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HRDG 4752 - Disciplinary or Alternative Actions - Section C

Subchapter 4752 - Disciplinary or Alternative Actions
Section C - General Guidance for Supervisors


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Responsibilities of Supervisors

Supervisors must set consistent policies and procedures (e.g., leave policies and procedures) and enforce them in a fair and equitable manner. Supervisors must:

  • Be knowledgeable of and consistently enforce the conduct and responsibility regulations (see Subchapter 4735 of your SDG for Agency regulations on Conduct and Responsibilities and the USDA Employee Handbook, Employee Responsibilities and Conduct);
  • Communicate the conduct and responsibility regulations to their employees, and ensure that their employees know and understand them;
  • Provide positive leadership and set a good example for their employees;
  • Know how to recognize potential or actual misconduct problems, and how to handle these problems in the most effective manner;
  • Create and maintain a safe and secure environment at the workplace;
  • Address employee problems as early as possible and properly document employee problems; and
  • Report conduct and responsibility violations, through appropriate internal supervisory channels, then your servicing Employee Relations Specialist (see Section A).
Delegations of Authority for ER Actions
Updated 05/97

Updated 06/04
Updated 03/08
Updated 01/09
Updated 11/09
Updated 05/12
Updated 10/12
Updated 03/13
Updated 02/14
Updated 01/15
Updated 07/15
Updated 02/17
Added 11/21
For more information contact your servicing ERS.

Added 11/21
AMS Delegation of Authority for COVID Mandate LOCs

Added 11/21
Delegation of Authority for AMS-Livestock and Poultry

Updated 05/97
Updated 05/12
Updated 03/13

Explanatory Memo

AMS (except ITS & Poultry, Livestock & Seed Programs)

ITS & Poultry, Livestock & Seed Programs


Added 11/21
Memorandum - Letters of Caution on COVID-19 Vaccination Mandate

Updated 06/04
Updated 02/17

Animal Care (AC)

Email to AC regarding 2017 Delegation of ER Authority

Administrative Services Division (ASD)

Biotechnology Regulatory Services
Updated 02/17

Civil Rights Enforcement and Compliance (CREC)

Employee Services Division (ESD)

Financial Management Division (FMD)
Updated 01/15

Human Resources Division (HRD)

Investigative and Enforcement Services (IES)
Updated 11/09

Explanatory Memo

International Services (IS)

Information Technology Division (ITD)
Updated 01/09

Legislative and Public Affairs (LPA)

Policy and Program Development(PPD)
Updated 10/05
Updated 07/15

Plant Protection and Quarantine (PPQ)
Updated 12/06
Updated 10/12

Veterinary Services (VS)
Updated 02/14
Updated 07/15
Updated 04/18

Wildlife Services (WS)

Updated 05/97
Updated 02/17

Explanatory Memo

Explanatory Chart

Reasons for
Taking Actions

A supervisor ALWAYS should carefully consider what action is appropriate in a given situation to correct the employee problem--whether it is an alternative action (identified in Section D) or disciplinary/adverse action (identified in Section E). The appropriate action selected should be the minimum action necessary to correct the problem.

Several reasons for taking action to correct employee misconduct problem(s) are:

  • Supervisors have a responsibility to do so;
  • To advise employees they must comply with the regulations;
  • To improve the morale of the workplace; and
  • To maintain an efficient work environment.
What Actions
Should Be
Reported to
an ERS?

Supervisors should promptly report any perceived violation(s) of conduct and responsibility regulations, through appropriate internal channels, to their servicing Employee Relations Specialist (ERS) (identified in Section A). Dependent upon the specific circumstances, the ERS will advise the supervisor on how to proceed.

In some cases, there may be alternatives to traditional discipline as a means for modifying behavior--particularly if supervisors recognize potential problems early and deal with them effectively.

Factors to

Supervisors should assess the misconduct in relationship to the impact it may have on the employee's work, the agency, and other coworkers. The following are some factors which should be considered when determining what action to take:

  • Is this the first offense or is it repeated?
  • Is it a minor violation or is it serious?
  • What is the notoriety of the offense and its impact on the Agency?
  • What is the employee's past disciplinary record?
  • Was it intentional or inadvertent?
  • How well was the employee aware of the rules and regulations (e.g., employee must be clearly advised that a rule will be enforced)?
  • Was the offense for personal gain?
  • What is the employee's position and overall record (i.e., length of service, job performance)?
  • Were there any mitigating circumstances (i.e., unusual job tensions, personality problems, etc.)?
  • What is the potential for rehabilitation?
Benefits of
A supervisor's delay or failure to take action to correct conduct deficiencies may lead to increased problems. Also, the time and effort expended on correcting deficiencies will be a good investment of time and energy if the problems are resolved.

If a supervisor perceives or an employee reports or alleges sexual harassment, a supervisor is held accountable for seeking out the allegations and taking necessary action to ensure that the harassment ceases.

If an employee alleges sexual harassment, a supervisor should refer the employee to an Equal Employment Opportunity counselor or advise the employee to contact the Director, Civil Rights Enforcement and Compliance (CREC) on (202) 720-6312. The supervisor should contact CREC if further information is needed.

Further information on sexual harassment can be found in APHIS Directive 401.5, Preventing Sexual Harassment in the Workplace. Information on complaints of discrimination can be found in APHIS Directive 401.4, Individual Discrimination Complaints Procedures.

Examples of
The following are several examples of specific misconduct situations in which supervisors should seek assistance from their servicing Employee Relations Specialist (ERS). Although not all-inclusive, suggestions are given for addressing various situations.
Frequent tardiness
  • Document time of arrival when employee is tardy;
  • Counsel employee promptly;
  • If problem continues, do a cautionary memo;
  • If problem continues, contact an ERS for guidance.
Frequent absences
  • Check leave balance and discuss with employee;
  • Define leave procedures and policy with employee;
  • Place employee under Leave Restriction (ERS will advise);
  • If warranted, refer employee to Employee Assistance Program (EAP);
  • If necessary, charge AWOL (Absence Without Official Leave);
  • Discuss with ERS;
  • Take appropriate further action.
Evidence of theft Contact ERS for guidance.
Substance abuse at work
  • Document specific observations and discuss with employee;
  • Document discussions and give employee a copy of document;
  • Discuss situation with ERS;
  • If necessary, remove employee from critical activities which pose a safety hazard;
  • If warranted, refer employee to EAP;
  • Try to arrange transportation with a family member (or public transportation), or as a last resort, transport employee to his/her home in an emergency situation.
What Happens
After Reporting
Alleged Violation
The following provides a general synopsis of events after a supervisor reports an alleged violation or employee problem to their servicing Employee Relations Specialist (ERS):
ERS Supervisor
Requests documentation Sends pertinent documentation to ERS.
ERS reviews documentation and discusses options with supervisor Confers with ERS as to what is the best approach.
If necessary, an investigation is conducted (e.g., theft) Reviews investigative information and decides on the appropriate action to take.
If unofficial/informal or alternative action is warranted, ERS gives guidance to supervisor Writes informal letter, counsels employee, or takes other alternative action.
If official disciplinary action is necessary, ERS writes letter(s) Signs and presents letter(s) to the employee, or sends certified letter(s) if employee is not at work.
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