RAISED WITH THE JUDGE ................................................................................................................................1329

1. General Rule .......................................................................................................................................................................................................1329a. Jurisdictional Issues ...............................................................................................................................................................................1330b. Order Directing Payment of Funds in Contravention of Federal Statute ............................................................................1331

2. Determining if an Issue or Argument Was Raised Below ..................................................................................................................1331a. Annuity Issues ..........................................................................................................................................................................................1331b. Penalty Determinations .......................................................................................................................................................................1332c. Statutory Interpretation Issues ..........................................................................................................................................................1332d. Timeliness of Appeal .............................................................................................................................................................................1332e. Issues of Discrimination .......................................................................................................................................................................1332f. EEOC Treatment Distinguished ..........................................................................................................................................................1332g. Waiver of Issue .........................................................................................................................................................................................1333

H. TIMELINESS OF PETITION FOR REVIEW ..........................................................................................................................................................13331. Date and Place of Filing ................................................................................................................................................................................1333

a. Deficient but Timely Petition for Review .........................................................................................................................................13342. Filing by Facsimile ...........................................................................................................................................................................................1334

a. Misguided Facsimiles ............................................................................................................................................................................13343. Filing by Commercial Delivery .....................................................................................................................................................................13354. Filing by Hand....................................................................................................................................................................................................13355. Filing by Mail ......................................................................................................................................................................................................1335

a. Proof of Mailing; Rebuttal of Postmark; Letterbox Rule ............................................................................................................1336b. Petitions Lost in Mails.............................................................................................................................................................................1338

6. Electronic Filings ...............................................................................................................................................................................................13407. Requests for Extensions of Time ................................................................................................................................................................13408. Procedure on Late Submissions ..................................................................................................................................................................1341

a. Affidavit or Sworn Statement Required .........................................................................................................................................1342b. Strict Application ....................................................................................................................................................................................1343

9. Reasons for Late Filing ...................................................................................................................................................................................1345a. Merits of Case ............................................................................................................................................................................................1345b. Physical or Mental Illness of Appellant or Counsel .....................................................................................................................1346c. Ignorance of Law; Late Discovery of a Legal Defense; Subsequent MSPB Decisions in Other Cases .......................1352d. Problems With Settlements ................................................................................................................................................................1354e. Misinterpretation of or Unfamiliarity With MSPB Regulations ................................................................................................1355f. Incorrect Information From MSPB, Others ....................................................................................................................................1357

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g. Delayed Receipt or Misrouting of Initial Decision or Petition for Review; Constructive Receipt of Initial Decision ....................................................................................................................................................................................1357

h. Failure to Receive Initial Decision; E-Filers; Change of Address; Incomplete Initial Decision .....................................1359(i) Responsibility to Notify Board of Physical or Email Address Change ..........................................................................1362

i. Incomplete Notice of Right to File Petition for Review ..............................................................................................................1363j. Effect of Judge’s Remand to Agency for Redetermination of Segment of Case ..............................................................1364k. Mailroom Delays in Posting Petition for Review ..........................................................................................................................1365l. Foreign Mail Problems ..........................................................................................................................................................................1365m. Withdrawal, Absence of Representative ........................................................................................................................................1365n. Inability to Obtain Representation ...................................................................................................................................................1366o. Unexcused Neglect of Representative .............................................................................................................................................1366p. Excused Neglect of Representative; Diligence of Appellant ...................................................................................................1369q. Attempts to Obtain Congressional Assistance ............................................................................................................................1371r. Pending Review by Other Adjudicator ...........................................................................................................................................1372s. Awaiting Transcript, Other Documents ...........................................................................................................................................1373t. Delays in Internal Decisionmaking ...................................................................................................................................................1374u. Military Service .........................................................................................................................................................................................1374v. Fear of Prosecution; Interference; Fraud .........................................................................................................................................1374w. Language Difficulties ............................................................................................................................................................................1374x. Office Equipment, Technology, Related Problems ......................................................................................................................1374y. Other Problems ........................................................................................................................................................................................1375

10. Filing Petition for Review With Wrong Agency or MSPB Office ......................................................................................................137711. Cases or Petition for Reviews Misfiled in Court ....................................................................................................................................1380

I. FORMAT AND SUBSTANCE OF PETITION FOR REVIEW .............................................................................................................................13801. No Fixed Format................................................................................................................................................................................................1381

a. Erroneous Designation of Pleading .................................................................................................................................................1381b. Errors in Formal Requirements ..........................................................................................................................................................1381c. Pro Se Form Petition for Review ..........................................................................................................................................................1382

2. Signature, Designation of Representative Required ..........................................................................................................................13833. Specific and Supported Objections ..........................................................................................................................................................1384

a. Factual Error ..............................................................................................................................................................................................1384b. Adjudicatory Error ..................................................................................................................................................................................1384

4. Lack of Transcript .............................................................................................................................................................................................13855. Response to Petition for Review ................................................................................................................................................................13856. Reply and Supplemental Briefs ..................................................................................................................................................................1385

a. Supplemental Authorities ...................................................................................................................................................................1386J. MOOTNESS OF PETITION FOR REVIEW ..........................................................................................................................................................1386

1. Cancellation of Adverse Action; Agency Compliance With Initial Decision ...............................................................................1386a. Effect of Employee’s Petition for Review if No Agency Petition for Review Filed ............................................................1387

2. Settlement .........................................................................................................................................................................................................13873. Regulation Review Proceeding ..................................................................................................................................................................13874. Disqualification of Representative ............................................................................................................................................................1388

K. PROCEDURE ON REMAND ....................................................................................................................................................................................13881. Determining Whether a Remand Is Necessary ......................................................................................................................................13882. Evidence From First Hearing ........................................................................................................................................................................1388

a. Effect of MSPB Order Vacating Initial Decision ............................................................................................................................13893. Remand for Further Discovery ...................................................................................................................................................................13894. Remand for More Evidence .........................................................................................................................................................................1389

a. Subsequent Petition for Review .........................................................................................................................................................1390b. Entry of Interlocutory Relief Upon Remand ..................................................................................................................................1390

5. Remand for Compliance ...............................................................................................................................................................................1390L. OPM RECONSIDERATION REQUESTS ..............................................................................................................................................................1390

1. Governing Statute and Regulation ...........................................................................................................................................................13902. Substantial Impact on Law; Collective Bargaining Agreement Issues and Mixed Cases ......................................................1393

a. Decisions Prior to 1990 ..........................................................................................................................................................................13943. Limited to Facts and Issues of Record ......................................................................................................................................................13954. Timing of Request; Arbitration Awards ...................................................................................................................................................13955. Mootness of Reconsideration Request ....................................................................................................................................................13966. EEOC Discrimination Decisions ..................................................................................................................................................................1396

M. STAY REQUESTS .......................................................................................................................................................................................................13961. By OPM ................................................................................................................................................................................................................1397

xxxii TablE of CoNTENTs

a. Pending Reconsideration Request Is Not a Stay .........................................................................................................................1400b. Pending Request for Supreme Court Review ...............................................................................................................................1400

2. By Agency ..........................................................................................................................................................................................................1400a. Stays of Compliance Proceedings ....................................................................................................................................................1402

3. By or For Individual ..........................................................................................................................................................................................1403a. Special Counsel Disciplinary Cases ...................................................................................................................................................1404b. Other OSC Litigation ..............................................................................................................................................................................1406

N. REVIEW OF ARBITRATION AWARDS .................................................................................................................................................................14061. Awards Subject to Review ............................................................................................................................................................................1410

a. Governing Statute and Regulation; Time for Review ................................................................................................................1411b. EEO and Prohibited Personnel Practice Allegations ...................................................................................................................1412c. Compensatory Damages Claims ........................................................................................................................................................1416d. Counsel Fee Claims ................................................................................................................................................................................1416

2. Proper Appellant Before MSPB; Labor Unions .......................................................................................................................................14173. Method and Scope of MSPB Review ........................................................................................................................................................1417

a. Issue Preclusion .......................................................................................................................................................................................1420b. Contract Exclusivity Clauses ................................................................................................................................................................1420c. Allegations of Bias, Unfair Hearing ...................................................................................................................................................1421d. Enforcement of Awards Reviewed by MSPB ..................................................................................................................................1421

4. Standard of Review .........................................................................................................................................................................................1422a. Penalty, Remedial Determinations; Time–Served Suspensions ............................................................................................1424b. Procedural Issues; Timeliness of Grievances .................................................................................................................................1430c. Discrimination Issues ............................................................................................................................................................................1433

5. Submissions to MSPB .....................................................................................................................................................................................14346. MSPB Review Procedures ..............................................................................................................................................................................1435

a. Time to Seek Review ...............................................................................................................................................................................14357. Postal Service Employees ..............................................................................................................................................................................1436

a. Effect of Arbitration Award on Board Appeal ................................................................................................................................1439

CHAPTER 6: ADVERSE ACTIONS .............................................................................. 1445I. ADVERSE ACTIONS DEFINED .......................................................................................................................................................................................1445

A. CANCELLATION OF APPOINTMENTS, PROMOTIONS ...............................................................................................................................14451. Appointments ...................................................................................................................................................................................................1446

a. Action by Appointing Authority .......................................................................................................................................................1449b. Withdrawal of Appointment ..............................................................................................................................................................1449c. Citizenship Issues.....................................................................................................................................................................................1449d. Nepotism ....................................................................................................................................................................................................1451e. Selective Service Registration .............................................................................................................................................................1451

2. Cancellation of Promotions, Pay Increases .............................................................................................................................................14533. Termination by Adverse Action of Appointment Secured by Fraud; Disqualification by OPM

or OSC Proceeding; OPM Suitability Disqualification Action ..........................................................................................................1463B. CONSTRUCTIVE ADVERSE ACTIONS ...............................................................................................................................................................1464

1. Jurisdictional Showing ..................................................................................................................................................................................1465a. Timing of Operative Events ..................................................................................................................................................................1473b. Specific Allegations Control ................................................................................................................................................................1474c. Analysis of Totality of Circumstances ..............................................................................................................................................1476d. Obligation of Judge to Inform Appellant of Jurisdictional Requirements .........................................................................1478e. Avoidance of Jurisdictional Analysis in Untimely Appeals ......................................................................................................1479f. Collateral Attacks on Settlement Agreements and Waiver of Appeal Rights ....................................................................1479g. Allegations of Discrimination .............................................................................................................................................................1480

2. General Approach to Analysis of Constructive Adverse Actions ...................................................................................................14833. Involuntary Downgradings .........................................................................................................................................................................1483

a. Hearing ........................................................................................................................................................................................................1484b. Deceit; Misrepresentation ...................................................................................................................................................................1484c. Action Threatened Without Good Cause .......................................................................................................................................1490d. Time Pressure ...........................................................................................................................................................................................1491e. Improper Reassignment ......................................................................................................................................................................1491f. Withdrawal of Request for Downgrading ......................................................................................................................................1492g. Unauthentic Request for Downgrading .........................................................................................................................................1492h. Discrimination; Intolerable Working Conditions .........................................................................................................................1492i. External Problems ...................................................................................................................................................................................1495

GuiDE To MsPb law aND PRaCTiCE xxxiii

j. Correction of Administrative Error ...................................................................................................................................................14964. Involuntary Resignations ..............................................................................................................................................................................1497

a. Hearing ........................................................................................................................................................................................................1498b. Deceit; Misrepresentation ....................................................................................................................................................................1498c. Action Threatened Without Good Cause .......................................................................................................................................1502d. Time Pressure ...........................................................................................................................................................................................1504e. Improper Reassignment .......................................................................................................................................................................1508f. Withdrawal of Request to Resign .......................................................................................................................................................1508g. Irrevocable Resignation; VSIP ..............................................................................................................................................................1510h. Unauthentic or Ambiguous Resignations .....................................................................................................................................1511i. Ineffective Resignation .........................................................................................................................................................................1512j. Mental Disability ......................................................................................................................................................................................1513k. Intolerable Working Conditions ........................................................................................................................................................1514l. Whistleblowing Reprisal ......................................................................................................................................................................1521m. Discriminatory Working Conditions ................................................................................................................................................1522n. Failure to Accommodate Disability ..................................................................................................................................................1525o. Denial of Leave ........................................................................................................................................................................................1527p. External Problems ..................................................................................................................................................................................1528q. Probationers .............................................................................................................................................................................................1528r. Technical Errors .......................................................................................................................................................................................1528

5. Involuntary Retirements ................................................................................................................................................................................1528a. Hearing .......................................................................................................................................................................................................1531b. Deceit; Misrepresentation ...................................................................................................................................................................1532

(i) Correction of Retirement Benefits ...........................................................................................................................................1541c. Action Threatened Without Good Cause ........................................................................................................................................1542d. Time Pressure ...........................................................................................................................................................................................1544e. Involuntary Reassignment ..................................................................................................................................................................1545f. Withdrawal of Request to Retire ........................................................................................................................................................1547g. Irrevocable Retirement; VSIP ..............................................................................................................................................................1548h. Intolerable Working Conditions ........................................................................................................................................................1552i. Whistleblowing Reprisal ......................................................................................................................................................................1558j. Discriminatory Working Conditions ................................................................................................................................................1561k. Failure to Accommodate Disability ..................................................................................................................................................1565l. Discriminatory Conduct Causes the Disability Leading to Retirement ................................................................................1576m. Denial of Leave ........................................................................................................................................................................................1577n. Mental Disability ......................................................................................................................................................................................1577o. Agency-Initiated Retirement ..............................................................................................................................................................1578p. Discontinued Service Retirement .....................................................................................................................................................1578q. Mandatory Retirement .........................................................................................................................................................................1580r. Employing Agency as Party to a Retirement Appeal Against OPM .......................................................................................1580

6. Constructive Demotion Through Reassignment; Russell Appeals .................................................................................................1580a. Planned Management Action ............................................................................................................................................................1584b. Position Must Be Upgraded ................................................................................................................................................................1586c. Identity of Duties .....................................................................................................................................................................................1589d. Qualifications for Higher–Graded Position ...................................................................................................................................1590e. Jurisdictional Analysis ...........................................................................................................................................................................1590f. Evidence Demonstrating Classification Error ................................................................................................................................1590g. EEO Allegations .......................................................................................................................................................................................1591h. Timeliness of Appeal ..............................................................................................................................................................................1591

7. Involuntary Transfers ......................................................................................................................................................................................1592C. ENFORCED LEAVE; CONSTRUCTIVE SUSPENSIONS ..................................................................................................................................1592

1. Jurisdictional Analysis; Burden of Proof ..................................................................................................................................................1594a. Hearing ........................................................................................................................................................................................................1596b. EEO Allegations .......................................................................................................................................................................................1597c. Effect of Receipt of OWCP Benefits on Enforced Leave or Constructive Suspension Claim .........................................1598d. Dispute Over Reemployment Rights ................................................................................................................................................1599

2. Requirement for Adverse Action Procedures .........................................................................................................................................1600a. Leave Status Voluntarily Assumed ....................................................................................................................................................1603b. Process Due to Employee ....................................................................................................................................................................1606c. Substantive Evaluation of Leave Enforced Following Notice to Employee .......................................................................1606

3. Employees on AWOL, Restricted Leave ...................................................................................................................................................1607

xxxiv TablE of CoNTENTs

4. Employees Blocked From Working Because of Employer’s Concerns About Fitness ..............................................................1608a. Employees on LWOP .............................................................................................................................................................................1612

5. Light and Limited Duty; Medical Restrictions ........................................................................................................................................1612a. Historical Development of Law Addressing Light Duty ............................................................................................................1616b. Collective Bargaining Agreement .....................................................................................................................................................1621c. Disability Accommodation ..................................................................................................................................................................1625d. EEO Settlement ........................................................................................................................................................................................1628e. Termination of Light Duty ....................................................................................................................................................................1628f. Postal Service National Collective Bargaining Agreements .....................................................................................................1629g. Furlough .....................................................................................................................................................................................................1631

6. Work Release ......................................................................................................................................................................................................16317. Bar Order Preventing Entry to Workplace ...............................................................................................................................................16318. Constructive Suspension Through Temporary Absence Resulting From Intolerable Working Conditions ....................1631

D. INDEFINITE SUSPENSIONS ...................................................................................................................................................................................16341. Use ........................................................................................................................................................................................................................16352. Procedures; Duration .....................................................................................................................................................................................1638

a. Due Process ...............................................................................................................................................................................................16423. Criminal Activities ...........................................................................................................................................................................................1644

a. Indictment; Filing of Information; Referral for Prosecution ....................................................................................................1645b. Investigation..............................................................................................................................................................................................1645c. Arrest ...........................................................................................................................................................................................................1646

4. Security Clearance and Other Investigations .........................................................................................................................................16525. Inquiry Into Other Matters ............................................................................................................................................................................16566. Nexus ....................................................................................................................................................................................................................16617. Severity of Penalty; Reassignment ............................................................................................................................................................1663

a. Accommodation for Disability ............................................................................................................................................................16648. Remedy ...............................................................................................................................................................................................................1664

a. Action Following Termination of Criminal Proceedings ............................................................................................................1668II. SERVICE EFFICIENCY .......................................................................................................................................................................................................1669

A. BURDEN OF PROOF ................................................................................................................................................................................................16711. Agency Burden of Proof ................................................................................................................................................................................1671

a. Suspicion; Belief .......................................................................................................................................................................................1672b. Intent ...........................................................................................................................................................................................................1672

2. Preponderance of Evidence .........................................................................................................................................................................1672a. Uniformity of Standard .........................................................................................................................................................................1673b. Charge of Violation of Criminal Statute ..........................................................................................................................................1673

3. Prima Facie Case ...............................................................................................................................................................................................16744. Presumptions .....................................................................................................................................................................................................16745. Employee’s Burden: Affirmative Defenses ...............................................................................................................................................1675

B. PERSONAL FAULT .....................................................................................................................................................................................................16751. Adverse Action to Assist Other Employees ............................................................................................................................................1675

a. Discrimination .........................................................................................................................................................................................1675b. Merit Promotion Grievances ...............................................................................................................................................................1676

2. Action Directed by Arbitrator .....................................................................................................................................................................16763. Correction of Administrative Error ............................................................................................................................................................16764. Respondeat Superior .......................................................................................................................................................................................1676

C. ADVERSE ACTION RELATED TO DISABILITY .................................................................................................................................................16781. Medical Impairment .......................................................................................................................................................................................1678

a. Agency-Initiated Retirement ..............................................................................................................................................................1679b. Assistance in Securing Counsel ..........................................................................................................................................................1682c. Prior Law: Reasonable Cause to Believe ..........................................................................................................................................1683d. Service Credit Requirements ...............................................................................................................................................................1684e. Permissible Action; Mitigation ............................................................................................................................................................1684

2. Evaluation of Physical Impairment ............................................................................................................................................................1684a. Evidence of Recovery Between Date of Removal and MSPB Decision.................................................................................1687

3. Effect of Removal for Inability to Work Upon OPM Disability Annuity Determination ..........................................................1689a. Rebuttable Presumption of Annuity Entitlement ........................................................................................................................1689b. Social Security Administration Determinations ...........................................................................................................................1697c. OWCP Determinations ..........................................................................................................................................................................1698d. Department of Veterans Affairs Disability Ratings ......................................................................................................................1699e. Security Clearance Determinations .................................................................................................................................................1699

GuiDE To MsPb law aND PRaCTiCE xxxv

4. Allegation of Disability Discrimination; Lack of Reasonable Accommodation .........................................................................1700III. SPECIAL CLASSES OF EMPLOYEES .............................................................................................................................................................................1703

A. SENIOR EXECUTIVE SERVICE ...............................................................................................................................................................................17031. Mitigation of Disciplinary Actions .............................................................................................................................................................17092. Performance Cases .........................................................................................................................................................................................1709

B. ADMINISTRATIVE LAW JUDGES ..........................................................................................................................................................................17101. Scope of MSPB Review ...................................................................................................................................................................................1713

a. Good Cause ..............................................................................................................................................................................................1713b. Penalty Determinations ........................................................................................................................................................................1717

2. Causes for Discipline ......................................................................................................................................................................................1718a. Insubordination .......................................................................................................................................................................................1719b. Remarks to Litigants; Comments in Decisions; Conduct of Hearings ..................................................................................1720c. Prolonged Absence ...............................................................................................................................................................................1721d. Other Misconduct ..................................................................................................................................................................................1722e. Poor Performance ...................................................................................................................................................................................1724

3. Constructive Action Against a Judge: Tunik ..........................................................................................................................................1726a. Forced Retirement ...................................................................................................................................................................................1732b. Pre-Tunik Decisions; Judicial Independence ..................................................................................................................................1733

4. Furloughs; RIF; Interim Relief ......................................................................................................................................................................17415. Settlement of Complaints ............................................................................................................................................................................1742

a. Voluntary Dismissal of Complaints ..................................................................................................................................................1743

CHAPTER 7: NEXUS AND MITIGATION .................................................................. 1745I. CONCEPT OF NEXUS .......................................................................................................................................................................................................1745

A. MERRITT AND PRESUMPTIONS OF NEXUS ....................................................................................................................................................17451. General Approach Toward Proof .................................................................................................................................................................1747

a. Actual or Potential Publicity ...............................................................................................................................................................1748b. Potential for Future Harm .....................................................................................................................................................................1749c. Investigative Exertions .........................................................................................................................................................................1749

B. SPECIFIC NEXUS DETERMINATIONS .................................................................................................................................................................17491. Arrest ....................................................................................................................................................................................................................17502. Violent Off-Duty Misconduct ......................................................................................................................................................................1750

a. Shootings; Killings ..................................................................................................................................................................................1750b. Assault; Threats .........................................................................................................................................................................................1752

3. Violent Conduct on Agency Premises ......................................................................................................................................................17534. Off-Duty Drug Offenses ................................................................................................................................................................................1753

a. Drug Activity Involving Agency Time or Facilities ......................................................................................................................17565. Off-Duty Actions Involving Agency Premises ........................................................................................................................................17566. Sexual Misconduct ...........................................................................................................................................................................................17567. Fraud and Theft ................................................................................................................................................................................................1768

a. Off-Duty Offenses ...................................................................................................................................................................................1768b. On-Duty or Job-Related Offenses .....................................................................................................................................................1770c. Gambling ....................................................................................................................................................................................................1770

8. Failure to Pay Debts ........................................................................................................................................................................................17709. Grievance Meetings .......................................................................................................................................................................................177310. Conduct Contrary to Agency Mission ......................................................................................................................................................1773

a. Real Estate Activities—DHUD ............................................................................................................................................................1773b. Employees’ Tax Problems—IRS and Other Agencies .................................................................................................................1773c. Law Enforcement Officers; Giglio Impairment ..............................................................................................................................1778d. Drivers .........................................................................................................................................................................................................1781e. Strike–Related Conduct ........................................................................................................................................................................1781

11. AWOL Removal After Criminal Conviction ..............................................................................................................................................1782II. MITIGATION OF PENALTIES ..........................................................................................................................................................................................1782

A. GENERAL CONSIDERATIONS ...............................................................................................................................................................................17821. Douglas Standards; Decision to Reflect Consideration of Mitigating Factors or MSPB Imposes Maximum

Reasonable Penalty .........................................................................................................................................................................................1783a. Failure to Consider Relevant Mitigating Factors .........................................................................................................................1785b. Proposal to List Aggravating Factors; Treatment of Warnings; Due Process Considerations ......................................1785c. Exemplary Penalties ..............................................................................................................................................................................1787d. Exaggeration of Charge ........................................................................................................................................................................1788

2. Articulation of Relevant Factors ..................................................................................................................................................................1788

xxxvi TablE of CoNTENTs

a. By Agency; Decision Notice ................................................................................................................................................................1788b. By MSPB .....................................................................................................................................................................................................1789

3. Not All Charges Sustained; Maximum Reasonable Penalty .............................................................................................................1790a. Remand to Agency for Redetermination of Penalty ..................................................................................................................1794

4. All Charges but Not All Specifications Sustained .................................................................................................................................17955. Charge Sustained That Was Not Brought ...............................................................................................................................................17966. Factors Not Considered Mitigating ............................................................................................................................................................1796

a. Disability Discrimination; Mental Impairment ..............................................................................................................................1796b. Discriminatory Environment ...............................................................................................................................................................1797c. Prohibited Personnel Practice .............................................................................................................................................................1797d. Offers of Settlement ..............................................................................................................................................................................1797

7. When Mitigation Must Be Raised ..............................................................................................................................................................17978. Special Counsel Disciplinary Cases ............................................................................................................................................................17989. Impact of Mitigation Through Demotion Upon Collective Bargaining Agreements .............................................................1798

B. SPECIFIC MITIGATING FACTORS .........................................................................................................................................................................17981. Potential for Rehabilitation ..........................................................................................................................................................................1798

a. Deference to Higher Level Management Assessment ...............................................................................................................1798b. Forward–Looking Analysis ...................................................................................................................................................................1799c. Performance Actions .............................................................................................................................................................................1799d. Prior Notice of Rules or Policy ............................................................................................................................................................1800e. Temporary Conditions; Stress; Alcoholism ....................................................................................................................................1801f. Prior Long Service ..................................................................................................................................................................................1801g. Weight of Prior Performance Evaluation ........................................................................................................................................1801h. Intervening Good Performance; Misconduct Subsequent to Charges Leading to Adverse Action .........................1802i. Misconduct Postdating Adverse Action .........................................................................................................................................1803j. Display of Contrition or Remorse; Admission of Misconduct .................................................................................................1803k. Denial of Misconduct; Vigorous Defense .......................................................................................................................................1804l. Positions of Trust; Fiduciary Duty; Loss of Trust ...........................................................................................................................1805m. Repeated Misconduct; Last Chance Agreements ........................................................................................................................1806

2. Psychological Problems, Illness or Treatment, Stress, Job Tensions ..............................................................................................18063. Intent ....................................................................................................................................................................................................................18114. Progressive Discipline ....................................................................................................................................................................................1811

a. Table of Penalties; Classification of Offenses ................................................................................................................................18135. Disparate Penalties ..........................................................................................................................................................................................1815

a. Degree of Consistency Required ......................................................................................................................................................1818b. Substantial Similarity of Offenses .....................................................................................................................................................1819c. Same Work Unit; Evolving Case Law: Woebcke; Lewis ................................................................................................................1820d. Positions of Similar Levels of Trust and Responsibility ..............................................................................................................1824e. Selective Prosecution .............................................................................................................................................................................1825f. Settlements ...............................................................................................................................................................................................1825g. Comparable Arbitration Awards; Other MSPB Decisions .........................................................................................................1827h. Effect of Criminal Sentence .................................................................................................................................................................1828

6. Mandatory Penalties .......................................................................................................................................................................................18287. Staleness of Charges .......................................................................................................................................................................................18298. Agency Bad Faith, Provocation Manipulation; Improper Pressure on Appellant; Entrapment ...........................................18299. Condonation .....................................................................................................................................................................................................183010. Favorable Attitude of Coworkers; Supervisors ......................................................................................................................................183011. Severity of Misconduct .................................................................................................................................................................................1830

a. Sequential Disciplinary Proposals ....................................................................................................................................................1831b. Multiplicity and Merger of Charges .................................................................................................................................................1831c. Zero Tolerance Policy ............................................................................................................................................................................1831

12. Employee Job Level .........................................................................................................................................................................................1833a. Ineffectiveness as Supervisor; Demotion to Nonsupervisory Position; Other Demotions ..........................................1833b. Positions of Trust; Loss of Confidence in Employee ...................................................................................................................1834

C. AGENCY CONSIDERATION OF PAST DISCIPLINE ........................................................................................................................................18351. Notice Requirements; Exceptions ..............................................................................................................................................................1837

a. Failure to Include Past Discipline in Proposal: Due Process and Harmful Error.................................................................18372. Proof and Rebuttal of Past Discipline .......................................................................................................................................................1838

a. Availability of Challenge to Past Discipline ....................................................................................................................................1839b. Clearly Erroneous ....................................................................................................................................................................................1839c. Reprisal Cases ..........................................................................................................................................................................................1839

GuiDE To MsPb law aND PRaCTiCE xxxvii

d. Pending Challenge to Past Discipline .............................................................................................................................................1839e. Past Discipline Reversed Following Initial Decision ...................................................................................................................1841f. Past Discipline Time–Barred ................................................................................................................................................................1842g. Dissimilar Offenses ..................................................................................................................................................................................1842h. Nondisciplinary Sanctions....................................................................................................................................................................1844

D. STANDARDS FOR JUDICIAL REVIEW, ADMINISTRATIVE RECONSIDERATION ..................................................................................18441. General Rule .......................................................................................................................................................................................................18442. Agency Table of Penalties ............................................................................................................................................................................18453. Application of Relevant Douglas Factors ................................................................................................................................................18454. Effect of OPM Reconsideration Requests ...............................................................................................................................................1845

CHAPTER 8: SUBSTANTIVE OFFENSES ................................................................... 1847I. STATUS ..................................................................................................................................................................................................................................1847

A. ABSENCE .....................................................................................................................................................................................................................18471. Impact on Service Efficiency .......................................................................................................................................................................18472. Approved and Disapproved Absence .......................................................................................................................................................1849

a. Abuse of Leave .........................................................................................................................................................................................1850b. Loafing; Wasting Time ............................................................................................................................................................................1850c. Excessive Leave; Excessive Absences for Reasons Beyond Employee’s Control; Excessive Leave Without Pay ....1850

(i) Historical Application of Cook and Related Cases ...............................................................................................................1853d. Unscheduled but Approved Absences Following Failure to Follow Procedures to Request Leave ..........................1860

3. Leave-Requesting and Leave-Reporting Requirements ...................................................................................................................1862a. Leave Restriction Letters .......................................................................................................................................................................1866b. Medical Certification Requirements ................................................................................................................................................1866c. Other Certification or Documentation Requirements ..............................................................................................................1867

4. Proof of AWOL; Leave Entitlement .............................................................................................................................................................18675. Agency Abuse of Discretion .........................................................................................................................................................................1869

a. Ambiguous Leave Policy or Directives ............................................................................................................................................1870b. Condonation of AWOL ..........................................................................................................................................................................1870

6. Evidence of Illness First Submitted to MSPB ..........................................................................................................................................1870a. FMLA ............................................................................................................................................................................................................1871

7. Leave Without Pay; Other Leave Arrangements ...................................................................................................................................1872a. Executive Order 5396; Disabled Veterans .......................................................................................................................................1873b. Advanced Sick Leave ..............................................................................................................................................................................1874c. Donated Leave..........................................................................................................................................................................................1874

8. Family Leave .......................................................................................................................................................................................................1874a. Burden of Proof Under FMLA; FMLA Requests; Medical Documentation ..........................................................................1880b. Constructive Requests for FMLA Leave ...........................................................................................................................................1888c. Belated Submission of FMLA Request and Documentation ....................................................................................................1891d. Abuse of Family Leave ..........................................................................................................................................................................1892

9. Worker’s Compensation Cases ....................................................................................................................................................................1892a. Determining Whether Removal Is Based on Reasons Independent of Absence Related to OWCP Entitlement ..1894b. Leave-Reporting Requirements .........................................................................................................................................................1895c. No Foreseeable End to Absence ........................................................................................................................................................1896

10. Leave Status Pending Disability Retirement ..........................................................................................................................................189811. Incarceration; Work–Release Programs ....................................................................................................................................................189812. Cancellation or Conversion of Approved Leave ...................................................................................................................................190013. Absence Caused by Fear for Safety ...........................................................................................................................................................190114. Military Leave .....................................................................................................................................................................................................190115. Religious Leave ................................................................................................................................................................................................190116. Problems Following Reinstatement Through MSPB Order ..............................................................................................................190217. Aggravating Factors .......................................................................................................................................................................................1902

a. Prolonged AWOL .....................................................................................................................................................................................1902b. Frequent AWOL .......................................................................................................................................................................................1902c. Unreliable Attendance ...........................................................................................................................................................................1902

18. Mitigating Factors ............................................................................................................................................................................................1903a. Short, Infrequent AWOL ........................................................................................................................................................................1903b. Longer AWOL; Other Mitigating Factors ........................................................................................................................................1904

B. REFUSAL TO ACCEPT REASSIGNMENT ............................................................................................................................................................19051. General Rule .......................................................................................................................................................................................................1907

a. SES Employees .........................................................................................................................................................................................1907

xxxviii TablE of CoNTENTs

2. Inconvenience to Employee; Health Problems .....................................................................................................................................1909a. Failure to Accept Return From Overseas Assignment ................................................................................................................1910

3. Agency Burden of Proof; Legitimate Reasons for Reassignment ..................................................................................................1910a. Misconduct Following Improper Reassignment .........................................................................................................................1912

4. Application of RIF Procedures; Procedural Errors ................................................................................................................................1912C. FAILURE TO MAINTAIN OR OBTAIN CONDITION OF POSITION .............................................................................................................1913

1. Lack of License, Certification .......................................................................................................................................................................1913a. Lawyers ......................................................................................................................................................................................................1913b. Drivers ..........................................................................................................................................................................................................1913c. Others ..........................................................................................................................................................................................................1914d. Medical Certification ..............................................................................................................................................................................1914e. Certification by Military Authority .....................................................................................................................................................1914

2. Loss of Credentials ...........................................................................................................................................................................................19153. Failure to Complete Training Course; Validity of Examinations ......................................................................................................1915

a. Air Traffic Controllers ..............................................................................................................................................................................1915b. Other Positions .........................................................................................................................................................................................1917

4. Lack of or Loss of Minimum Qualifications .............................................................................................................................................1918a. Indian Child Protection and Family Violence Prevention Act .................................................................................................1919b. Lautenberg Amendment .....................................................................................................................................................................1922c. Loss of Access to Agency Computer and Network Systems ...................................................................................................1924

5. Security Clearance Revocation ...................................................................................................................................................................1924a. Clearance Process ...................................................................................................................................................................................1925b. Agency Security Clearance Proceedings.........................................................................................................................................1926c. Review of Agency Determinations; Egan; Constitutional Due Process ...............................................................................1931d. Decision to Designate Position as Sensitive .................................................................................................................................1937e. Reassignment to Nonsensitive Position .........................................................................................................................................1940f. EEO Issues; Whistleblower Reprisal; Disparate Treatment .......................................................................................................1942g. Regulatory Infractions During Revocation Process .....................................................................................................................1943h. Proceedings Under 5 USC 7532 ..........................................................................................................................................................1944i. Suitability Determinations and Security Clearance Distinguished .......................................................................................1945j. Sensitive Duties Not Requiring a Clearance: Conyers .................................................................................................................1945k. Programs Similar to Security Clearances.........................................................................................................................................1953l. TSA Sensitive Security Information ...................................................................................................................................................1954

6. Removal From Reserve Status .....................................................................................................................................................................19567. Lack of Suitability for Continued Employment ....................................................................................................................................1959

D. CONFLICTS OF INTEREST; APPARENT CONFLICTS ......................................................................................................................................19611. Conflicts; Improper Business Dealings With Others ............................................................................................................................19612. Apparent Conflicts; Use of Government Office for Private Gain ....................................................................................................19633. Inside Information ...........................................................................................................................................................................................19634. Transactions With Contractors; Gifts; Bribes; Honoraria; Loans ......................................................................................................1964

a. Transactions With Patrons, Vendors, Inmates ...............................................................................................................................1964b. Transactions With Supervisors ...........................................................................................................................................................1966c. Compensation for Government Service From Another Source ..............................................................................................1966

5. Acting as Agent or Attorney Against Government ..............................................................................................................................1966E. OUTSIDE EMPLOYMENT .......................................................................................................................................................................................1966

1. Personal Work on Government Time .......................................................................................................................................................19662. Reporting Requirements ..............................................................................................................................................................................1967

a. Approval Requirements ........................................................................................................................................................................1967b. Employment in Violation of Agency Restrictions; Outside Practice of Law ......................................................................1967

F. SPECIAL CATEGORIES OF EMPLOYEES ...........................................................................................................................................................19671. Guards, Correctional Officers, Police, Investigators, and Security Personnel .............................................................................19672. Immigration Officers ......................................................................................................................................................................................19683. Ship Employees .................................................................................................................................................................................................19684. Supervisors ........................................................................................................................................................................................................1969

G. STRIKES .........................................................................................................................................................................................................................19691. Charge of Striking ............................................................................................................................................................................................19692. Grounds for Removal .....................................................................................................................................................................................19693. Proof of Strike Participation .........................................................................................................................................................................19694. Refuting Strike Participation ........................................................................................................................................................................19705. Fear for Personal Safety .................................................................................................................................................................................1970

a. Threats Held Insufficient .......................................................................................................................................................................1971

GuiDE To MsPb law aND PRaCTiCE xxxix

b. Duress and Coercion Established ......................................................................................................................................................19716. Association With Strikers ...............................................................................................................................................................................19717. Settlement Agreements ................................................................................................................................................................................19718. Influence of Political Leaders ......................................................................................................................................................................19719. Penalty..................................................................................................................................................................................................................197110. Other Issues ........................................................................................................................................................................................................1972

II. RELATIONSHIPS .................................................................................................................................................................................................................1972A. INSUBORDINATION .................................................................................................................................................................................................1972

1. Refusal or Failure to Perform Work ............................................................................................................................................................1973a. Proof of Intent ...........................................................................................................................................................................................1973b. Failure to Follow Instructions .............................................................................................................................................................1974c. Failure to Follow Policies, Regulations ............................................................................................................................................1976d. Lack of Cooperation; Disruptiveness ................................................................................................................................................1977e. Recording of Conversations ................................................................................................................................................................1977

2. Cumulative Insubordination .......................................................................................................................................................................19773. Disputes Over Position Responsibilities ..................................................................................................................................................1978

a. Difficulties Following Reinstatement ...............................................................................................................................................1978b. Breach of Settlement Agreement ......................................................................................................................................................1979

4. Insolence and Abusive Language ..............................................................................................................................................................1979a. Abuse of Coworkers, Subordinates ..................................................................................................................................................1979b. Abuse of Supervisors; Coarse Language .........................................................................................................................................1980c. Disagreements Over Instructions, Programs ................................................................................................................................1982

5. Misuse of Internal Dispute Resolution Procedures .............................................................................................................................1982a. EEO Processes ...........................................................................................................................................................................................1982b. Congressional Communications ........................................................................................................................................................1982c. Grievance Proceeding ............................................................................................................................................................................1983d. Supervisors ................................................................................................................................................................................................1984e. Supervisors’ Interference With Employee Grievances ................................................................................................................1984

6. Refusal to Take Fitness Examination ..........................................................................................................................................................1985a. Properly Ordered .....................................................................................................................................................................................1985b. Improperly Ordered ................................................................................................................................................................................1986

7. Refusal to Submit to Search or Drug Tests .............................................................................................................................................19888. Problems During Investigations: Lack of Cooperation; Interference ...........................................................................................19919. Administrative Law Judges ...........................................................................................................................................................................199910. Defenses .............................................................................................................................................................................................................1999

a. Inability to Comply .................................................................................................................................................................................1999b. Unclear Orders; Unknown Policies ....................................................................................................................................................2000c. Constitutional Challenges ....................................................................................................................................................................2000d. Improper Directives; Command Influence ....................................................................................................................................2000e. Federal Labor Law Policies; Collective Bargaining Contracts ..................................................................................................2004f. Fear for Safety ..........................................................................................................................................................................................2006

11. Mitigating Factors ............................................................................................................................................................................................2007B. SEXUAL MISCONDUCT ...........................................................................................................................................................................................2009

1. Sexual Harassment Defined ........................................................................................................................................................................2010a. Past Significance of Psychological Harm ........................................................................................................................................2015b. Charges Based Upon Agency Regulations or Standards of Conduct Not Specifically Tied to Title VII ....................2022c. Physical Contact .......................................................................................................................................................................................2027d. Offensive Remarks; Photos...................................................................................................................................................................2029e. Consensual Conduct Affecting Workplace ....................................................................................................................................2034f. Homosexual Conduct ...........................................................................................................................................................................2035

2. Misconduct Toward Agency Clients and Affiliates ...............................................................................................................................20363. Misconduct Toward Children .......................................................................................................................................................................20364. Penalties for Sexual Misconduct ................................................................................................................................................................2036

a. Demotion or Suspension ......................................................................................................................................................................2036b. Removal ......................................................................................................................................................................................................2036

5. Defenses ..............................................................................................................................................................................................................2037C. CONDUCT HARMING OTHERS; CRIMINAL VIOLATIONS ..........................................................................................................................2038

1. Threats ..................................................................................................................................................................................................................2039a. Metz Test .....................................................................................................................................................................................................2040b. Statements Made to Therapists; EAP Counselors ........................................................................................................................2044c. Statements to Union Representative ...............................................................................................................................................2046

xl TablE of CoNTENTs

d. Reaction of Others to Threat ...............................................................................................................................................................2048e. Threats Through Others; Rumors ......................................................................................................................................................2049f. Conditional Threats ................................................................................................................................................................................2051g. Threat Against a Coworker ..................................................................................................................................................................2052h. Threat Against a Supervisor ................................................................................................................................................................2053i. Threat Against Others ............................................................................................................................................................................2053j. Thoughts of Violence .............................................................................................................................................................................2053

2. Assault .................................................................................................................................................................................................................2054a. Assault Upon a Coworker ....................................................................................................................................................................2054b. Assault Upon a Supervisor ..................................................................................................................................................................2055c. Assault Upon a Subordinate ...............................................................................................................................................................2055d. Assault Upon Others .............................................................................................................................................................................2055e. Defenses ....................................................................................................................................................................................................2056f. Mitigation; Aggravation ........................................................................................................................................................................2057

3. Fighting; Self Defense .....................................................................................................................................................................................20584. Gambling.............................................................................................................................................................................................................20595. Threats of Legal Action, Whistleblowing, or Publicity.........................................................................................................................20606. Lawsuits ..............................................................................................................................................................................................................20617. Discourtesy; Related Problems ....................................................................................................................................................................2062

a. Profanity ......................................................................................................................................................................................................20638. Improper Conduct Toward Patients, Wards, and Others ....................................................................................................................20639. Invidious Discrimination; Offensive Remarks; Preferential Treatment; Reprisal .......................................................................2064

a. Nepotism; Hiring of Friends ................................................................................................................................................................2070D. CRITICAL STATEMENTS ..........................................................................................................................................................................................2073

1. Constitutional Framework Applied in Federal Sector ........................................................................................................................2080a. Private Speech ..........................................................................................................................................................................................2083

2. Criticism of Agency or Its Personnel .........................................................................................................................................................2084a. Constitutional Analysis .........................................................................................................................................................................2084b. Prohibited Personnel Practice Analysis ...........................................................................................................................................2086c. Defamation ................................................................................................................................................................................................2087d. Congressional Communications ........................................................................................................................................................2089e. Political Activity and Speech ...............................................................................................................................................................2090

3. Internal Criticism .............................................................................................................................................................................................2092a. Constitutional Analysis ..........................................................................................................................................................................2092b. Managerial Disagreements .................................................................................................................................................................2093c. Administrative Law Judges ..................................................................................................................................................................2093d. Criticism of or False Statements About Coworkers, Subordinates, and Supervisors .....................................................2093

III. INTEGRITY ............................................................................................................................................................................................................................2096A. FALSIFICATION AND MISREPRESENTATION .................................................................................................................................................2096

1. Proof of Fraud; Falsification .........................................................................................................................................................................2098a. Neglect or Mistake .................................................................................................................................................................................2101b. Perjury..........................................................................................................................................................................................................2104c. Failure to Correct Report of Another ...............................................................................................................................................2104d. Reliance Upon Advice of Counsel or Other Individual ...............................................................................................................2105e. Cumulative False Statements ..............................................................................................................................................................2106

2. Employment Application; Security Questionnaire; Duty of Candor .............................................................................................2106a. Criminal Record ........................................................................................................................................................................................2110b. Education and Experience....................................................................................................................................................................2111c. Pre-Employment Medical Inquiries ..................................................................................................................................................2111

3. Compensation Claims; Vouchers ...............................................................................................................................................................2113a. Overtime ....................................................................................................................................................................................................2113b. Travel Vouchers and Associated Documents .................................................................................................................................2114c. OWCP Claims .............................................................................................................................................................................................2116d. Unemployment Compensation ........................................................................................................................................................2118e. Disability or Leave Claims ....................................................................................................................................................................2118f. Pay and Allowances Claims ..................................................................................................................................................................2118

4. Records of Time, Attendance, and Work; Failures to Monitor Transactions and Follow Directions ....................................21195. Medical Certificates ........................................................................................................................................................................................21206. Alteration, Failure to Preserve Documents and Evidence ................................................................................................................21217. Investigative Misrepresentations; “Exculpatory No” ...........................................................................................................................21218. Lack of Candor ...................................................................................................................................................................................................2123

GuiDE To MsPb law aND PRaCTiCE xli

9. Failure to Report Misconduct ......................................................................................................................................................................212510. Disclosure Statements ....................................................................................................................................................................................212511. Mitigating Factors ............................................................................................................................................................................................2125

a. Time, Attendance, and Travel Records .............................................................................................................................................2127b. Medical Certificates ...............................................................................................................................................................................2127c. Employment Applications ...................................................................................................................................................................2128

B. REMOVAL AND MISUSE OF PROPERTY ..........................................................................................................................................................21291. Service Efficiency .............................................................................................................................................................................................21292. Burden of Proof ................................................................................................................................................................................................2129

a. Conversion .................................................................................................................................................................................................2130b. Use of Public Office for Private Gain .................................................................................................................................................2131c. Unauthorized Possession or Removal of Property; Theft .........................................................................................................2131d. Unauthorized Use ....................................................................................................................................................................................2132e. Common Possession Cases .................................................................................................................................................................2133f. Evidence of Intent: Theft and Unauthorized Possession ...........................................................................................................2133

3. Petty Theft ...........................................................................................................................................................................................................2134a. Shoplifting .................................................................................................................................................................................................2136b. Significance of Custody and Control of Property .......................................................................................................................2136

4. Government Vehicles ......................................................................................................................................................................................2138a. Deviation From Assigned Route; Minor Personal Use; Public Service Exemption ..........................................................2143b. Nonstatutory Vehicle Misuse Charges; Impaired Drivers ..........................................................................................................2143

5. Unauthorized Use, Theft, or Destruction of Specific Property ........................................................................................................2143a. Computers; Internet ...............................................................................................................................................................................2144b. Photocopier; Facsimile...........................................................................................................................................................................2145c. Telephone...................................................................................................................................................................................................2146d. Misuse of Government Credit Card ...................................................................................................................................................2146e. Misuse of Services or Government Funds ......................................................................................................................................2147f. Government Records; Official Information; Privacy Act ............................................................................................................2148g. Black Marketing; Diversion of Property ..........................................................................................................................................2160h. Obstruction, Theft, or Mistreatment of Mail ..................................................................................................................................2160i. Misuse of Official Mail and Delivery Services ................................................................................................................................2161

6. Concealment of Theft .....................................................................................................................................................................................21627. Mitigating Factors ............................................................................................................................................................................................2162

IV. MEDICAL...............................................................................................................................................................................................................................2164A. DRUG AND ALCOHOL OFFENSES .....................................................................................................................................................................2164

1. Drug Sale, Possession, and Distribution ..................................................................................................................................................2165a. Possession or Use ...................................................................................................................................................................................2165b. Sale or Distribution .................................................................................................................................................................................2166c. Safe Harbor Provision ............................................................................................................................................................................2167d. Mitigation ...................................................................................................................................................................................................2169

2. Alcohol .................................................................................................................................................................................................................2170V. PERFORMANCE ..................................................................................................................................................................................................................2171

A. POOR PERFORMANCE REQUIRES CORRECTION .........................................................................................................................................21711. Significance of Performance Evaluations ................................................................................................................................................21712. Significance of Performance Standards ...................................................................................................................................................2172

a. Measurement of Work Errors ...............................................................................................................................................................21753. Responsibility for Work Errors ......................................................................................................................................................................21764. Medical Inability to Perform .........................................................................................................................................................................2176

a. Recovery From Disability ......................................................................................................................................................................21775. Mitigating Factors; Choice of Penalty ......................................................................................................................................................2178

a. Comparative Performance ...................................................................................................................................................................2179b. New Duties ................................................................................................................................................................................................2179c. Details, Special Assignments ..............................................................................................................................................................2181d. Progressive Discipline ............................................................................................................................................................................2181e. Lack of Training .......................................................................................................................................................................................2181f. Lack of Improvement Period ...............................................................................................................................................................2181g. Demotion; Reassignment .....................................................................................................................................................................2182h. Suspension ................................................................................................................................................................................................2183

B. NEGLIGENCE ..............................................................................................................................................................................................................21831. Endangerment of Employees .....................................................................................................................................................................21842. Public Safety Risks ............................................................................................................................................................................................2184

xlii TablE of CoNTENTs

3. Destruction or Loss of Property .................................................................................................................................................................21854. Medical Errors ...................................................................................................................................................................................................21855. Mishandling or Improper Possession of Weapons ..............................................................................................................................21856. Inattention to Duty; Sleeping on Job .......................................................................................................................................................21867. Failure to Follow Procedures .......................................................................................................................................................................21868. Excessive Expenditures; Waste ....................................................................................................................................................................2187

CHAPTER 9: PERFORMANCE CASES ....................................................................... 2189I. UNACCEPTABLE PERFORMANCE CASES .................................................................................................................................................................2189

A. STATUTORY AND REGULATORY PROVISIONS: EMPLOYEE AND AGENCY COVERAGE .................................................................2190B. AN OVERVIEW OF PERFORMANCE ACTIONS ...............................................................................................................................................2192

1. Merit Pay Employees ......................................................................................................................................................................................2193C. OPM APPROVAL OF APPRAISAL SYSTEM .......................................................................................................................................................2194

1. Flexibility Permitted by Appraisal System ...............................................................................................................................................21992. Extent of OPM Review; Subordinate Organizations Within Agency ..............................................................................................21993. Changes Directed by OPM ............................................................................................................................................................................2200

D. PERFORMANCE STANDARD CRITERIA .............................................................................................................................................................22001. Substantive Right ............................................................................................................................................................................................22012. Scope of Review ..............................................................................................................................................................................................2202

a. Deference to Agency Management .................................................................................................................................................22023. Objectivity ..........................................................................................................................................................................................................2203

a. Timeliness of Work ..................................................................................................................................................................................2205b. Drafts; Intermediate Work Products ................................................................................................................................................2206c. Personal Characteristics: Initiative, Reliability ...............................................................................................................................2206

4. Wilson and Jackson; Negative or “Backwards” Standards ...................................................................................................................22065. Communication of Standards ......................................................................................................................................................................22106. Augmentation of Standards .........................................................................................................................................................................22107. Use of PIP to Establish Standards ..............................................................................................................................................................22128. Specific Occupations ......................................................................................................................................................................................2214

a. Clerical Employees and Secretaries .................................................................................................................................................2214b. Voucher Examiners .................................................................................................................................................................................2214c. Inspectors ...................................................................................................................................................................................................2214d. Social Security Claims Employees ....................................................................................................................................................2214e. Employee Relations Specialist ...........................................................................................................................................................2215f. Trade Analyst .............................................................................................................................................................................................2215g. Medical Technologists; Nurses ............................................................................................................................................................2215h. Scientists ....................................................................................................................................................................................................2216i. Trades Employees ...................................................................................................................................................................................2217j. Computer Programmer/Analyst ........................................................................................................................................................2217k. Supervisory Supply Technician ..........................................................................................................................................................2217l. Engineers ...................................................................................................................................................................................................2217m. Lawyers ......................................................................................................................................................................................................2217n. Management Analyst ............................................................................................................................................................................2218o. Realty Specialist ......................................................................................................................................................................................2218p. Others .........................................................................................................................................................................................................2218

9. Numerical Standards ......................................................................................................................................................................................221810. Multiple Components .....................................................................................................................................................................................222011. Classification of Errors ....................................................................................................................................................................................222212. Relationship of Standards Within Element ............................................................................................................................................222213. Absolute Standards; Guillebeau .................................................................................................................................................................2223

a. Law Prior to Guillebeau ..........................................................................................................................................................................2226b. Standard to Be Viewed as a Whole ....................................................................................................................................................2227c. Modification of Absolute Standards ................................................................................................................................................2227d. Standards That Enumerate Tasks ......................................................................................................................................................2227e. Level of Performance That May Be Exceeded ...............................................................................................................................2229

14. Unreasonable Standards ...............................................................................................................................................................................222915. Levels of Performance ...................................................................................................................................................................................2231

a. Five–Tier Appraisal System .................................................................................................................................................................2231b. Multiple Appraisal Levels Derived From Ratings for Critical Elements ...............................................................................2234c. Two–Level; Pass/Fail Appraisal System ...........................................................................................................................................2235

16. Standards Development ...............................................................................................................................................................................2236

GuiDE To MsPb law aND PRaCTiCE xliii

17. Changes in Standards .....................................................................................................................................................................................2237a. Changes Through PIP .............................................................................................................................................................................2238

E. OPPORTUNITY TO IMPROVE ...............................................................................................................................................................................22391. Prerequisite of Unsatisfactory Performance ..........................................................................................................................................2239

a. Agency Need Not Prove Pre-PIP Unacceptable Performance ................................................................................................22402. Elements of Opportunity Period ................................................................................................................................................................2240

a. Order and Burden of Proof ..................................................................................................................................................................2241b. Control Over Work ..................................................................................................................................................................................2241c. Assistance to Employee ........................................................................................................................................................................2241d. Necessity for Specific Warning ...........................................................................................................................................................2242e. Statement of Expectations; Job Responsibilities Not Described in PIP ..............................................................................2243f. Application of Harmful Error Rule .....................................................................................................................................................2243

3. Time Allowed for Improvement ..................................................................................................................................................................2244a. One-Year Maximum for Evaluation ..................................................................................................................................................2244b. Pre-PIP Performance ...............................................................................................................................................................................2245c. Post-PIP Performance and Roller Coaster Employees ...............................................................................................................2246d. PIP Extensions ...........................................................................................................................................................................................2249e. Performance During Details ...............................................................................................................................................................2249

F. PROCEDURE ..............................................................................................................................................................................................................22491. Chapter 43 and 75 Actions Distinguished ...............................................................................................................................................22502. Failure to Use Chapter 43 .............................................................................................................................................................................2250

a. Lovshin ........................................................................................................................................................................................................2250b. Conversion of Actions ...........................................................................................................................................................................2252c. Limitations on Use of Chapter 43 .....................................................................................................................................................2253

3. Proposal and Decision Letters ....................................................................................................................................................................2253a. Requirement of Concurrence ..............................................................................................................................................................2254b. Unstated Charges ...................................................................................................................................................................................2254c. Necessity for Specific Instances ..........................................................................................................................................................2254d. Notice Period ............................................................................................................................................................................................2255

G. NECESSARY PROOF: SUBSTANTIAL EVIDENCE ...........................................................................................................................................22551. Test Defined; Scope of Review ...................................................................................................................................................................22552. Weight, Quality of Substantial Evidence .................................................................................................................................................2256

a. Charges as Evidence ...............................................................................................................................................................................2257b. Effect of Prior Evaluation .......................................................................................................................................................................2257c. Statistics; Sampling Methods ..............................................................................................................................................................2257d. Other Information ...................................................................................................................................................................................2258

H. DEFENSES ...................................................................................................................................................................................................................22581. Propriety and Comparison of Performance Standards ......................................................................................................................22592. Comparison of Employee Performance ...................................................................................................................................................22593. Adequacy of PIP; Lack of Control of Work; Agency Bad Faith .........................................................................................................22594. Training ...............................................................................................................................................................................................................22615. Ex Parte Decisional Communications Within Agency .........................................................................................................................22626. Discrimination ...................................................................................................................................................................................................22637. Reprisal .................................................................................................................................................................................................................22658. Collective Bargaining Agreements ............................................................................................................................................................2265

I. PRECLUSION OF MITIGATION .............................................................................................................................................................................2266II. APPEALS FROM WITHIN-GRADE INCREASE DENIALS ........................................................................................................................................2267

A. BASIS FOR MSPB REVIEW ......................................................................................................................................................................................2268B. WHEN MSPB JURISDICTION ATTACHES ..........................................................................................................................................................2268

1. Jurisdictional Effect of Collective Bargaining Agreements ..............................................................................................................2271C. BURDEN OF PROOF ................................................................................................................................................................................................2272

1. Proof Required of Poor Performance .......................................................................................................................................................2272a. Role of Performance Standards ..........................................................................................................................................................2272

2. Substantial Evidence Controls .....................................................................................................................................................................2272a. What Constitutes Evidence ..................................................................................................................................................................2273

D. DEFENSES ...................................................................................................................................................................................................................22731. Errors in ALOC Procedures ...........................................................................................................................................................................2273

a. Linkage of ALOC and Appraisal System ..........................................................................................................................................2273b. Waiting Period ..........................................................................................................................................................................................2274c. Lack of ALOC Determination ...............................................................................................................................................................2275d. Vague ALOC Determination ................................................................................................................................................................2275

xliv TablE of CoNTENTs

2. Reconsideration Errors ...................................................................................................................................................................................2275a. Employee Denied Information ...........................................................................................................................................................2275b. Reconsideration Summary Lacking .................................................................................................................................................2275c. Reconsideration Decision Level ........................................................................................................................................................2275d. Late Reconsideration Decision ...........................................................................................................................................................2275

3. Circumstances of Employee ........................................................................................................................................................................2275a. Unfair Work Burdens ..............................................................................................................................................................................2275b. Illness or Disability ..................................................................................................................................................................................2276c. Comparative Work Production ..........................................................................................................................................................2276d. Lack of Training .......................................................................................................................................................................................2276

CHAPTER 10: REDUCTIONS IN FORCE ................................................................... 2277I. RIF PROCESS ......................................................................................................................................................................................................................2277

A. NATURE OF RIF .........................................................................................................................................................................................................22771. Statutory Provisions ........................................................................................................................................................................................22772. OPM Regulations, Guidance .........................................................................................................................................................................2278

a. Other Descriptions of RIF Process ......................................................................................................................................................22803. Validity of RIF Statute, Regulations ............................................................................................................................................................22814. Furloughs ............................................................................................................................................................................................................2282

a. Emergency Furloughs ...........................................................................................................................................................................2283b. Part-Time or Light Duty Status; Intermittent Appointments; Adjustments in Hours of Work .....................................2284

B. ACTIONS APPEALABLE AS RIF; MSPB JURISDICTION ................................................................................................................................22851. Regulatory Structure .......................................................................................................................................................................................22852. Issue Concerning Coverage of Specific Groups of Employees.........................................................................................................2287

a. Demonstration Projects .......................................................................................................................................................................2287b. Postal Service Non-Preference Eligibles .........................................................................................................................................2290c. Part-Time Employees ..............................................................................................................................................................................2291d. Senior Executive Service Employees ................................................................................................................................................2291e. Agencies With Independent Statutory Personnel Authority ...................................................................................................2294

3. Possibility of a RIF .............................................................................................................................................................................................22954. Actions to Avoid RIF .......................................................................................................................................................................................2295

a. Transfer to Another Agency ................................................................................................................................................................2295b. Resignation ...............................................................................................................................................................................................2296c. Retirement ................................................................................................................................................................................................2296

5. Reassignment ...................................................................................................................................................................................................2296a. Reassignment Without Regard to RIF ..............................................................................................................................................2296b. Detail of Employee ..................................................................................................................................................................................2297c. Representative Rate ................................................................................................................................................................................2298d. Reassignment During or Following RIF ...........................................................................................................................................2298e. Reassignment With Pay Reduction in Anticipation of RIF .......................................................................................................2299f. Postal Reorganizations: 1990s ............................................................................................................................................................2299g. Postal Reorganizations: 2000 Onward .............................................................................................................................................2307h. Other Agencies .........................................................................................................................................................................................2312

6. Grade and Pay Retention; Pay Rate Changes; Demotion ..................................................................................................................23157. Classification Issues .........................................................................................................................................................................................2316

a. Erosion of Duties ......................................................................................................................................................................................2318b. Intentional Changes in Duties ...........................................................................................................................................................2319

8. Transfer of Function.........................................................................................................................................................................................2320a. Identification of Positions for Transfer .............................................................................................................................................2322b. Employees Who Decline to Move ......................................................................................................................................................2325

C. COMPETITIVE AREA .................................................................................................................................................................................................23251. Definition ............................................................................................................................................................................................................23252. Criteria .................................................................................................................................................................................................................23263. Assignments Across Competitive Areas ..................................................................................................................................................23264. Challenge to Competitive Area ..................................................................................................................................................................2326

a. Burden of Proof ........................................................................................................................................................................................2326b. Organizational Structure; One-Person RIF ......................................................................................................................................2326c. Geographical Structure; Local Commuting Area ........................................................................................................................2330

D. COMPETITIVE LEVEL ..............................................................................................................................................................................................23301. Defined ................................................................................................................................................................................................................23302. Challenges to Competitive Level ...............................................................................................................................................................2332

GuiDE To MsPb law aND PRaCTiCE xlv

a. Primacy of Position Description ........................................................................................................................................................2332b. Testimony Concerning Duties in Competitive Level Determinations .................................................................................2334c. Loss of Productivity; Undue Interruption ......................................................................................................................................2335d. Role of Collective Bargaining Agreement.......................................................................................................................................2336e. Challenge to Performance Appraisal ...............................................................................................................................................2337

3. Particular Groups of Employees .................................................................................................................................................................2338a. Developmental Employees/Trainees ...............................................................................................................................................2338b. Temporary Employees ...........................................................................................................................................................................2338c. Part-Time Employees .............................................................................................................................................................................2338d. VA Health Care Professionals ...............................................................................................................................................................2339e. Bureau of Indian Affairs ........................................................................................................................................................................2342

4. Scope of MSPB Review ...................................................................................................................................................................................2342a. Impact of Error ..........................................................................................................................................................................................2342b. Right to Hearing ......................................................................................................................................................................................2343c. Substantive Review .................................................................................................................................................................................2343

II. ASSIGNMENT AND RELATED RIGHTS .......................................................................................................................................................................2343A. REGULATORY AND OPERATIONAL BASIS ......................................................................................................................................................2343

1. Veterans and Other Preferences .................................................................................................................................................................23462. Issues Concerning Types of Appointments Qualifying for Assignment Rights ........................................................................2348

a. Excepted Service Employees ...............................................................................................................................................................2348b. Employees on Detail ...............................................................................................................................................................................2348c. Intergovernmental Personnel Act .....................................................................................................................................................2348d. Part-Time/Full-Time ................................................................................................................................................................................2348

3. Positions Subject to Displacement ............................................................................................................................................................2348a. Supervisory Positions ............................................................................................................................................................................2348b. Temporary Positions ...............................................................................................................................................................................2348

4. Filling of Vacancies ...........................................................................................................................................................................................23485. Assessment of Qualifications .......................................................................................................................................................................2351

a. Updating Qualifications ........................................................................................................................................................................2354b. Qualifications of Displacing Employee ...........................................................................................................................................2354c. Merit Promotion Issues ..........................................................................................................................................................................2354d. Undue Interruption ................................................................................................................................................................................2354

6. Representative Rates ......................................................................................................................................................................................23567. Amendment of RIF Notice; Change in Position Offer ..........................................................................................................................2357

B. BUMPING .....................................................................................................................................................................................................................2357C. RETREAT .......................................................................................................................................................................................................................2359

1. Prior Rule .............................................................................................................................................................................................................23602. Method of Analysis .........................................................................................................................................................................................23603. Burden of Proof ................................................................................................................................................................................................2362

D. REEMPLOYMENT RIGHTS ......................................................................................................................................................................................23621. RPL Rights Prior to Effective Date of RIF ...................................................................................................................................................23752. Remedies in RPL Appeals .............................................................................................................................................................................23773. Transitional Assistance ...................................................................................................................................................................................2378

III. RIF CHALLENGES ...............................................................................................................................................................................................................2378A. BURDENS OF PROOF ..............................................................................................................................................................................................2378

1. Agency Responsibility ...................................................................................................................................................................................23782. Prima Facie Case ................................................................................................................................................................................................23793. Qualifications of Employees; Assignment Rights ................................................................................................................................23794. Classification Disputes ....................................................................................................................................................................................2379

B. BONA FIDE RIFS: LOSURE .......................................................................................................................................................................................23801. Substantive Rights/Harmful Error ..............................................................................................................................................................23812. RIF as Adverse Action ......................................................................................................................................................................................23833. Challenges to Reorganizations ...................................................................................................................................................................2387

a. Reorganization Defined; Single Position RIF .................................................................................................................................2387b. Managerial Discretion ............................................................................................................................................................................2387c. Funding Decisions ..................................................................................................................................................................................2388d. Redistribution of Duties .......................................................................................................................................................................2390e. Planning for Future Events ..................................................................................................................................................................2391f. Comparative Qualifications as a Factor in Selection of Jobs for RIF .....................................................................................2391g. Contribution to Agency Mission; Funding of Individual Positions .......................................................................................2392h. Contracting Out Challenge .................................................................................................................................................................2392

xlvi TablE of CoNTENTs

i. Sham or Paperwork Reorganizations: Old and New Positions Identical; Delayed Reorganization ...........................2393j. Merit Promotion and Hiring During RIF ..........................................................................................................................................2396k. Events Preceding and Subsequent to RIF ......................................................................................................................................2396

C. DISCRIMINATION DEFENSES ...............................................................................................................................................................................23971. Age ........................................................................................................................................................................................................................24012. Religion ................................................................................................................................................................................................................2402

D. PROCEDURAL MATTERS .......................................................................................................................................................................................24021. Internal Procedures ........................................................................................................................................................................................24022. Timing of Job Offers; Timing of Release of Employees ......................................................................................................................24023. Correction of Retention Standing Errors ................................................................................................................................................2403

a. Allowing Inspection of Records ........................................................................................................................................................24034. Adequacy of RIF Notice .................................................................................................................................................................................2403

CHAPTER 11: HARMFUL ERROR ............................................................................... 2405I. STATUTORY STANDARD ................................................................................................................................................................................................2405

A. HARMFUL ERROR DEFINED ..................................................................................................................................................................................24051. Parker ....................................................................................................................................................................................................................24062. Might Have/Would Have Analysis .............................................................................................................................................................2407

B. HARMFUL ERROR APPLIED ..................................................................................................................................................................................24081. Mixing Harmful Error and Other Doctrines .............................................................................................................................................2408

a. Mitigation of Penalties ...........................................................................................................................................................................2408b. Prohibited Personnel Practices ..........................................................................................................................................................2408c. Reduction in Force ..................................................................................................................................................................................2408

2. Statutory and Regulatory Violations; Action Not in Accordance With Law ................................................................................2408a. Unfair Labor Practices ............................................................................................................................................................................2409b. Privacy Act; Disclosure of Confidential Information ..................................................................................................................2411c. Constitution ...............................................................................................................................................................................................2412

3. Collective Bargaining Agreement Violations .........................................................................................................................................2412a. Contract Coverage ..................................................................................................................................................................................2415b. Impact of Arbitration Awards .............................................................................................................................................................2415c. Employment Contracts ..........................................................................................................................................................................2415

4. Problems With Representation....................................................................................................................................................................2415a. Cautionary Notes to Counsel ..............................................................................................................................................................2416

II. ERROR IN PRELIMINARY PROCEDURES ....................................................................................................................................................................2416A. AGENCY INVESTIGATIONS ....................................................................................................................................................................................2416

1. Notion of Due Process ....................................................................................................................................................................................24172. Right to Counsel; Union Representatives ................................................................................................................................................24173. Entrapment ........................................................................................................................................................................................................24194. Agency Predecisional Hearing; Investigation ........................................................................................................................................2419

B. STALE CHARGES; LACHES ....................................................................................................................................................................................24201. General Rule .......................................................................................................................................................................................................24202. Agency Regulations; Collective Bargaining Agreements .................................................................................................................24223. Performance Cases .........................................................................................................................................................................................2422

C. ESTOPPEL; DOUBLE JEOPARDY ..........................................................................................................................................................................24221. Estoppel ..............................................................................................................................................................................................................24222. Double Jeopardy ..............................................................................................................................................................................................2422

III. ERRORS IN PROPOSAL NOTICE AND REPLY PROCESS ......................................................................................................................................2425A. BASIC RIGHTS ............................................................................................................................................................................................................2425

1. Pre-Decision Proposal Not Mandated in Some Cases as a Constitutional Requirement if Due Process Is Provided Following Decision ..........................................................................................................................................................................................2428

2. Right to Counsel ..............................................................................................................................................................................................2430B. PROPOSAL NOTICE ..................................................................................................................................................................................................2430

1. Purpose of Notice ............................................................................................................................................................................................2430a. Technical Deficiencies ...........................................................................................................................................................................2432b. Failure to Provide Notice of Appeal Rights ....................................................................................................................................2432c. Errors in Dates ..........................................................................................................................................................................................2432d. Other Minor Errors .................................................................................................................................................................................2432e. Assessing Sufficiency of Charge .........................................................................................................................................................2433

2. Only Conduct Described ...............................................................................................................................................................................2438a. Conduct After Date of Proposal Notice ..........................................................................................................................................2440b. Amendment of Charges ........................................................................................................................................................................2440

GuiDE To MsPb law aND PRaCTiCE xlvii

3. Framing of Charges ........................................................................................................................................................................................2440a. General Charges; Detailed Narratives; Otero and Cross ............................................................................................................2440b. Variation Between Stated Charge and Supporting Narrative or Specifications; Nazelrod and Lachance ...............2443c. Splitting of Charges ...............................................................................................................................................................................2449d. Independent Elements of Single Charge .......................................................................................................................................2451e. Multiple Specifications Supporting a Single Charge .................................................................................................................2454f. Lesser Included Offenses ......................................................................................................................................................................2457g. Past Discipline; Performance Record; Aggravating Factors .....................................................................................................2457

4. Citation of Conduct Standards ....................................................................................................................................................................24585. Charges Tied to Penalty Table Classifications .........................................................................................................................................24586. Criminal Charges ..............................................................................................................................................................................................24597. Mixing Chapters 43 and 75 ..........................................................................................................................................................................24598. Cumulative Charges; Merger of Charges; Charge of “Unbecoming Conduct” ..........................................................................24609. Service of Notice ...............................................................................................................................................................................................246210. References to Statutory Rights; Notice of MSPB Appeal Rights .....................................................................................................2465

C. INADEQUATE REPLY AND NOTICE PERIOD ...................................................................................................................................................24651. Calculation .........................................................................................................................................................................................................24652. Not Less Than Seven Days for Reply .........................................................................................................................................................24653. 30–Day Advance Notice of Action ............................................................................................................................................................2468

D. SHORTENED NOTICE PERIOD ..............................................................................................................................................................................24691. Procedure to Invoke Shortened Notice ...................................................................................................................................................24692. Reasonable Cause to Believe .......................................................................................................................................................................2470

a. Arrest, Warrant .........................................................................................................................................................................................2471b. Conduct Caused by Mental Impairment .........................................................................................................................................2471

3. Emergency Suspensions for Reasons Other Than Reasonable Belief of Crime Subject to Penalty of Incarceration ..2472E. FAILURE TO PROVIDE EVIDENCE FILE, OTHER INFORMATION ...............................................................................................................2472

1. Loss or Destruction of Evidence .................................................................................................................................................................2474F. ORAL AND WRITTEN REPLIES ..............................................................................................................................................................................2475

1. Proof of Harm.....................................................................................................................................................................................................24762. Waiver of Reply Right .....................................................................................................................................................................................2479

a. Extension Requests ................................................................................................................................................................................24793. Reply Officer’s Recommendation ...............................................................................................................................................................24814. Right to Confrontation ...................................................................................................................................................................................24815. Inadequate Representation ..........................................................................................................................................................................2482

G. AGENCY DECISIONAL PROCEDURES; EX PARTE COMMUNICATIONS ..................................................................................................24821. Early Law From Courts ....................................................................................................................................................................................24822. Sullivan; Regulatory Prohibitions; Adverse External Influences ......................................................................................................24853. Stone; Current, Broadened Due Process Test ..........................................................................................................................................24884. Early Law From MSPB .....................................................................................................................................................................................24935. Deciding Official Consults Witnesses, Advisors; Information Not Disclosed to Employee ...................................................2495

a. Information From Witnesses ................................................................................................................................................................2495b. Impact of 5 USC 2302(b)(2) ..................................................................................................................................................................2497c. Reports and Investigations .................................................................................................................................................................2497d. Advisors .......................................................................................................................................................................................................2497e. Information Pertaining to Aggravation or Mitigation of Penalty; Ward ..............................................................................2497f. Past Discipline as Rebuttal to Mitigation ........................................................................................................................................2505

6. Proposing and Deciding Officials Confer ................................................................................................................................................25057. Predisposition to Initiate Adverse Action; Offers to Permit Resignation; Uninformed Deciding Official ........................2506

a. Malicious Initiation of Action .............................................................................................................................................................25078. Deciding Official Who Is Biased or Whose Decision Is Directed ......................................................................................................25079. Involvement of OSC.........................................................................................................................................................................................250810. Changes in Proposing, Deciding Officials ..............................................................................................................................................250911. Lack of Authority ..............................................................................................................................................................................................2511

a. Deciding Official ......................................................................................................................................................................................2511b. Proposing Official ....................................................................................................................................................................................2512

12. Pending Retirement Application ...............................................................................................................................................................251213. Specificity of Decision Letter ........................................................................................................................................................................2512

a. No Decision Letter ...................................................................................................................................................................................2513b. Retroactive Decision Letter ..................................................................................................................................................................2513

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CHAPTER 12: DISCRIMINATION ............................................................................... 2515I. DISCRIMINATION ISSUES ..............................................................................................................................................................................................2515

A. PROCEDURES IN MIXED CASES ..........................................................................................................................................................................25151. Multiple Agency Review Process ................................................................................................................................................................2517

a. Constructive Adverse Actions ............................................................................................................................................................25182. Multiple Filing Options; Pleading Requirements; Timing of MSPB Appeal ................................................................................2518

a. Withdrawal or Abandonment of EEO Allegations ......................................................................................................................2519b. Authority of Judge to Strike Frivolous EEO Allegations; Summary Judgment ................................................................2519

3. Jurisdictional Problems With EEO Complaints .....................................................................................................................................2522a. Filing Dates ...............................................................................................................................................................................................2522b. Timeliness of EEO Complaint .............................................................................................................................................................2524c. EEO Class Actions ....................................................................................................................................................................................2527d. EEO Complaint Withdrawn...................................................................................................................................................................2528e. What Constitutes a Complaint ...........................................................................................................................................................2529f. Coextensive Issues; Scope of Complaint .........................................................................................................................................2530g. EEO Complaints Involving Proposed Actions ...............................................................................................................................2530h. Premature Appeals ................................................................................................................................................................................2531

4. Duty to Resolve Issues and Inform Appellant of Elements of Proof ..............................................................................................25315. Jurisdiction Over Appealable Action; Constructive Adverse Actions ...........................................................................................2532

a. Probationary Employees .......................................................................................................................................................................25346. Election of Remedies .....................................................................................................................................................................................2534

a. Grievances Under Negotiated Agreements ...................................................................................................................................2534b. EEO Complaints ........................................................................................................................................................................................2534

7. MSPB Remands; EEOC Remands .................................................................................................................................................................25368. Strategic Considerations ...............................................................................................................................................................................2538

B. BURDEN OF PROOF ................................................................................................................................................................................................25391. Prima Facie Case ................................................................................................................................................................................................25392. Analysis Following Establishment of a Prima Facie Case ...................................................................................................................2543

a. Analysis of Motivation, Pretext ..........................................................................................................................................................2544b. Proof That Discriminatory Action Would Have Been Taken Without Impermissible Motive; Dual Motivation .....2545c. Element of Intent; Employer Error ....................................................................................................................................................2551d. Significance of Agency’s Proof of Charges ....................................................................................................................................2552e. Significance of Agency’s Failure to Prove Charges .....................................................................................................................2553f. Comparable Employees; Dissimilar Treatment .............................................................................................................................2554

C. EVIDENCE ....................................................................................................................................................................................................................25601. Direct Evidence; Taint of Agency Officials ...............................................................................................................................................25612. Circumstantial Evidence; Presumptions ..................................................................................................................................................25623. Disparate Impact .............................................................................................................................................................................................25654. Statistics ..............................................................................................................................................................................................................25665. Supervisory Practices; Remarks...................................................................................................................................................................2567

D. FORMS OF DISCRIMINATION ..............................................................................................................................................................................25681. Race ......................................................................................................................................................................................................................25682. Age .......................................................................................................................................................................................................................25693. Religion ................................................................................................................................................................................................................25734. Marital Status .....................................................................................................................................................................................................25755. Pregnancy ...........................................................................................................................................................................................................25756. Sexual Orientation ..........................................................................................................................................................................................25757. Retirement Cases: Application by OPM of Statutory Requirements .............................................................................................2576

E. REPRISAL......................................................................................................................................................................................................................25761. Collateral Personnel Actions of Evidentiary Weight in an EEO Affirmative Defense ................................................................25842. Taint of Reprisal by Lower Level Officials .................................................................................................................................................25853. Rebuttal Evidence; Pretext ............................................................................................................................................................................2586

II. REHABILITATION ACT: DISABLING CONDITIONS .................................................................................................................................................2586A. REGULATORY STRUCTURE ....................................................................................................................................................................................2587B. PRIMA FACIE CASE ...................................................................................................................................................................................................2592

1. Individuals Regarded or Perceived as Disabled ....................................................................................................................................25942. Substantial Limitation of Major Life Activity .........................................................................................................................................2600

a. Life Activity of Working ........................................................................................................................................................................26023. Order and Burden of Proof ............................................................................................................................................................................2606

a. Mixed Motive Analysis ...........................................................................................................................................................................26134. Causal Connection ...........................................................................................................................................................................................2615

GuiDE To MsPb law aND PRaCTiCE xlix

5. Transitory or Temporary Disability .............................................................................................................................................................2617a. Corrected or Mitigated Condition .....................................................................................................................................................2619

6. Limitation on General Employability ........................................................................................................................................................2619a. Allergies ......................................................................................................................................................................................................2621b. Stress Disorders .......................................................................................................................................................................................2623c. Other Mental Disability; Proof of Disability ....................................................................................................................................2628

7. Conditions Not Protected by Rehabilitation Act ..................................................................................................................................2629a. Gambling Compulsion .........................................................................................................................................................................2629b. Sexual Disorders .....................................................................................................................................................................................2630

8. Qualified Disabled Employee ......................................................................................................................................................................2630a. Dangerousness; Risk Assessment .....................................................................................................................................................2631b. Lack of Medical Release .......................................................................................................................................................................2636

9. Knowledge of Disability .................................................................................................................................................................................2636a. When Disability Claim or Defense Must Be Raised .....................................................................................................................2637

10. Suggesting Nonapparent Accommodation; Duty of Reasonable Inquiry ..................................................................................2639a. Interactive Process ..................................................................................................................................................................................2639

C. ACCOMMODATION THROUGH JOB RESTRUCTURING ..............................................................................................................................26411. Light Duty and Job Modification ................................................................................................................................................................2641

a. Lifting Requirements ..............................................................................................................................................................................2645b. Postal Service Collective Bargaining Agreements .......................................................................................................................2647c. Inappropriate Job Modification; Increased Job Burdens .........................................................................................................2648

2. Modifications to Job Equipment ...............................................................................................................................................................26483. Alteration of Work Schedule, Worksite; Telework .................................................................................................................................2651

a. Alteration of Training Requirements ................................................................................................................................................2657D. ACCOMMODATION THROUGH REASSIGNMENT .........................................................................................................................................2658

1. Ignacio .................................................................................................................................................................................................................26592. Evaluation of Reassignment Efforts ..........................................................................................................................................................2662

a. Reassignments Across Organizational Lines .................................................................................................................................2666E. ALTERNATIVE ACCOMMODATIVE REQUIREMENTS ....................................................................................................................................2672

1. Collective Bargaining Agreements ............................................................................................................................................................26722. Agency Regulations .......................................................................................................................................................................................26723. Restoration From Compensable Injury ...................................................................................................................................................26734. Demotion; Promotion .....................................................................................................................................................................................26735. Modification of Agency Policies, Facilities...............................................................................................................................................26756. Job Training; Changes in Supervision ......................................................................................................................................................26767. Referral for Counseling ...................................................................................................................................................................................2679

F. AGENCY DEFENSES .................................................................................................................................................................................................26791. Disqualifying Misconduct .............................................................................................................................................................................26792. Undue Hardship ................................................................................................................................................................................................2680

a. Unreasonable Accommodations .......................................................................................................................................................2682b. Restrictions in Collective Bargaining Agreements ......................................................................................................................2684

3. Rebuttal ...............................................................................................................................................................................................................2685a. Lack of Qualifications for Position .....................................................................................................................................................2685b. Receipt of Disability Annuity ...............................................................................................................................................................2686

4. Restriction on Remedy ..................................................................................................................................................................................2687G. ALCOHOLISM AND SUBSTANCE ABUSE ..........................................................................................................................................................2687

1. Necessity for Accommodation: Ruzek .......................................................................................................................................................2688a. Suitability ....................................................................................................................................................................................................2690b. Postal Service Employees .....................................................................................................................................................................2691

2. Notice of Disability ...........................................................................................................................................................................................2691a. Agency Requests for Information ......................................................................................................................................................2691

3. Proof of Disease ................................................................................................................................................................................................26924. Causal Connection: Misconduct Caused by Disease ..........................................................................................................................2693

a. Use of Alcohol or Drugs on the Job ..................................................................................................................................................2697b. Revocation of Driver’s License ............................................................................................................................................................2697c. Possession of Drugs ................................................................................................................................................................................2697d. Misappropriation or Theft of Drugs ..................................................................................................................................................2698e. Misappropriation of Funds ..................................................................................................................................................................2698

5. Qualified Disabled Employee; Hougens and Disqualifying Conduct ............................................................................................2699a. Current Substance Abusers .................................................................................................................................................................2702b. Disqualifying Misconduct: Removal Appropriate ........................................................................................................................2704

l TablE of CoNTENTs

c. Less Serious Conduct: Concurrent Rehabilitation and Discipline ..........................................................................................27096. Firm Choice and Last Chance Agreements .............................................................................................................................................2711

a. Requirements of Collective Bargaining Agreements, Agency Regulations .......................................................................2714b. Failed Rehabilitation Attempt .............................................................................................................................................................2715

7. Undue Hardship ...............................................................................................................................................................................................2718III. AVENUES OF FURTHER REVIEW OF EEO DEFENSES ..........................................................................................................................................2719

A. EEOC REVIEW .............................................................................................................................................................................................................2719B. SPECIAL PANEL REVIEW .........................................................................................................................................................................................2720C. JUDICIAL REVIEW .....................................................................................................................................................................................................2726

1. Scope of District Court Review ....................................................................................................................................................................2727a. Effect of District Court Review ...........................................................................................................................................................2728b. Time for District Court Review; Tolling or Estoppel; Exhaustion of Remedies ..................................................................2731

2. Effect of Waiver of EEO Claims ....................................................................................................................................................................2734

CHAPTER 13: PROHIBITED PERSONNEL PRACTICES ....................................... 2735I. OVERVIEW ............................................................................................................................................................................................................................2735

A. SIGNIFICANCE OF DISCOVERY ............................................................................................................................................................................2737II. TYPES OF PROHIBITED PERSONNEL PRACTICES .................................................................................................................................................2737

A. WHISTLEBLOWING REPRISAL ..............................................................................................................................................................................27391. Statutory Definition Controls .......................................................................................................................................................................2739

a. Disclosure of Potential Harm or Wrongdoing ...............................................................................................................................2740b. “Gross” Waste or Mismanagement ....................................................................................................................................................2741c. Violations of Laws, Rules, and Regulations ....................................................................................................................................2747d. Abuse of Authority ..................................................................................................................................................................................2754e. Threats to Public Health and Safety ..................................................................................................................................................2759

2. Disputes Over Form of Whistleblowing ..................................................................................................................................................2784a. Complaints to Wrongdoers ..................................................................................................................................................................2784b. Disclosure to Someone Who Cannot Directly Remedy the Problem ....................................................................................2786c. Minor Personal Grievances...................................................................................................................................................................2788d. Internal Disagreements .........................................................................................................................................................................2788e. Information Disclosed Through Normal or Ordinary Duties; Disclosure Through Extraordinary Means ................2789f. Required Reports Under Office of Government Ethics Rules, E.O. 12675 ...........................................................................2800g. Communications Indirectly Involving the Government ...........................................................................................................2800h. Communications to News Media; Congress ..................................................................................................................................2802i. Complaints to the Inspector General ...............................................................................................................................................2802j. Disclosure of Information Already Known or Public ...................................................................................................................2803k. Sequential Allegations ..........................................................................................................................................................................2805

3. Whistleblowing No Shield Against Misconduct ....................................................................................................................................2805a. Abusive Whistleblowers; Robust Language; Chain of Command ..........................................................................................2806b. Threatened Disclosures .........................................................................................................................................................................2809

4. Personnel Treated as Whistleblowers .......................................................................................................................................................2810a. Individuals Perceived as Whistleblowers ........................................................................................................................................2810b. Whistleblowers’ Aides, Associates .....................................................................................................................................................2813c. Individuals Serving as Conduits of Information; Internal Disclosures .................................................................................2814d. Former Employees ..................................................................................................................................................................................2814

5. Protected Disclosures .....................................................................................................................................................................................2814a. Reasonableness of Allegations; False Statements .......................................................................................................................2814b. Motivation of Whistleblower ...............................................................................................................................................................2819c. Information Developed After Disclosure ........................................................................................................................................2820d. Belief Shared by Other Employees; Disinterested Observer ....................................................................................................2820e. Response of Agency to Disclosure ....................................................................................................................................................2821f. Expertise of Whistleblower .................................................................................................................................................................2821g. Specificity of Disclosures ......................................................................................................................................................................2822h. Presumed Agency Good Faith; “Irrefragable Proof” Standard .................................................................................................2823

6. Unprotected Disclosures; Disputes Concerning Coverage of Disclosures Under 2302(b)(8) or 2302(b)(9) ....................2826a. Disclosures Prohibited by Law; Regulation Incorporating Statutory Provisions ..............................................................2826b. EEO Complaints ........................................................................................................................................................................................2834c. Other Appeals, Charges, FECA Claims, Grievances, and Complaints ....................................................................................2837

7. Disclosures Filed in Multiple Forums ........................................................................................................................................................2839B. PROHIBITED PRACTICES OTHER THAN WHISTLEBLOWING REPRISAL ...............................................................................................2842

1. Discrimination Proscribed by Civil Rights Laws; 5 USC 2302(b)(1)(A) ...........................................................................................2842

GuiDE To MsPb law aND PRaCTiCE li

a. Sexual Harassment ..................................................................................................................................................................................28422. Improper Personnel Recommendations; 5 USC 2302(b)(2) ..............................................................................................................28423. Obstruction of Competition; 5 USC 2302(b)(4) .....................................................................................................................................28434. Influencing Employment Decision; 5 USC 2302(b)(5) .........................................................................................................................28435. Improper Preferences and Promotions; 5 USC 2302(b)(6) ................................................................................................................28446. 5 USC 2302(b)(9); Appeal Rights; Union Activity; OSC and IG Disclosures Not Qualifying for WPA Protection ............28467. Discrimination Unrelated to Job Performance; 5 USC 2302(b)(10) ...............................................................................................28478. Discrimination Against Veterans; 5 USC 2302(b)(11) ..........................................................................................................................28489. Violations of Merit System Principles; 5 USC 2302(b)(12) ..................................................................................................................2849

a. Failure to Provide Effective Training; 5 USC 2301(b)(7) ..............................................................................................................2852III. INDIVIDUAL RIGHT OF ACTION ...................................................................................................................................................................................2852

A. STATUTORY AND REGULATORY REQUIREMENTS ........................................................................................................................................28541. Time for Initiating IRA Appeal With OSC and MSPB ............................................................................................................................2858

a. Case That May Be Either Initiated With OSC or Appealed Directly to MSPB.......................................................................2859b. Premature Appeal Following Resort to OSC ..................................................................................................................................2860c. Belated Receipt of OSC Closeout Notice ........................................................................................................................................2860d. Late IRA Appeal; Calculation and Waiver of Appeal Period .....................................................................................................2861e. Equitable Tolling for IRA Appeal .........................................................................................................................................................2864f. Laches in Presentation of Complaint to OSC .................................................................................................................................2866

B. JURISDICTIONAL ISSUES ......................................................................................................................................................................................28671. Rusin Model: Nonfrivolous Allegations Establish Jurisdiction .........................................................................................................2868

a. Nonfrivolous Allegations Based on the Written Record ............................................................................................................2872b. Hearing ........................................................................................................................................................................................................2873

2. Jurisdictional Analysis Prior to Rusin ........................................................................................................................................................28743. Variations in Order of Proof ..........................................................................................................................................................................28754. Exhaustion of Remedies; Attempts to Amend Appeals to State New Claims ............................................................................2877

a. Exception to the Exhaustion Requirement: Otherwise Appealable Actions .....................................................................28805. Election and Preclusion of Remedies ........................................................................................................................................................2880

a. Grievance or MSPB Appeal...................................................................................................................................................................2881b. Exhaustion of OSC Processes; Direct Appeal to MSPB of Otherwise Appealable Action ..............................................2882c. EEO Complaint ..........................................................................................................................................................................................2884

6. Collateral Jurisdiction Over EEO Claims Presented in IRA Appeal Not Involving Otherwise Appealable Action .........28857. Jurisdiction Over Merits Determinations, Collateral Prohibited Personnel Practice, Constitutional,

and Discrimination Claims in Otherwise Appealable Actions Initiated Through OSC ............................................................28858. Status of Particular Agencies and Employees ........................................................................................................................................2886

a. Postal Service ............................................................................................................................................................................................2886b. Department of Veterans Affairs Title 38 Employees ...................................................................................................................2887c. National Guard Technicians .................................................................................................................................................................2891d. Federal Bureau of Investigation .........................................................................................................................................................2894e. Judicial Branch Employees ...................................................................................................................................................................2894f. Federal Reserve Board ...........................................................................................................................................................................2894g. NAF Employees ........................................................................................................................................................................................2895h. Independent Counsel ............................................................................................................................................................................2895i. Federal Aviation Administration ........................................................................................................................................................2895j. Transportation Security Agency ........................................................................................................................................................2896k. Foreign Intelligence, Counterintelligence Agencies, Foreign Nationals .............................................................................2899l. Defense Intelligence Agency ..............................................................................................................................................................2902m. Government Corporations ..................................................................................................................................................................2902n. Other Entities ............................................................................................................................................................................................2902o. Experts and Consultants; Personnel Appointed Outside Title 5 .............................................................................................2902p. Lawyers .......................................................................................................................................................................................................2904q. Former Employees ..................................................................................................................................................................................2905r. Employees of Agencies Other Than the Agency Charged With Reprisal ............................................................................2906s. Employees in the Private Sector; Applicants for Employment ................................................................................................2907t. Uniformed Services .................................................................................................................................................................................2908

9. Retroactivity of Whistleblower Amendments; Continuing Violations ..........................................................................................2909C. PLEADING REQUIREMENTS .................................................................................................................................................................................2910

1. Duty of Judge to Inform Appellant of Jurisdictional Requirements ..............................................................................................29102. Specificity of Underlying Whistleblower Disclosures; Labeling of Disclosures Not Required ..............................................29113. Pleading to OSC ................................................................................................................................................................................................2914

a. Classification or Labeling of Disclosures Not Required .............................................................................................................2920

lii TablE of CoNTENTs

b. Curative Filings With OSC ....................................................................................................................................................................2922c. Proof of Scope of Complaint Made to OSC; Post-Complaint Submissions .........................................................................2922d. Serial Complaints to OSC ......................................................................................................................................................................2924e. OSC Closeout Letter ................................................................................................................................................................................2924

4. Pleading to the MSPB ....................................................................................................................................................................................2925D. EXCLUDED AND COVERED PERSONNEL ACTIONS .....................................................................................................................................2926

1. Threatened Personnel Actions ....................................................................................................................................................................2926a. Proposed Actions; Disputes Arising During Compliance ..........................................................................................................2929

2. Failure to Take Personnel Action .................................................................................................................................................................29303. Performance Appraisal; Evaluations of Qualifications or Abilities ..................................................................................................29324. Awards and Acts Preliminary to Awards ..................................................................................................................................................29325. Denial of Salary Step Increase .....................................................................................................................................................................29336. Promotions .........................................................................................................................................................................................................29337. Decisions Concerning Leave; Changes in Duties; Idling; Overtime; Harassment .....................................................................2934

a. Degree of Significance of Change of Duties, Responsibilities, or Working Conditions ..................................................29358. Reprimands; Admonitions; Counseling; Performance Warnings; Performance Improvement Periods ..........................29359. Suspensions .......................................................................................................................................................................................................293710. Probationary Terminations ...........................................................................................................................................................................293711. Failure to Renew Appointment; Failure to Reinstate ..........................................................................................................................293812. Reassignments, Transfers, and Details ......................................................................................................................................................293813. Fitness Examinations ......................................................................................................................................................................................293914. Security Clearance Suspension and Revocation; Other Certifications..........................................................................................294015. Training ................................................................................................................................................................................................................294416. Defamatory Statements; Torts; Arrest; False Allegations ...................................................................................................................294517. Reductions in Force .........................................................................................................................................................................................294518. Classification Matters ......................................................................................................................................................................................294619. Constructive Adverse Actions ......................................................................................................................................................................294620. Actions Affecting Private Sector Employment Opportunities ........................................................................................................294921. Other Actions .....................................................................................................................................................................................................2949

E. REMEDIES ....................................................................................................................................................................................................................2950IV. CASES BROUGHT BY OSC ..............................................................................................................................................................................................2950

A. STATUTORY BASES ...................................................................................................................................................................................................29511. Corrective Action; Individual Right of Action Cases; Stays ................................................................................................................29512. Disciplinary Cases.............................................................................................................................................................................................29523. Hatch Act; FOIA Violations ............................................................................................................................................................................2953

B. ORGANIZATION OF OSC ........................................................................................................................................................................................29551. Organizational Structure ...............................................................................................................................................................................2955

a. Representation of Witnesses Interviewed by OSC ......................................................................................................................29562. Disclosure Unit ..................................................................................................................................................................................................29573. MSPB Referrals to OSC ....................................................................................................................................................................................29574. Judicial or Administrative Findings of Discrimination by Federal Employees; 5 USC 1216(a)(5) .......................................2957

C. OSC DISCIPLINARY CASES ...................................................................................................................................................................................29571. Limits on Prosecutorial Authority ...............................................................................................................................................................2958

a. Employees Who Take or Recommend Personnel Actions .........................................................................................................2959b. Prior Resort to Agency-Employer for Disciplinary Action ........................................................................................................2959

2. OSC Complaint ..................................................................................................................................................................................................29603. Rights of Employees and Respondents ....................................................................................................................................................29614. OSC Subpoenas; Discovery Procedures ...................................................................................................................................................29615. Hearing by Administrative Law Judge; MSPB Review .........................................................................................................................29626. Disciplinary Penalties ......................................................................................................................................................................................2962

D. OSC CORRECTIVE ACTIONS .................................................................................................................................................................................29671. Regulatory Provisions ....................................................................................................................................................................................29692. Filing a Complaint With OSC ........................................................................................................................................................................2970

a. OSC Deferral Policy on EEO Charges ................................................................................................................................................2971b. Proceedings to Compel OSC Action .................................................................................................................................................2971

E. LITIGATION WITH OSC ............................................................................................................................................................................................29741. Purpose of MSPB Hearing .............................................................................................................................................................................2974

a. Obtaining Records ..................................................................................................................................................................................2975b. Evidence From Other Investigations ................................................................................................................................................2975c. Dismissal of OSC Actions .....................................................................................................................................................................2975

2. Settlements of OSC Litigation .....................................................................................................................................................................2975

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3. Judicial Review of OSC and IRA Cases ......................................................................................................................................................2976a. Stays Pending Judicial Review ............................................................................................................................................................2976

V. BURDENS OF PROOF IN REPRISAL CASES ..............................................................................................................................................................2976A. ANALYSIS UNDER WHISTLEBLOWER PROTECTION ACT ..........................................................................................................................2976

1. Analysis Required by Judge ..........................................................................................................................................................................29762. Statutory and Regulatory Provisions ........................................................................................................................................................29773. Contributing Factor Analysis .......................................................................................................................................................................2977

a. Sequential Proof Not Required ..........................................................................................................................................................2978b. Per Se Timing/Knowledge Test ...........................................................................................................................................................2979c. Knowledge by Agency Managers of Appellant’s Whistleblowing; Constructive Knowledge .....................................2985d. Disclosure Follows the Personnel Action ........................................................................................................................................2987e. Settlement Offers ....................................................................................................................................................................................2989f. Reprisal Without Unlawful Motivation: Reprisal by Investigation—the Atypical Case ..................................................2989g. Charges Arising Out of Conduct During Retaliatory Investigation .......................................................................................2995h. OSC Corrective Action Cases ..............................................................................................................................................................2997

4. Otherwise Appealable Actions ..................................................................................................................................................................29985. Agency’s Clear and Convincing Evidence ...............................................................................................................................................29986. Evidence of Reprisal ........................................................................................................................................................................................3011

a. Strength of Agency’s Case; Probationers ........................................................................................................................................3013b. Strength of Motive to Retaliate ..........................................................................................................................................................3016c. Comparison Employees ........................................................................................................................................................................3016d. Preliminary Reprisals Leading to Later Personnel Actions .......................................................................................................3016

B. ANALYSIS FOR PROHIBITED PRACTICES NOT COVERED BY WPA .........................................................................................................30171. Mt. Healthy .........................................................................................................................................................................................................30202. Importance of Untainted Deciding Official ............................................................................................................................................30223. Timing of Actions .............................................................................................................................................................................................30254. Severity of Charged Misconduct ................................................................................................................................................................30265. Discipline Related to Refusal of Reassignment .....................................................................................................................................30276. Reprisal Against Individuals Involved in Union Activities ................................................................................................................30277. Performance Cases .........................................................................................................................................................................................30308. Disciplinary Cases Against Individuals Charged With Reprisal ........................................................................................................3030

a. Analysis by Agency Deciding Official ..............................................................................................................................................3037VI. STAYS OF PERSONNEL ACTIONS ...............................................................................................................................................................................3037

A. STAYS THROUGH INDIVIDUAL APPEALS .........................................................................................................................................................30371. Grounds for Stays ............................................................................................................................................................................................3039

a. Intervention by OPM ..............................................................................................................................................................................30412. Scope of Stay .....................................................................................................................................................................................................30413. MSPB Review of Judge’s Stay Decision .....................................................................................................................................................3042

B. STAYS THROUGH OSC PROCEEDINGS .............................................................................................................................................................30421. Statutory and Regulatory Provisions .......................................................................................................................................................3043

a. OSC Stay Policy .........................................................................................................................................................................................30452. Initial Stays ..........................................................................................................................................................................................................3045

a. Potential for Disruption by Employee Return to Workplace ...................................................................................................3046b. Obtaining Clarification of Stay Order ..............................................................................................................................................3046

3. Extensions of Stays ..........................................................................................................................................................................................3046a. Indefinite Stays .........................................................................................................................................................................................3050

4. Proof Supporting Stay Applications .........................................................................................................................................................30505. Nature of Relief..................................................................................................................................................................................................30506. Termination of the Stay ..................................................................................................................................................................................30517. Relation of Stay and Appeals Proceedings ............................................................................................................................................30528. Use of Stays to Protect Other Proceedings .............................................................................................................................................3052

a. EEO Cases ..................................................................................................................................................................................................3052b. Union Rights Under Statute .................................................................................................................................................................3052

9. Employees Covered by Stays ......................................................................................................................................................................3052a. SES ................................................................................................................................................................................................................3052b. Presidential Appointees; Policymakers ...........................................................................................................................................3052c. At Will Employees ...................................................................................................................................................................................3053

liv TablE of CoNTENTs

CHAPTER 14: RETIREMENT AND REEMPLOYMENT .......................................... 3055 BY EDWARD H. PASSMANI. NATURE OF DISABILITY AND OTHER RETIREMENT ............................................................................................................................................3055

A. DISABILITY RETIREMENT ......................................................................................................................................................................................3055B. OPTIONAL RETIREMENT ........................................................................................................................................................................................3055

1. Creditable and Covered Service .................................................................................................................................................................30562. Retirement Benefits ........................................................................................................................................................................................3057

a. Conversion To and From FERS .............................................................................................................................................................3058b. Lump Sum Payment; Alternative Annuity .....................................................................................................................................3059c. Disqualification ........................................................................................................................................................................................3060

C. EARLY RETIREMENT; DISCONTINUED SERVICE ANNUITY .......................................................................................................................3060D. DEATH BENEFITS ......................................................................................................................................................................................................3060E. WORKERS’ COMPENSATION .................................................................................................................................................................................3062

1. Election of Benefits ..........................................................................................................................................................................................3062II. DISABILITY DEFINED AND ELIGIBILITY REQUIREMENTS .................................................................................................................................3062

A. STATUTORY REQUIREMENTS ..............................................................................................................................................................................30621. Useful and Efficient Service ..........................................................................................................................................................................30622. Qualified for Reassignment ..........................................................................................................................................................................3062

B. FEDERAL EMPLOYEES .............................................................................................................................................................................................30631. Contract, Nonappropriated Fund Employees .......................................................................................................................................3063

C. QUALIFYING SERVICE .............................................................................................................................................................................................30631. Regular Employment .....................................................................................................................................................................................3063

a. Part-Time and WAE Service .................................................................................................................................................................3064b. Disability Retirement ..............................................................................................................................................................................3064

2. Military Service .................................................................................................................................................................................................30653. International Organizations ........................................................................................................................................................................30674. Reemployed Annuitants ...............................................................................................................................................................................30675. Workers’ Compensation Benefits ...............................................................................................................................................................30676. Lost Records .......................................................................................................................................................................................................3068

D. WITHDRAWAL OF CONTRIBUTIONS .................................................................................................................................................................3068E. MEDICAL CONDITION AND REASONABLE ACCOMMODATION ............................................................................................................3069

1. Medical Condition ...........................................................................................................................................................................................3069a. Documentation .......................................................................................................................................................................................3069

2. Disability Accommodation ...........................................................................................................................................................................3070III. APPLICATION, RECONSIDERATION, AND APPEALS ...........................................................................................................................................3071

A. WHO MAY APPLY .....................................................................................................................................................................................................30711. Legal Representative; Spouse; Substitution ..........................................................................................................................................30712. Employing Agency .........................................................................................................................................................................................3071

B. WHEN DISABILITY RETIREMENT APPLICATION MUST BE FILED ..........................................................................................................3072C. APPLICATION FORM ................................................................................................................................................................................................3075

1. Basic Steps .........................................................................................................................................................................................................30752. Effective Date .....................................................................................................................................................................................................30753. Withdrawal of Application ...........................................................................................................................................................................30754. Effect of Misleading Advice .........................................................................................................................................................................3075

D. RECONSIDERATION BY OPM ................................................................................................................................................................................30761. Application ........................................................................................................................................................................................................30762. Procedure ...........................................................................................................................................................................................................3077

E. MSPB APPEALS ..........................................................................................................................................................................................................30771. Time for Appeal ................................................................................................................................................................................................3078

a. Jurisdictional Issues and Settlements ..............................................................................................................................................30802. MSPB Discovery and Hearing Procedures ..............................................................................................................................................30813. Burden of Proof ................................................................................................................................................................................................3082

a. Chavez and Bruner ..................................................................................................................................................................................3082b. Evidence in Employee-Initiated Appeals; Partial Disability .....................................................................................................3083c. Sanctions ...................................................................................................................................................................................................3083d. Agency-Initiated Applications ...........................................................................................................................................................3084

4. Hearing and Evidence ...................................................................................................................................................................................3084a. Hearing .......................................................................................................................................................................................................3084b. Objective Evidence ................................................................................................................................................................................3085c. Subjective Evidence ..............................................................................................................................................................................3085d. Evaluation of Evidence and Issues Raised .....................................................................................................................................3085

GuiDE To MsPb law aND PRaCTiCE lv

5. Petitions for Review ........................................................................................................................................................................................3086a. Timeliness ..................................................................................................................................................................................................3086b. Standards of Review ..............................................................................................................................................................................3089c. New Evidence ..........................................................................................................................................................................................3089d. Interim Relief .............................................................................................................................................................................................3089

6. Remands, Dismissal Without Prejudice, and Reconsideration .........................................................................................................3089a. Remands and Dismissals Without Prejudice ..................................................................................................................................3089b. Reconsideration ......................................................................................................................................................................................3090c. Stays ............................................................................................................................................................................................................3090

7. Judicial Review ..................................................................................................................................................................................................30908. Compliance .......................................................................................................................................................................................................3091

IV. SPECIFIC AILMENTS ........................................................................................................................................................................................................3092A. HEART DISEASE .........................................................................................................................................................................................................3092B. STRESS AND HYPERTENSION ..............................................................................................................................................................................3092C. NEUROMUSCULAR ILLNESSES ..........................................................................................................................................................................3093

1. Arthritis ...............................................................................................................................................................................................................30932. Back, Neck and Shoulder Problems ..........................................................................................................................................................30943. Pain in or Disability of Extremities .............................................................................................................................................................3096

D. PULMONARY DISEASE ..........................................................................................................................................................................................3096E. PSYCHIATRIC PROBLEMS ......................................................................................................................................................................................3097F. ALCOHOLISM AND DRUG USE ............................................................................................................................................................................3099G. MISCELLANEOUS ....................................................................................................................................................................................................3099

1. Neurological .......................................................................................................................................................................................................30992. Diabetes ..............................................................................................................................................................................................................31003. Visual Problems ................................................................................................................................................................................................31004. Hearing Difficulties ..........................................................................................................................................................................................31005. Other Problems ................................................................................................................................................................................................3101

V. TERMINATION OF DISABILITY RETIREMENT .........................................................................................................................................................3101A. STATUTORY PROVISIONS .....................................................................................................................................................................................3101B. BURDEN OF PROOF .................................................................................................................................................................................................3101

1. Estoppel; Settlement Agreements ............................................................................................................................................................3102C. MEDICAL RECOVERY ...............................................................................................................................................................................................3102D. RECURRENCE OF DISABILITY ..............................................................................................................................................................................3102E. RESTORATION OF EARNING CAPACITY ...........................................................................................................................................................3103

1. Operative Pay Rate ..........................................................................................................................................................................................3103a. Basic or Current Rate of Pay ................................................................................................................................................................3103b. Postal Cost of Living Adjustments ....................................................................................................................................................3103

2. Possibility of Promotion ................................................................................................................................................................................31033. Effect of Annuity Income ..............................................................................................................................................................................31034. Miscellaneous Income and Deductions ..................................................................................................................................................31045. Estoppel ..............................................................................................................................................................................................................3104

VI. SURVIVOR ANNUITY PROBLEMS ...............................................................................................................................................................................3104A. OVERVIEW OF SURVIVOR ANNUITIES .............................................................................................................................................................3104

1. Election Options ...............................................................................................................................................................................................3104a. Effective Date of Election ......................................................................................................................................................................3107

2. Children ..............................................................................................................................................................................................................31083. Health Benefits ..................................................................................................................................................................................................31084. Insurable Interest ............................................................................................................................................................................................31095. Allotments; Assignments .............................................................................................................................................................................3109

B. REVIEW OF OPM DECISIONS ..............................................................................................................................................................................31091. Jurisdiction ........................................................................................................................................................................................................31092. Intervenors ........................................................................................................................................................................................................31093. Judicial Review .................................................................................................................................................................................................3110

C. COMPETENCY TO MAKE ELECTION .................................................................................................................................................................3110D. PROBLEMS WITH FILING FORMS AND ELECTIONS ...................................................................................................................................3110

1. Change in Election ..........................................................................................................................................................................................3110a. Waiver or Estoppel as to Time Limit for Changing Election ....................................................................................................3111

2. Election After New Marriage .......................................................................................................................................................................3112E. QUALIFYING NATURE OF MARITAL STATUS .................................................................................................................................................3114

1. Community Property Problems .................................................................................................................................................................31142. Divorce, Later Marriage, Common-Law Marriage ...............................................................................................................................3114

lvi TablE of CoNTENTs

VII. ANNUITY COMPUTATION AND DEDUCTION PROBLEMS ................................................................................................................................3115A. COMPUTATION OF BENEFITS .............................................................................................................................................................................3115

1. Significance of Individual Retirement Record .......................................................................................................................................31162. Effect of Court Order .......................................................................................................................................................................................31183. Conversion to Discontinued Service Annuity .......................................................................................................................................31214. COLAs ...................................................................................................................................................................................................................31215. Effect of Social Security Benefits .................................................................................................................................................................31216. Service Computation Problems .................................................................................................................................................................31227. Offsets to Annuities .........................................................................................................................................................................................3122

B. WAIVER OF OVERPAYMENTS ...............................................................................................................................................................................31221. Waiver Procedure ............................................................................................................................................................................................31222. Particular Cases of Waiver ............................................................................................................................................................................31253. Disputes Over Amounts of Overpayments ............................................................................................................................................3127

VIII. SPECIAL RETIREMENT PROVISIONS .........................................................................................................................................................................3127A. NATIONAL GUARD TECHNICIANS ......................................................................................................................................................................3127B. FIREFIGHTERS ............................................................................................................................................................................................................3128C. LAW ENFORCEMENT OFFICERS .........................................................................................................................................................................3128

1. Pre-Application Status Determination and Time Limits for Filing .................................................................................................31282. Actual Duties Performed ...............................................................................................................................................................................31303. What Constitutes Primary Law Enforcement Positions .....................................................................................................................3130

a. Position-Oriented Analysis ..................................................................................................................................................................31324. What Constitutes Secondary Law Enforcement Positions ...............................................................................................................3133

D. AIR TRAFFIC CONTROLLER AND AIR TRAFFIC CONTROL SPECIALIST RETIREMENT ....................................................................3133E. EARLY VOLUNTARY RETIREMENT AND DISCONTINUED SERVICE RETIREMENT .............................................................................3133

1. Burden of Proof .................................................................................................................................................................................................31342. Service Credit ....................................................................................................................................................................................................31343. Sanctions ............................................................................................................................................................................................................3134

IX. REEMPLOYMENT RIGHTS ..............................................................................................................................................................................................3134A. STATUTORY AND REGULATORY BASIS ............................................................................................................................................................3134

1. Basis for Separation of Employee ..............................................................................................................................................................3136B. RECOVERED EMPLOYEES ......................................................................................................................................................................................3140

1. Full Recovery .....................................................................................................................................................................................................3142a. Timeliness of Request for Restoration, MSPB Appeal ................................................................................................................3147

2. Partial Recovery ................................................................................................................................................................................................3147C. REASONS FOR DISQUALIFICATION ...................................................................................................................................................................3156D. MILITARY RETURN RIGHTS ..................................................................................................................................................................................3157

CHAPTER 15: ATTORNEY FEES .................................................................................. 3161I. ENTITLEMENT STANDARDS ..........................................................................................................................................................................................3161

A. STATUTORY AND REGULATORY BASIS FOR FEES ........................................................................................................................................31611. Use of Counsel; Licensure..............................................................................................................................................................................31622. Governing Statutes and Regulation ..........................................................................................................................................................3164

a. Civil Rights Statutes ...............................................................................................................................................................................31653. Jurisdiction Over Action Under Appeal ..................................................................................................................................................31664. Miscellaneous Appeals ..................................................................................................................................................................................3166

a. Regulation Review Proceedings ........................................................................................................................................................3166b. Retirement Cases .....................................................................................................................................................................................3166c. OSC Cases: Prohibited Personnel Practice and Hatch Act Litigation ...................................................................................3167d. USERRA; VEOA Appeals ........................................................................................................................................................................3173e. Sanctions ...................................................................................................................................................................................................3175

B. PREVAILING PARTY STATUS .................................................................................................................................................................................31751. Mitigation ............................................................................................................................................................................................................31772. Other Relief .........................................................................................................................................................................................................31773. Must Prevail Through MSPB Procedures ..................................................................................................................................................31794. Cancellation of Action Appealed ................................................................................................................................................................3179

a. Compliance Proceedings Mooted by Agency Action ...............................................................................................................31835. Settlements ........................................................................................................................................................................................................3186

a. Prevailing Party Status Through Settlement .................................................................................................................................3186b. Relief Through Settlement Must Be Related to MSPB Appeal .................................................................................................3188c. Interest of Justice Criteria ....................................................................................................................................................................3188d. MSPB Jurisdiction to Accept and Enforce Settlement Providing for Fees or Supporting Fee Motion .....................3189

GuiDE To MsPb law aND PRaCTiCE lvii

C. INTEREST OF JUSTICE: AN OVERVIEW .............................................................................................................................................................31931. Allen Decision ....................................................................................................................................................................................................3193

a. Financial Hardship ...................................................................................................................................................................................31942. Preservation of Claims Supporting Entitlement; Significance of Final Decision on Merits ..................................................3195

a. Overlapping Fee Entitlement Standards ........................................................................................................................................31953. Statutory Examples Not Exclusive .............................................................................................................................................................3196

D. BAD FAITH ..................................................................................................................................................................................................................31961. Malicious Action; Inadequate Inquiry ......................................................................................................................................................3196

a. Disparate Treatment ..............................................................................................................................................................................3197b. Mitigation ..................................................................................................................................................................................................3197

2. Unreasonable Litigation Tactics; Failure to Settle .................................................................................................................................3197a. Frivolous Petition for Review ..............................................................................................................................................................3197

3. Compliance .......................................................................................................................................................................................................3198E. CLEARLY WITHOUT MERIT OR WHOLLY UNFOUNDED ............................................................................................................................3198

1. Failure to Adhere to Legal Precedent ........................................................................................................................................................31982. Inadequate Initial Inquiry Into Facts ........................................................................................................................................................31993. Lack of Legitimate Basis for Agency Action ...........................................................................................................................................3199

a. Development of Dispositive Information During MSPB Appeal ............................................................................................3199b. Mitigation ..................................................................................................................................................................................................3200

4. Factual Disputes ...............................................................................................................................................................................................32005. Unacceptable Performance Actions .........................................................................................................................................................32016. Retirement Cases ..............................................................................................................................................................................................3202

a. Legal Error by OPM .................................................................................................................................................................................3205b. Erroneous Advice From OPM .............................................................................................................................................................3206c. Issue of Mental Incompetence ..........................................................................................................................................................3206

F. KNEW OR SHOULD HAVE KNOWN ...................................................................................................................................................................32081. Lack of Reasonable Inquiry ..........................................................................................................................................................................32092. Disregard of Legal Precedent ......................................................................................................................................................................32103. Regulatory Errors; RIFs ....................................................................................................................................................................................32104. Performance Cases .........................................................................................................................................................................................32115. Mitigation ...........................................................................................................................................................................................................3211

a. Not All Charges Sustained ...................................................................................................................................................................32146. Negligent Presentation of Case ..................................................................................................................................................................32157. Decision of Another Tribunal ......................................................................................................................................................................32158. Retirement Cases .............................................................................................................................................................................................3215

a. Failure of OPM to Evaluate Evidence Available During Reconsideration Process ...........................................................3215b. Legal Error by OPM ................................................................................................................................................................................3218

9. Settlements .......................................................................................................................................................................................................3218G. GROSS PROCEDURAL ERROR ..............................................................................................................................................................................3219

1. Denial of Advance Notice or Appeal Rights ..........................................................................................................................................3221a. Involuntary and Constructive Adverse Actions ...........................................................................................................................3222b. Enforced Leave .........................................................................................................................................................................................3222c. Indefinite and Emergency Suspensions .........................................................................................................................................3223

2. Mitigation ............................................................................................................................................................................................................32243. Performance Cases ..........................................................................................................................................................................................32244. RIF Cases .............................................................................................................................................................................................................3224

H. SUBSTANTIALLY INNOCENT .................................................................................................................................................................................32241. Yorkshire ..............................................................................................................................................................................................................32262. MSPB Treatment of Yorkshire .......................................................................................................................................................................32273. Appellant Who Ensnares the Agency .......................................................................................................................................................32294. Mitigation: Boese, VanFossen .......................................................................................................................................................................3229

a. Factually Close Case................................................................................................................................................................................3232b. Prior Law .....................................................................................................................................................................................................3233

5. Performance Cases .........................................................................................................................................................................................32346. Other Legal Errors ...........................................................................................................................................................................................3234

I. OTHER AUTHORITY FOR FEE AWARDS ...........................................................................................................................................................32341. Back Pay Act .......................................................................................................................................................................................................32342. Equal Access to Justice Act ..........................................................................................................................................................................3235

a. Administrative Law Judge Cases........................................................................................................................................................3237b. Basis for Compensating Court Time .................................................................................................................................................3238c. Prevailing Party .......................................................................................................................................................................................3239

lviii TablE of CoNTENTs

d. Substantial Justification ........................................................................................................................................................................3239e. Basis for Awarding MSPB Time ..........................................................................................................................................................3241f. Rates Under EAJA; Pro Bono or Contingent Representation; COLA; Expenses .................................................................3241g. Procedures Under EAJA; Time for Filing; Application ................................................................................................................3244h. Effect of EAJA on MSPB Litigation ....................................................................................................................................................3245

3. Civil Rights Cases .............................................................................................................................................................................................3245a. Results Achieved .....................................................................................................................................................................................3248

4. Prohibited Personnel Practice Cases ........................................................................................................................................................32485. USERRA; VEOA ...................................................................................................................................................................................................32496. Miscellaneous Claims; Equitable Assessment of Fees .........................................................................................................................3250

II. PROCEDURES FOR OBTAINING FEES .......................................................................................................................................................................3250A. HOW FEES ARE INCURRED ...................................................................................................................................................................................3250

1. Attorney-Client Relationship; Fee Payment ...........................................................................................................................................3250a. Law Clerks, Paraprofessionals; Pro Se Appellants .........................................................................................................................3250

2. Union Counsel ..................................................................................................................................................................................................3251a. Demise of the Cost–Plus Formula ......................................................................................................................................................3251b. History of the Cost–Plus Rule ..............................................................................................................................................................3254c. Repayment of Fees to Union Required ...........................................................................................................................................3255

3. Federally Employed Attorneys ...................................................................................................................................................................32554. Public Interest Organizations ......................................................................................................................................................................3255

B. COMPENSABLE SERVICES ....................................................................................................................................................................................32551. Services Prior to Final Adverse Action or Other Decision .................................................................................................................32552. Research .............................................................................................................................................................................................................32583. Discovery ............................................................................................................................................................................................................32584. Settlement, Mediation ....................................................................................................................................................................................32585. Petition for Review ..........................................................................................................................................................................................3258

a. OPM Reconsideration Petition ...........................................................................................................................................................32596. Time in Court ....................................................................................................................................................................................................3260

a. Appropriate Charges for Court Time ................................................................................................................................................3262b. Practice Notes ..........................................................................................................................................................................................3263

7. Preparation of Fee Motion ............................................................................................................................................................................32638. Defense of Fee Motion ..................................................................................................................................................................................32639. Enforcement Proceedings .............................................................................................................................................................................326410. Related Proceedings ......................................................................................................................................................................................3268

a. MSPB ...........................................................................................................................................................................................................3270b. Grievances .................................................................................................................................................................................................3270c. Privacy Act .................................................................................................................................................................................................3270d. Unemployment Compensation ........................................................................................................................................................3270e. Criminal Cases ..........................................................................................................................................................................................3271f. EEO Complaints ........................................................................................................................................................................................3271g. Media Contacts; Congressional Activity ..........................................................................................................................................3273

11. Anticipated Time; Supplemental Petitions ............................................................................................................................................327312. Unsuccessful Claims, Issues, and Defenses ............................................................................................................................................3273

a. Hensley ........................................................................................................................................................................................................3274b. Tangentially Related Issues .................................................................................................................................................................3279c. Clearly Separate Claims ........................................................................................................................................................................3279d. Unsuccessful EEO Claims .....................................................................................................................................................................3279

C. REASONABLENESS OF FEES .................................................................................................................................................................................32811. Hourly Rate .........................................................................................................................................................................................................3281

a. Evidence of Reasonableness; Results Achieved ..........................................................................................................................3283b. Initial Decisions in Other Appeals; Decisions of Other Tribunals ..........................................................................................3290c. Settlements ................................................................................................................................................................................................3290d. Out-of-Town Counsel ............................................................................................................................................................................3290e. Travel Time .................................................................................................................................................................................................3290

2. Contingency Arrangements, Enhancements; City of Burlington ....................................................................................................3291a. Early Treatment by MSPB of Contingent Fees ..............................................................................................................................3293b. Enhancement for Payment Delay; Interest ....................................................................................................................................3294c. Enhancement for Quality Work ..........................................................................................................................................................3296d. Enhancement for Wear and Tear .......................................................................................................................................................3298e. Traditional Contingency Agreements .............................................................................................................................................3298

3. Laffey Matrix .......................................................................................................................................................................................................3299

GuiDE To MsPb law aND PRaCTiCE lix

4. Below Market Rates .........................................................................................................................................................................................32995. Reasonableness of Time Invested ..............................................................................................................................................................3303

a. Responsibility of Judge .........................................................................................................................................................................3303b. Articulated Analysis Required ............................................................................................................................................................3305c. Notice to Counsel of Defects in Fee Motion .................................................................................................................................3306d. Expertise and Diligence of Counsel; Likely Outcome ................................................................................................................3307e. Time at Hearings .....................................................................................................................................................................................3307f. Petitions for Review ...............................................................................................................................................................................3308g. Amicus Briefs ............................................................................................................................................................................................3308h. Time Preparing Counsel Fee Motion ...............................................................................................................................................3309i. Consolidated Cases ................................................................................................................................................................................3309j. Multiple Counsel; Duplicative Work ..................................................................................................................................................3309k. Clerical or Secretarial Tasks .................................................................................................................................................................3311

6. Examples of Fee Awards ................................................................................................................................................................................3312a. Rates ............................................................................................................................................................................................................3312b. Amounts ....................................................................................................................................................................................................3313

D. COSTS AND EXPENSES ...........................................................................................................................................................................................33131. Transcripts ...........................................................................................................................................................................................................33152. Photocopy ...........................................................................................................................................................................................................33153. Travel ....................................................................................................................................................................................................................33154. Secretarial Payments .......................................................................................................................................................................................33155. Postage; Courier ...............................................................................................................................................................................................33156. Fees for Experts, Consultants ......................................................................................................................................................................33157. Investigators .......................................................................................................................................................................................................33168. Accounting Expenses ....................................................................................................................................................................................33169. Telephone Charges; Facsimiles ..................................................................................................................................................................331610. Electronic Research ........................................................................................................................................................................................331711. Taxes .....................................................................................................................................................................................................................331712. EEO, Whistleblower Protection Act, USERRA, and VEOA Cases; Broader Coverage ..................................................................331713. Direct Recovery of Costs by Appellants ...................................................................................................................................................3318

E. FEE MOTION ..............................................................................................................................................................................................................33201. Who May File .....................................................................................................................................................................................................33212. Time and Place of Filing ................................................................................................................................................................................3321

a. Premature Fee Motion ...........................................................................................................................................................................3322b. Timing of Agency Response ...............................................................................................................................................................3323c. Late Fee Motion ......................................................................................................................................................................................3323

3. Fee Motion Must Be Complete When Filed ...........................................................................................................................................3326a. Incomplete Fee Motion ........................................................................................................................................................................3327

4. Developing Evidence to Support Fee Motion .......................................................................................................................................3327a. Hearings Concerning Fee Entitlement in Settled Appeals ......................................................................................................3327b. Hearings and Discovery Concerning Reasonableness ..............................................................................................................3328

5. Format of Motion ............................................................................................................................................................................................3328a. What to Include ........................................................................................................................................................................................3329b. Fee Agreement ........................................................................................................................................................................................3330c. Itemization of Time ................................................................................................................................................................................3330d. Retrospective Reconstruction of Time ............................................................................................................................................3331

6. Supplemental and Corrected Fee Motions ............................................................................................................................................33317. Unopposed, Moot, or Settled Fee Motions .............................................................................................................................................33328. Service of Fee Motion ....................................................................................................................................................................................33329. Opposition to Fee Motion ............................................................................................................................................................................333210. Initial Decisions on Fee Motions .................................................................................................................................................................3333

a. Obligation of Judge to Ensure Due Process ..................................................................................................................................3333b. Requirements of Decision ...................................................................................................................................................................3333c. Initial Decision Controls Basis for Fee Determination ...............................................................................................................3334d. Change in Judges ...................................................................................................................................................................................3334e. Hourly Rate Analysis ...............................................................................................................................................................................3334

11. Waiver of Fees Through Settlement Agreements ................................................................................................................................3334a. Effect of Settlement Upon Claims of Multiple Counsel ............................................................................................................3335

12. Settlement of Fee Motion ............................................................................................................................................................................333613. Payment of Fees to Counsel and Client ...................................................................................................................................................3337

a. Payment to Counsel ...............................................................................................................................................................................3337

lx TablE of CoNTENTs

b. Repayment of Fees by Counsel to Client .......................................................................................................................................333814. Petition for Review ...........................................................................................................................................................................................3338

a. Interim Fees ...............................................................................................................................................................................................3339b. Reasonableness of Time Spent on Petition for Review .............................................................................................................3339

CHAPTER 16: SETTLEMENT, REMEDIES, AND ENFORCEMENT .................... 3341I. SETTLEMENT .......................................................................................................................................................................................................................3341

A. ELEMENTS OF SETTLEMENTS .............................................................................................................................................................................33411. Settlement Resources .....................................................................................................................................................................................33432. Minimum Requirements ...............................................................................................................................................................................3343

a. Hatch Act Cases ........................................................................................................................................................................................33443. Settlement After Issuance of Initial Decision ........................................................................................................................................33444. Regulatory Process .........................................................................................................................................................................................33455. Filing; Acceptance of Settlement for Purposes of Enforcement or Compliance ......................................................................3345

a. Intent That Agreement Be Subject to MSPB Enforcement Authority ..................................................................................3346b. Unfiled Settlements ...............................................................................................................................................................................3348c. Oral Advice of Settlements .................................................................................................................................................................3348d. Specific Oral Settlement Agreements Entered Into the Record ............................................................................................3351e. Distinguishing Oral Agreements and Ongoing or Incomplete Negotiations ...................................................................3355f. Oral Agreement to Be Followed by Written Agreement ..........................................................................................................3358g. Appellant’s Understanding of Agreement ....................................................................................................................................3360

6. Jurisdictional Impediments to Acceptance of Settlements ..............................................................................................................3360a. Stipulations of Jurisdictional Facts Leading to Settlement ......................................................................................................3363b. Settlements Arising From Disputed Last Chance Agreements ...............................................................................................3363

7. Flexibility, Range of Settlements ...............................................................................................................................................................3364a. Incomplete Settlements; Omitted Terms .......................................................................................................................................3365

8. Conditional Settlements; Lapsed Offers .................................................................................................................................................33669. Integration or “Zipper” Clauses ..................................................................................................................................................................336910. Modification or Amendment of Agreements by Parties ....................................................................................................................337211. Waivers of Statutory Rights .........................................................................................................................................................................3373

a. Unemployment Compensation ........................................................................................................................................................3374b. Workers’ Compensation .......................................................................................................................................................................3375c. Older Workers’ Benefit Protection Act .............................................................................................................................................3375d. Entitlements Under RIF Regulations ................................................................................................................................................3380e. Limitations Upon the Right to Seek Future Federal Employment ........................................................................................3380

12. Retirement Matters ..........................................................................................................................................................................................338113. Settlement Provisions Affecting Other Agencies .................................................................................................................................338114. OSC Cases ............................................................................................................................................................................................................3382

B. SETTING ASIDE A SETTLEMENT ........................................................................................................................................................................33831. Agreement Challenged as Invalid; Use of Petition for Review ........................................................................................................33832. Timing of Petition for Review .......................................................................................................................................................................33853. Bases for Setting Aside a Settlement ........................................................................................................................................................3387

a. Threats of Unwarranted Action; Duress .........................................................................................................................................3387b. Hardship ......................................................................................................................................................................................................3389c. Disappointment; Confusion ...............................................................................................................................................................3389d. Lack of Understanding .........................................................................................................................................................................3390e. Mental Incapacity; Stress .....................................................................................................................................................................3390f. Time Pressure ............................................................................................................................................................................................3393g. Coercion or Bias by Judge ...................................................................................................................................................................3393h. Coercion by Counsel or Union Representative; Lack of Signature by Counsel ................................................................3397i. Error or Lack of Authority of Appellant’s Counsel—Agreement Sustained ......................................................................3400j. Error or Lack of Authority of Appellant’s Counsel—Bona Fide Challenge to Agreement .............................................3403k. Error or Lack of Authority of Government Counsel .....................................................................................................................3407l. Fraud; Bad Faith .......................................................................................................................................................................................3408m. Mutual Mistake .........................................................................................................................................................................................3412n. Lack of Mutual Assent ............................................................................................................................................................................3417o. Lack of Consideration ............................................................................................................................................................................3419p. Incorrect Information From the Agency Concerning Retirement Eligibility ......................................................................3420q. Provisions Unlawful or Contrary to Public Policy or Labor Contract ....................................................................................3420r. Change in Law ..........................................................................................................................................................................................3425

4. Unfiled Settlement Agreements; Preappeal Settlements..................................................................................................................3425

GuiDE To MsPb law aND PRaCTiCE lxi

5. Collateral Attacks on Settlements Through New Appeals.................................................................................................................34286. Breach of Settlement: Election Between Rescission or Enforcement ............................................................................................3429

a. Agency May Rescind ..............................................................................................................................................................................3430b. Restoration of Benefits; “Tender Back” .............................................................................................................................................3430c. Use of Enforcement Petition to Rescind Settlement ..................................................................................................................3432

II. APPELLATE REMEDIES ...................................................................................................................................................................................................3433A. REMEDIAL ORDERS AND RIGHTS ......................................................................................................................................................................3433

1. Impact of OPM Regulations .........................................................................................................................................................................34332. Statutory Basis for Remedial Authority ...................................................................................................................................................34333. Collateral Results of Restoration Orders; Actions Related to Action Under Appeal ................................................................3434

a. Effect on Remedial Orders of Decisions of Other Tribunals ....................................................................................................3438b. Reversal of Criminal Conviction .........................................................................................................................................................3439

4. Back Pay Remedies ..........................................................................................................................................................................................3440a. Necessary Findings ................................................................................................................................................................................3440b. Pay Entitlement: Ready, Willing, and Able to Work .....................................................................................................................3440c. Maximum Recovery Period .................................................................................................................................................................3446d. Liability for Events Preceding Adverse Action .............................................................................................................................3446e. Method of Payment ...............................................................................................................................................................................3446f. Method of Calculation ...........................................................................................................................................................................3446g. Reinstatement With No or Limited Pay; Time–Served or Other Suspensions; After–Acquired Evidence;

Shortened Notice Periods ....................................................................................................................................................................3447h. Effect of Loss of Security Clearance ..................................................................................................................................................3448i. Premium Pay; Bonuses and Awards; Differentials; Relocation Expenses ...........................................................................3449J. Overtime; Holiday Pay ..........................................................................................................................................................................3451k. Overtime for Postal Service Employees ..........................................................................................................................................3454l. Applicants for Employment ................................................................................................................................................................3455m. Interest—Employees Under Back Pay Act ......................................................................................................................................3455n. Interest—Postal Service Employees ................................................................................................................................................3458o. Insurance Benefits ...................................................................................................................................................................................3459p. Federal Aviation Administration Employees .................................................................................................................................3460

5. Duty to Mitigate Damages by Finding Interim Employment ..........................................................................................................3460a. Employees Other Than Postal Service ..............................................................................................................................................3460b. Postal Service Employees ....................................................................................................................................................................3460

6. Deductions From and Adjustments to Back Pay ..................................................................................................................................3462a. Retirement, TSP Contributions ...........................................................................................................................................................3463b. Debts to Retirement Fund ....................................................................................................................................................................3466c. Annuity Entitlement or Adjustment .................................................................................................................................................3467d. Leave Accounts; FMLA; Military Leave ............................................................................................................................................3467e. Restoration of Leave for Participation in MSPB or Related Proceedings; Compensatory Time; Official Time .......3470f. Union Dues; Insurance; Medicare Benefits ....................................................................................................................................3472g. Tax Deductions; Increased Taxes ........................................................................................................................................................3477h. Unemployment, OWCP Compensation Benefits; Workers’ Compensation Payments ...................................................3479i. Interim Earnings; Job Search, Relocation Costs; Replacement Earnings; Retirement Receipts; Fraudulent

Earnings Information ............................................................................................................................................................................3482j. Other Deductions ...................................................................................................................................................................................3485

7. Retraining ...........................................................................................................................................................................................................34868. Interim Promotions; Pay Increases ............................................................................................................................................................34869. Reemployment Rights ....................................................................................................................................................................................348810. Purging of Records; Modification of Documentation, Performance Appraisal ........................................................................3489

a. Coding of Personnel Documents .......................................................................................................................................................3492b. Performance Awards .............................................................................................................................................................................3492c. Adjustments to AWOL Charges .........................................................................................................................................................3492

11. Damages..............................................................................................................................................................................................................3494a. Availability of Compensatory Damages .........................................................................................................................................3496b. Awards of Compensatory Damages .................................................................................................................................................3500c. Effect of Receipt of FECA and Insurance Benefits on Recovery of Compensatory Damages ......................................3509d. Consequential Damages and Costs .................................................................................................................................................3510e. Damages Under Veterans Employment Opportunities Act of 1998; USERRA ..................................................................3518f. Monetary Relief for Prohibited Personnel Practices Not Covered by the WPA or the EEO Laws ...............................3518g. Punitive Damages ...................................................................................................................................................................................3520h. Taxation of Damages; Attorney Fees ................................................................................................................................................3520

lxii TablE of CoNTENTs

12. Nontraditional Remedies in Appeal Cases; Waiver of Debt .............................................................................................................3521a. Apologies; Evidence Destruction ......................................................................................................................................................3521b. Protection Against Intervening Events ...........................................................................................................................................3522c. Protection Against Future Events ......................................................................................................................................................3522d. Front Pay ....................................................................................................................................................................................................3522e. Equitable Relief; Other Remedies .....................................................................................................................................................3522

III. ENFORCEMENT ..................................................................................................................................................................................................................3524A. ENFORCEMENT OF MSPB DECISIONS .............................................................................................................................................................3524

1. Authority to Order Compliance; Sanctions .............................................................................................................................................35252. Limitations Upon Use of Enforcement Authority to Award Monetary Remedies .....................................................................3526

a. Mootness ...................................................................................................................................................................................................3528b. Burden of Proof; Proof of Compliance ............................................................................................................................................3529

3. Enforcement Procedure ................................................................................................................................................................................3529a. Enforcement Petition Regulatory Scheme, Guidance ...............................................................................................................3530b. Duty to Supply Information; Accountings ......................................................................................................................................3532c. Evidence Supplied After Decision or Recommendation of Judge .......................................................................................3534d. Time for Initiating Enforcement .........................................................................................................................................................3535e. Agency Requests for Extensions of Time ........................................................................................................................................3537f. Unclear or Impossible Compliance ..................................................................................................................................................3538g. Evidence of Compliance; Statements of Intent; Representatives’ Statements; Hearings ..............................................3538h. Discovery ...................................................................................................................................................................................................3539i. Referral to Comptroller General ........................................................................................................................................................3540j. Sanctions Against Agencies ...............................................................................................................................................................3540k. Multiple Enforcement Petitions; Res Judicata ................................................................................................................................3541l. Analysis by Judge ...................................................................................................................................................................................3542m. MSPB Review of Regional Recommendation or Initial Decision ...........................................................................................3543

4. Allegations of Reprisal, Bad Faith, Discrimination, and Harassment ............................................................................................3545a. Discipline Related to Agency Noncompliance ............................................................................................................................3546b. Performance Appraisal Disputes ......................................................................................................................................................3546

5. Back Pay Disputes ...........................................................................................................................................................................................3546a. Delay in Payment .....................................................................................................................................................................................3548

6. Reinstatement to the Same Position; Status Quo Ante Remedy .....................................................................................................3549a. Compelling Reasons for Reassignment; Detail; Different Duties ...........................................................................................3553b. Medical Limitations ................................................................................................................................................................................3558c. Administrative Leave .............................................................................................................................................................................3558d. Reasons Related to Original Action .................................................................................................................................................3559e. Obligations Under Collective Bargaining Agreement ...............................................................................................................3561f. Other Post-Reinstatement Actions; Medical Certification Requirements ...........................................................................3561g. Postal Service Reorganization Appeals ...........................................................................................................................................3562h. Security Clearance Problems ...............................................................................................................................................................3564i. Demotions .................................................................................................................................................................................................3565j. Term or Temporary Appointment ......................................................................................................................................................3572k. Seniority Adjustments ...........................................................................................................................................................................3573l. Pay System Changes ..............................................................................................................................................................................3574m. Insurance ....................................................................................................................................................................................................3574n. Other Working Conditions ...................................................................................................................................................................3574

7. Reinstatement With Accommodation for Disability ...........................................................................................................................35758. Lack of Authority to Enforce Compliance ................................................................................................................................................35799. Sovereign Immunity Issues ...........................................................................................................................................................................3579

B. ENFORCEMENT OF SETTLEMENT AGREEMENTS.........................................................................................................................................35801. Scope of Enforcement Authority ...............................................................................................................................................................3582

a. Only Filed Settlements May Be Enforced .......................................................................................................................................3583b. Allegations of Discrimination; Whistleblowing Reprisal ...........................................................................................................3584

2. Agency Enforcement Initiatives .................................................................................................................................................................3585a. Appellant’s Agreement to Resign or to Take Other Action; Agency Self Help ..................................................................3586b. Agreement Not to Reapply for Employment With Agency ......................................................................................................3587c. Agreement to Withdraw EEOC Case or Other Litigation ..........................................................................................................3588

3. Agreements That Appellant First Notify Agency of Noncompliance Allegation ......................................................................3589a. Agreements That the Parties Attempt to Adjust Disputes Under the Settlement ...........................................................3589

4. Election Between Enforcement and Rescission; Pleading in the Alternative ............................................................................3590a. Modification of Settlement Provisions ............................................................................................................................................3591

GuiDE To MsPb law aND PRaCTiCE lxiii

5. Role of MSPB Regional and Field Offices ................................................................................................................................................3592a. Treatment of Enforcement Issues, Evidence on Petition for Review ....................................................................................3592

6. Time for Initiating Enforcement ..................................................................................................................................................................3593a. Relationship of Reasonableness of Timing of Enforcement and Defense of Laches ......................................................3597

7. Burdens of Proof ..............................................................................................................................................................................................3599a. Mutual Breaches; “Clean Hands” ........................................................................................................................................................3603

8. Interpretation and Application of Settlements: Legal Principles ...................................................................................................3604a. Materiality of Breach .............................................................................................................................................................................3605b. Good Faith Required; Harassment ...................................................................................................................................................3610c. Foreclosure of Future Discipline for Past Conduct ......................................................................................................................3612d. Time for Compliance if No Time Set in Settlement Agreement .............................................................................................3615

9. Interpretation of Agreements: Extrinsic or Parol Evidence; Ambiguous Terms; History of Performance ........................3616a. Back Pay Obligations; Omitted Terms ..............................................................................................................................................3620b. Amendment to Agreement; Counterproposals ..........................................................................................................................3622

10. Specific Settlement Provisions ....................................................................................................................................................................3623a. Term of Art .................................................................................................................................................................................................3623b. Obligation to Reinstate or Restore to Duty; Preconditions to Restoration .........................................................................3623c. Agreement to Reassign, Demote, Suspend; Light Duty Position ..........................................................................................3625d. Agreement That Employee May Be Terminated or Will Resign or Retire Upon Specified Conditions;

Agreement Not to Reapply .................................................................................................................................................................3626e. Promotional, Placement Consideration; Priority Consideration ............................................................................................3628f. Agreement to Provide Affirmative, Neutral, or Controlled Reference .................................................................................3632g. “Clean Record”; Expungement or Withdrawal of Records .......................................................................................................3641h. Nondisclosure or Confidentiality Clauses .......................................................................................................................................3653i. “Need to Know” Exception to Confidentiality Clause .................................................................................................................3659j. Waiver of Protection of Clauses Requiring Confidentiality, Affirmative Reference ........................................................3663k. Damages Unavailable for Breach of Clause Requiring Affirmative Reference, Other Violations ...............................3664l. Adjustment of Performance Appraisals, Documentation .........................................................................................................3665m. Agreement to Provide Assistance to Employee ...........................................................................................................................3667n. Agreement to “Cancel” Action; Back Pay, Interest, Damages, and Other Entitlements; Bonuses or Awards;

Lump Sum Provisions ............................................................................................................................................................................3667o. Retirement Entitlements ......................................................................................................................................................................3671p. Unemployment Compensation .........................................................................................................................................................3676

11. Debt Recoupment ...........................................................................................................................................................................................367612. Allegations of Reprisal and Harassment ..................................................................................................................................................367713. Settlements Reached in Other Tribunals .................................................................................................................................................367914. Settlements Involving Actions of Third Parties ....................................................................................................................................368015. Privacy Act Issues .............................................................................................................................................................................................368016. Provisions That Violate Collective Bargaining Agreements ..............................................................................................................368017. Unlawful Provisions ........................................................................................................................................................................................3681

C. INTERVENING ABOLITION OF POSITION; SUBSEQUENT ADVERSE ACTION DURING ENFORCEMENT PROCEEDINGS ..3682

CHAPTER 17: JUDICIAL REVIEW ............................................................................... 3685I. OVERVIEW OF THE APPELLATE PROCESS ..............................................................................................................................................................3685

A. NATURE OF THE DECISION UNDER REVIEW .................................................................................................................................................36851. Summary Final Decisions ..............................................................................................................................................................................36852. Statutory Basis for Review .............................................................................................................................................................................3686

a. Collateral MSPB Orders ..........................................................................................................................................................................3687b. Decisions Remanding Cases to Judges; Final Order Rule .........................................................................................................3687c. Counsel Fee Awards ...............................................................................................................................................................................3688

3. Proper Parties in Court ...................................................................................................................................................................................3689a. MSPB Appeals: Historical Development; Subject Matter Jurisdiction .................................................................................3689b. OSC Disciplinary Cases ..........................................................................................................................................................................3693c. Arbitration Awards .................................................................................................................................................................................3694d. Authorization to Appeal ......................................................................................................................................................................3695e. Counsel Authorized to Appear in Appeal; Federal Circuit Admission .................................................................................3695

4. Government Appellate Review Requests; Cross-Appeals .................................................................................................................3695a. Review Requests by OPM .....................................................................................................................................................................3695b. Discrimination Issues .............................................................................................................................................................................3696

5. Court of Appeals for the Federal Circuit ...................................................................................................................................................3697a. Nonprecedential Decisions ..................................................................................................................................................................3698

lxiv TablE of CoNTENTs

b. Summary Affirmation ............................................................................................................................................................................3699c. Court Practice ...........................................................................................................................................................................................3700d. Pro Se Appeals ..........................................................................................................................................................................................3703e. Stays Pending Court Review ................................................................................................................................................................3703

6. Record Below .....................................................................................................................................................................................................3703a. Appendix ...................................................................................................................................................................................................3705b. New and Material Evidence .................................................................................................................................................................3705

B. SCOPE OF REVIEW ..................................................................................................................................................................................................37061. Arbitrary and Capricious ................................................................................................................................................................................37062. Issues of Law; Jurisdiction; Contracts ........................................................................................................................................................3706

a. Decisional Rationale Omitted by MSPB; Departure From Precedent ..................................................................................37073. Procedural Error by MSPB ..............................................................................................................................................................................3709

a. Rulings on Witnesses and Evidence .................................................................................................................................................3709b. Rulings on Discovery .............................................................................................................................................................................3710

4. Refusal of MSPB to Reopen Appeal ...........................................................................................................................................................37115. Substantial Evidence .......................................................................................................................................................................................3712

a. Credibility ...................................................................................................................................................................................................3715b. Nexus ...........................................................................................................................................................................................................3719

6. Agency Rules of Conduct ..............................................................................................................................................................................37207. Penalty Determinations ................................................................................................................................................................................3720

a. Performance Actions ..............................................................................................................................................................................37238. Reductions in Force ........................................................................................................................................................................................3723

C. DEFERENCE; INTERPRETATION OF STATUTES, REGULATIONS, LABOR AGREEMENTS, AND CONTRACTS ..........................37241. Agency Statutory Interpretation ................................................................................................................................................................3724

a. Regulations Applying Statutes; Agency Interpretations of Regulations ............................................................................37252. Agency Handbooks, Instructions ..............................................................................................................................................................37293. MSPB Decisions ................................................................................................................................................................................................37304. Principles of Statutory and Regulatory Interpretation .......................................................................................................................3730

a. Language Controls ..................................................................................................................................................................................3731b. Consideration of the Statutory Scheme .........................................................................................................................................3732c. Avoidance of Absurd Consequences ...............................................................................................................................................3733d. Statements of Legislators .....................................................................................................................................................................3733e. Amendments; Failure to Amend ........................................................................................................................................................3733f. Retroactivity ..............................................................................................................................................................................................3734g. Changes in Law ........................................................................................................................................................................................3735

5. Interpretation of Labor Agreements .........................................................................................................................................................37356. Settlements; Last Chance Agreements ....................................................................................................................................................3736

D. RETIREMENT CASES ...............................................................................................................................................................................................37381. Disability Retirement ......................................................................................................................................................................................37382. Optional Retirement ......................................................................................................................................................................................3742

E. DISCRIMINATION ISSUES ......................................................................................................................................................................................37421. Reprisal .................................................................................................................................................................................................................37452. Procedural Problems .......................................................................................................................................................................................37463. Jurisdictional Matters; Constructive Adverse Actions.........................................................................................................................37474. Timeliness Concerns ......................................................................................................................................................................................37495. Transfers To and From District Courts .......................................................................................................................................................37526. Scope of District Court Review ...................................................................................................................................................................3753

a. Exhaustion of Administrative Remedies .........................................................................................................................................3754b. Summary Adjudication of EEO Issues; Disposition of Civil Service Issues .........................................................................3754c. Scope of Review ......................................................................................................................................................................................3756d. Compliance With District Court Decisions .....................................................................................................................................3756

7. Discharges of Probationers ...........................................................................................................................................................................3756F. REVIEW OF ARBITRATION AWARDS ..................................................................................................................................................................3757

1. Exclusivity of Review .......................................................................................................................................................................................3758a. Mixed Cases ...............................................................................................................................................................................................3758

2. Time for Seeking Review ..............................................................................................................................................................................37643. Decisional Standards for Arbitrators ........................................................................................................................................................3764

a. Arbitrability ...............................................................................................................................................................................................3767b. Bargaining History ..................................................................................................................................................................................3768

4. Review Sought by OPM ................................................................................................................................................................................37685. Awards Involving Department of Veterans Affairs Title 38 Employees ........................................................................................3769

GuiDE To MsPb law aND PRaCTiCE lxv

6. Awards Reviewed by Federal Labor Relations Authority ...................................................................................................................3770G. VEOA, USERRA CLAIMS ..........................................................................................................................................................................................3771

II. PREREQUISITES FOR JUDICIAL REVIEW ..................................................................................................................................................................3772A. TIME FOR INITIATING JUDICIAL REVIEW .........................................................................................................................................................3772

1. Equitable Tolling ..............................................................................................................................................................................................3774B. EXHAUSTION OF MSPB ADMINISTRATIVE REMEDIES ...............................................................................................................................3777

1. Issues Must Be Raised With the MSPB ......................................................................................................................................................3778a. Exception to Exhaustion Requirement ...........................................................................................................................................3779b. Mandamus .................................................................................................................................................................................................3779

2. Necessity for Petition for Review to MSPB ..............................................................................................................................................3780a. Challenges to Settlements ...................................................................................................................................................................3782

3. Ripeness for Judicial Review ........................................................................................................................................................................3782III. JUDICIAL REMEDIAL AUTHORITY ..............................................................................................................................................................................3783

A. AUTHORITY TO REMAND .....................................................................................................................................................................................37831. Remands to Effectuate Settlement ...........................................................................................................................................................37842. Judicial Control of MSPB Procedures .......................................................................................................................................................3785

B. AUTHORITY TO TRANSFER ..................................................................................................................................................................................3785C. SANCTIONS ................................................................................................................................................................................................................3785

1. Examples of Sanctionable Conduct .........................................................................................................................................................3787IV. JUDICIAL RELIEF OUTSIDE THE REFORM ACT ......................................................................................................................................................3789

A. PARTIES TO THE SUIT .............................................................................................................................................................................................37911. Sovereign Immunity ........................................................................................................................................................................................37912. Absolute Immunity ..........................................................................................................................................................................................37913. Qualified Immunity..........................................................................................................................................................................................3791

a. Actions Against Unions ........................................................................................................................................................................3791B. SUITS BASED ON STATUTE AND CONSTITUTION .......................................................................................................................................3791

1. Administrative Procedure Act .....................................................................................................................................................................3792a. Use of the APA .........................................................................................................................................................................................3792b. Scope of Review; Preclusive Effect of the Reform Act ...............................................................................................................3793c. Scope of Relief .........................................................................................................................................................................................3796

2. Privacy Act .........................................................................................................................................................................................................3796a. Scope of the Act ......................................................................................................................................................................................3797b. Enforcement of the Act .........................................................................................................................................................................3798c. Use of the Privacy Act ...........................................................................................................................................................................3798d. Position Classification Issues ..............................................................................................................................................................3799

3. Mandamus Act ..................................................................................................................................................................................................3799a. Position Classification Issues ...............................................................................................................................................................3799

4. Tucker Act ..........................................................................................................................................................................................................3803a. Position Classification Issues ...............................................................................................................................................................3804b. Overtime Pay Claims ..............................................................................................................................................................................3805c. Environmental Differential and Hazard Pay ...................................................................................................................................3806d. Claims Concerning Tenure, Contract Employment, and Promotion .....................................................................................3808e. Whistleblower Reprisal Claims............................................................................................................................................................3810

5. EEO Settlements ...............................................................................................................................................................................................38116. Back Pay Act .......................................................................................................................................................................................................3813

a. Implied Preclusion Under the CSRA ................................................................................................................................................3816b. Promotion Claims ...................................................................................................................................................................................3817

7. Family Medical Leave Act ..............................................................................................................................................................................38188. Overtime and Pay Statutes ...........................................................................................................................................................................38189. Constitution .......................................................................................................................................................................................................3820

a. Property Interest ......................................................................................................................................................................................3821b. Liberty Interest; Name Clearing Hearings .....................................................................................................................................3822

(i) Termination of Probationers, Others .......................................................................................................................................3823c. First Amendment .....................................................................................................................................................................................3824

10. Injunction Actions ...........................................................................................................................................................................................3826C. ACTIONS FOR DAMAGES AGAINST INDIVIDUALS AND GOVERNMENT; BIVENS ............................................................................3833

1. Preclusion in the Circuits ...............................................................................................................................................................................3837a. D.C. Circuit ..................................................................................................................................................................................................3837b. First Circuit .................................................................................................................................................................................................3837c. Second Circuit ...........................................................................................................................................................................................3838d. Third Circuit ...............................................................................................................................................................................................3838

lxvi TablE of CoNTENTs

e. Fourth Circuit ............................................................................................................................................................................................3838f. Fifth Circuit .................................................................................................................................................................................................3838g. Sixth Circuit ................................................................................................................................................................................................3839h. Seventh Circuit .........................................................................................................................................................................................3839i. Eighth Circuit .............................................................................................................................................................................................3839j. Ninth Circuit ..............................................................................................................................................................................................3839k. Tenth Circuit ..............................................................................................................................................................................................3841l. Eleventh Circuit ........................................................................................................................................................................................3842

2. Claims Based Upon State Law; Westfall Act; Federal Tort Claims Act; Defamation; Tort Actions Arising From Assaults ...........................................................................................................................................................3842

CHAPTER 18: RESEARCH, REFERENCE MATERIALS, AND FORMS ............... 3849I. RESEARCH AND REFERENCES .....................................................................................................................................................................................3849II. FORMS ..................................................................................................................................................................................................................................3850

BIBLIOGRAPHY ............................................................................................................... 3873

TABLE OF CASES ............................................................................................................ 3881

INDEX ................................................................................................................................. 3993