P ROHIBIT D P E P RACT S E RSONNE L ICE W HIST R P ROT ION L E BL OWE E CT R S AND RE S IGHT ME DIE O F F E S E DE RAL MPL OYE E U NDE R 5 U.S.C., C HAPT RS 12 & 23 E Mar c h 27, 2013 U.S. O F ICE O F S PE C OUNSE F CIAL L Updated 12/21/12 to reflect the Whistleblower Protection Enhancement Act
T opic s 5 U.S.C. Cha pte rs 12, 23, 73 U.S. Offic e of Spe c ia l Counse l (OSC) ● Prohibite d Pe rsonne l Pra c tic e s ● Whistle blowe r Prote c tion 2
Offic e Of Spe c ial Counse l (OSC) 5 U.S.C. §§ 1211- 19; 5 C.F .R. P ART 1800 Author ize d to — Inve stig a te pr ohibite d pe r sonne l pr a c tic e s a nd othe r a c tivitie s pr ohibite d by c ivil se r vic e la w, r ule , or r e g ula tion Se e k c or r e c tive a c tion for vic tims of pr ohibite d pe r sonne l pr a c tic e s Se e k disc iplina r y a c tion a g a inst offic ia ls who c ommit pr ohibite d pe r sonne l pr a c tic e s 3
Offic e Of Spe c ial Counse l (OSC) 5 U.S.C. §§ 1211- 19; 5 C.F .R. Pa rt 1800 Author ize d to — Pr ovide safe c hanne l for whistle blowe r disc losur e s Advise & e nfor c e Hatc h Ac t pr ovisions on politic al ac tivity by fe de r al, state , and loc al gove r nme nt e mploye e s Pr ote c t r e e mployme nt r ights of fe de r al e mploye e militar y ve te r ans and r e se r vists unde r USE RRA 4
OSC Org a niza tion SPECIAL COUNSEL Carolyn Lerner DEPUTY SPECIAL COUNSEL Mark Cohen COMPLAINTS INVESTIGATION AND DISCLOSURE HATCH ACT CONGRESSIONAL AND LEGAL COUNSEL ADMINISTRATIVE EXAMINING UNIT PROSECUTION UNIT UNIT PUBLIC AFFAIRS AND SERVICES DIVISION POLICY DIVISION WASHINGTON FIELD OFFICE HUMAN RESOURCES MANAGEMENT BRANCH DALLAS FIELD OFFICE INFORMATION TECHNOLOGY BRANCH S.F. BAY AREA FIELD OFFICE BUDGET, REPORTING, AND ANALYSIS MIDWEST FIELD OFFICE DOCUMENT CONTROL BRANCH USERRA UNIT 5
Re sponsibilitie s of Age nc y Offic ials 5 U.S.C. § 2302(c ) Age nc y he ads, and offic ials with de le gate d pe r sonne l manage me nt author ity, ar e r e sponsible for — l Pre ve nting prohibite d pe rsonne l pra c tic e s l F ollowing a nd e nforc ing c ivil se rvic e la ws, rule s, a nd re g ula tions l E nsuring tha t e mploye e s a re informe d of rig hts a nd re me die s (in c onsulta tion with OSC) 6
Ke y Conc e pts ● Me r it Syste m Pr inc iple s T he fr ame wor k and foundation for making all pe r sonne l de c isions in the c ivil se r vic e ● Pr o hibite d Pe r so nne l Pr ac tic e s Admonitions against spe c ific pr ac tic e s that c onflic t with me r it syste ms pr inc iple s ● Whistle blo we r Disc lo sur e s OSC pr ovide s a safe c hanne l for disc losur e s by c ur r e nt and for me r fe de r al e mploye e s and applic ants for fe de r al e mployme nt 7
Prohibite d Pe rsonne l Pra c tic e s: Ove r vie w 13 Pr ohibite d Pe r sonne l Pr ac tic e s — four ge ne r al c ate gor ie s: ● Disc r imination ● Hir ing pr ac tic e s that offe nd me r it syste m ● Re taliation for pr ote c te d ac tivity (inc luding whistle blowing) ● Catc h- all: violation of law, r ule or r e gulation that imple me nt me r it syste ms pr inc iple s (inc luding c onstitutional r ights) 8
Disc rimina tion Pr ohibite d Pe r sonne l Pr ac tic e to disc r iminate : ● Base d on r ac e , c olor , nationality, r e ligion, ge nde r , handic apping c ondition, age , mar ital status, or politic al affiliation ● Base d on “c onduc t whic h doe s not adve r se ly affe c t the pe r for manc e of the e mploye e or applic ant, or the pe r for manc e of othe r s,” inc luding se xual or ie ntation 9 5 U S C § 2302(b)(1) and (b)(10)
Politic a l Ac tivity Pr ohibite d Pe r sonne l Pr ac tic e to: • Coe r c e politic al ac tivity of any pe r son (inc luding pr oviding any politic al c ontr ibution or se r vic e ) • Re pr ising against an e mploye e or applic ant for e mployme nt for the r e fusal of any pe r son to e ngage in politic al ac tivity 5 U.S.C. § 2302(b)(3) 10
Hiring Offe nse s ● Obstr uc ting the r ight to c ompe te ● Influe nc ing withdr awal fr om c ompe tition ● Unauthor ize d pr e fe r e nc e s ● Ne potism ● Conside r ing impr ope r job r e fe r e nc e s ● Knowingly violating ve te r ans’ pr e fe r e nc e 5 U.S.C. § 2302(b)(2); (b)(4); (b)(5); (b)(6);(b)(7); (b)(11) 11
Hiring Offe nse s Most c ommon violations: ● De c e iving/ willfully obstr uc ting r ight to c ompe te e mployme nt — 5 U.S.C. § 2302(b)(4) for ● Influe nc ing withdr awal fr om c ompe tition to impr ove or injur e e mployme nt pr ospe c ts of — 5 U.S.C. § 2302(b)(5) anothe r ● Gr anting unauthor ize d pr e fe r e nc e or advantage to impr ove or injur e the pr ospe c ts of any par tic ular pe r son for e mployme nt — 5 U.S.C. § 2302(b)(6) 12
Hiring Offe nse s Common misc onc e ption: • Not pr ohibite d to ac t upon pr e c onc e ive d ide a that one pe r son may be be st se le c te e position (“ pr e se le c tio n ”) for par tic ular • T o violate the law the r e must be — T he gr ant of some ille gal advantage An inte ntional and pur pose ful manipulation of the syste m to insur e that one pe r son is favor e d and anothe r is disadvantage d 13
Hiring Offe nse s Ca ve a ts: • While most hir ing offe nse s r e quir e inte nt to de c e ive or ma nipula te , hir ing in viola tion of a la w, r ule , or r e g ula tion imple me nting a me r it syste m pr inc iple is a lso a PPP • Ne g lig e nt or impr ude nt a c tions c a n c r e a te a ppe a r a nc e of viola tion le a ding to c ompla ints a nd inve stig a tions — E .g ., Br oa dc a sting one ’s c hoic e be for e c ompe tition 14
E xa mple s of Hiring Offe nse s ● Manage r de libe r ate ly fails to post vac anc y to stop par tic ular c andidate fr om applying ● Applic ation r e c e ive d is de libe r ate ly misplac e d or de str oye d ● Supe r visor give s e mploye e 15
E xa mple s Of Hiring Offe nse s ● Supe r visor e nc our age s subor dinate not to c ompe te , or to withdr aw applic ation, by pr omising futur e be ne fits that supe r visor doe s not inte nd to gr ant ● Close d vac anc y announc e me nt is 16 r e - ope ne d to pe r mit favor e d
E xa mple s Of Hiring Offe nse s ● Job qualific ations ar e manipulate d to favor par tic ular applic ant ● Supe r visor te lls qualifie d e mploye e not to apply for job in or de r to impr ove anothe r e mploye e ’s c hanc e s of se le c tion 17
Ca tc ha ll Prohibite d Pe rsonne l Pra c tic e T aking or failing to take pe r sonne l ac tion, in violation of a law, r ule , or r e gulation that imple me nts or dir e c tly c onc e r ns a me r it syste m pr inc iple 5 U.S.C. § 2302(b)(12) 18
Re ta lia tion 5 U.S.C. § 2302(b)(8), (b)(9) T aking, failing to take , or thr e ate ning to take or fail to take personnel action for ― ● Pr ote c te d whistle blowing ● E xe r c ise of appe al, c omplaint, or gr ie vanc e r ights ● T e stimony or othe r assistanc e to pe r son e xe r c ising suc h r ights ● Coope r ation with or disc losur e s to Spe c ial Counse l or Inspe c tor Ge ne r al ● Re fusal to obe y an or de r that would r e quir e violation of law 19
E le me nts of Proof: Re pr isal for Whistle blowing 5 U.S.C. §§ 1214(b)(4)(a)- (b), 1221(e ) Must show — • Pr ote c te d disc losur e of infor mation unde r 5 U.S.C. § 2302(b)(8) • Pe r sonne l ac tion take n, not take n, or thr e ate ne d • Ac tual or c onstr uc tive knowle dge of pr ote c te d disc losur e • Pr ote c te d disc losur e was c ontr ibuting fac tor in pe r sonne l ac tion 20
Prote c te d Whistle blowe r Disc losure s 5 U.S.C. §§ 2302(b)(8), 1213 Disc losure Ca te g orie s • Viola tion of a ny la w, rule , or re g ula tion • Gross misma na g e me nt: substa ntia l risk of sig nific a nt impa c t on mission • Gross wa ste of funds: more tha n de ba ta ble e xpe nditure • Abuse of a uthority • Substa ntia l & spe c ific da ng e r to public he a lth & sa fe ty • Ce nsorship re la te d to sc ie ntific re se a rc h or a na lysis (sc ie ntific inte g rity) 21
Prote c te d Whistle blowe r Disc losure s ( c o nt’d) 5 U.S.C. §§ 2302(b)(8), 1213 • Ge ne r ally pr ote c te d whe n made to any pe r son • Ne e d not be ac c ur ate to be pr ote c te d • Pr ote c te d if e mploye e r e asonably be lie ve s that it is tr ue — te st is both obje c tive and subje c tive 22
Prote c te d Whistle blowe r Disc losure s ( c o nt’d) 5 U.S.C. §§ 2302(b)(8), 1213 • No r e quir e me nt to go thr ough c hain of c ommand • Whistle blowe r ’s pe r sonal motivation doe s not ne gate r e asonable be lie f • E mploye e or applic ant pr ote c te d if e mploye r mistake nly be lie ve s he or she is a whistle blowe r 23
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