The following is an overview of the causes for and types of disciplinary action. It is a synopsis of several Regulations and INSTRUCTIONS. It is not intended to reproduce the Commissioned Corps Personnel Manual (CCPM). The official policy/regulation is in the CCPM.  (Please note: INSTRUCTIONS and Regulations are in a PDF file format, which requires Acrobat Reader.  If you do not have a copy of Adobe Acrobat Reader, you may download a free copy from the Adobe web site.)

The Public Health Service (PHS) Commissioned Corps is a career Uniformed Service for health professionals. Officers are expected to be familiar with and to adhere to the strict rules, policies, and procedures that promote the order and discipline required of a uniformed service. (See Commissioned Officers' Handbook 1998, CCPM Pamphlet 62) Important responsibilities of commissioned corps officers include the following:

• An officer must exhibit professional and personal integrity and behavior which reflects credit upon the officer and the Corps, both on and off the job.
• An officer must adhere to official orders and, in some cases, must not act without official orders.
• An officer is subject to report to duty 24 hours a day, 7 days a week, and must be in an official duty status at all times.

Each year, the Director, Division of Commissioned Personnel, sends a memorandum to every active-duty commissioned officer with a summary of important issues addressed in the Standards of Conduct, INSTRUCTION 1, Subchapter CC26.1, "Standards of Conduct," of the CCPM. The memorandum also contains the names and telephone numbers of the ethics officers in each of the Operating Divisions and programs to which Commissioned Officers are assigned. The purpose of the memorandum is to assure that officers fully understand their ethical responsibilities. It is the individual officer's responsibility to know and abide by these standards.

An active-duty PHS officer who engages in misconduct or whose performance is marginal or substandard may be disciplined by his/her Operating Division (OpDiv) Head or designee; the Director, DCP; or the Surgeon General. Conduct that may be criminal in nature will be referred to the Office of the Inspector General for review and possible referral to the Department of Justice for prosecution.            
 
Misconduct that may warrant disciplinary action is described in Section D, INSTRUCTION 1, Subchapter CC46.4, "Disciplinary Action," of the CCPM. Misconduct also includes violations of the standards of conduct. Because officers are subject to report to duty 24 hours a day, 7 days a week, conduct that occurs outside scheduled duty hours or outside the work station may be the cause for discipline.

Marginal or substandard performance includes:

• Commissioned Officer's Effectiveness Reports (COER) with ratings usually at or below a "B,"
• a single incident reflecting negligence in performance of duties or professional acts that are inconsistent with accepted practice,
• Series of incidents or a pattern of performance below that expected of an officer of the same rank and position.

All officers serve a 3-year probationary period upon each call to active duty. Additionally, Regular Corps officers serve a 3-year probationary period following appointment in the Regular Corps. During this period, supervisors carefully monitor officers' performance, conduct, dedication to duty, professionalism, flexibility, and willingness to accept new assignments.

To assure an understanding of what is expected of them, all officers should take the time necessary to familiarize themselves with the contents of the Commissioned Officers' Handbook and related publications. Officers should also attend the Basic Officers Training Course and any other training that will enhance their transition to active duty PHS life and their career progression. Officers should also review their billet descriptions to be sure they understand the scope of their duties.,

Managers, administrators and fellow officers have a vested interest in seeing a newly appointed officer succeed. (See A Supervisor's Guide to the Commissioned Corps Personnel System 1999, CCPM Pamphlet 58.) To that end managers should make expectations clear to the officer. When it becomes evident that an officer is not performing as expected, managers should take the necessary remedial steps necessary to correct deficiencies in conduct or performance. Remedial steps may include informal or formal counseling, placement on a performance evaluation plan or temporary placement in an evaluative assignment. However, a manager may determine that disciplinary action is required due to the nature and/or severity of the misconduct or performance problem. A manager may issue a Letter of Reproval, Letter of Reprimand or may recommend termination under probation.

A Reserve officer who fails to maintain the standard of performance or conduct expected of an officer of that grade and category, may be separated from active duty at any time during the probationary period.   INSTRUCTION 1, Subchapter CC23.7, "Involuntary Separation During the Probationary Period Served by Officers on Active Duty in the Reserve Corps," of the CCPM. A Regular Corps officer who fails to maintain the standard of performance or conduct of an officer of that grade and category may be separated with six months severance pay following a 3-year file review board.  INSTRUCTION 1, Subchapter CC43.7,  "Separation of Officers in the Regular and Reserve Corps Without Consent of the Officers Involved", of the CCPM.

Officers who successfully complete a probationary period are expected to continue to perform their duties in an exemplary manner. Further, officers are expected to grow professionally by seeking and accepting assignments of increasing responsibility. To that end, officers should seek guidance and counseling from their liaison, Professional Advisory Committee Representative, Chief Professional Officer, or Surgeon General Policy Coordination Committee Representative.

Officers who, subsequent to completion of the probationary period, perform their duties at a level less than that expected of an officer of that rank and category, risk disciplinary action, including separation. Management assesses multiple variables in determining which disciplinary actions to recommend or implement. Variables include, but are not limited to:

• Status of officer: Regular Corps or Reserve
• Length of Service
• Prior disciplinary actions
• Severity of the offense/performance deficit
• Alternatives to discipline such as performance improvement plans and/or reassignment

Further, management may place an officer in a nonduty with pay status (NDWP) pending the outcome of an investigation or determination of a course of action. Placement in an NDWP status is not in itself considered a disciplinary action. Disciplinary actions range from a letter of reproval to a discharge under less than honorable conditions.

INSTRUCTION 4, Subchapter CC23.7, "Involuntary Separation of Regular Corps Officers for Marginal and Substandard Performance," of the CCPM.

INSTRUCTION 6, Subchapter CC23.7, "Involuntary Termination of Reserve Corps Officers' Commissions for Marginal or Sub-Standard Performance," of the CCPM.

INSTRUCTION 1, Subchapter CC43.7, "Separation of Officers in the Regular and Reserve Corps Without Consent of the Officers Involved," of the CCPM.

There are three basic types of disciplinary actions: summary actions, board reviews of the record and hearings.

SUMMARY ACTIONS require no Board review of the record nor hearing. These include letters of reproval, letters of reprimand and summary dismissals.

1. Letter of Reproval/Letter of Reprimand
   Both of these actions are issued in writing to the officer. They can be issued by the OPDIV Head and those management officials designated by the OPDIV Head, the Director DCP, the Surgeon General, or the Assistant Secretary for Health. The primary difference between the two is that the letter of reprimand is placed in the officer's Official Personnel Folder (OPF) for a period not to exceed two years, while the letter of reproval is placed in an official file maintained at the officer's duty station.

   As most personnel actions in the commissioned corps involve a board review, having a letter of reprimand in the OPF can adversely affect an officer's career. An officer may file a rebuttal which is placed in the OPF with the Letter of Reprimand. Management is not required to respond to a rebuttal. The officer may also grieve the Letter of Reprimand. Grievances and responses to grievances are not incorporated in the OPF.   INSTRUCTION 1 , Subchapter CC28.1, "Official Personnel Folder" of the CCPM, and the December 11, 1998, Federal Register, Part III, Department of Health and Human Services, Privacy Act of 1974.

2. Summary Dismissal
   An officer's commission may be terminated without a Board review or a hearing if he or she:
   
   • Has been AWOL for 30 or more consecutive days;
   • Has been convicted of a criminal offense and sentenced to more than 30 days in a State, Federal, or other correctional facility with or without suspension; or,
   • Is being separated during the probationary period.

INSTRUCTION 5, Subchapter CC29.1, "Absence Without Leave," of the CCPM.
INSTRUCTION 1, Subchapter CC23.7, "Involuntary Separation During Probationary Period," of the CCPM.

BOARD REVIEW OF THE RECORDS occurs when disciplinary actions require the review of an officer's service record by a special board appointed by the Director, DCP, or the Surgeon General. Such boards include the Temporary Promotion Review Board, Involuntary Separation Board, and Involuntary Retirement Board. Officers are notified when they will be the subject of such boards and provided opportunity to submit documentation to their records for review by the Board.

INSTRUCTION 2, Subchapter CC23.4, "Temporary Grade Promotions," of the CCPM.
INSTRUCTION 5, Subchapter CC23.4, "Failure of Permanent Promotion," of the CCPM.
INSTRUCTION 3, Subchapter CC23.8, "Retirement of an Officer with 30 Years of Active Service," of the CCPM.
INSTRUCTION 4, Subchapter CC23.8, "Involuntary Retirement After 20 Years of Service," of the CCPM.
INSTRUCTION 1, Subchapter CC43.7, "Separation of Officers in the Regular and Reserve Corps Without Consent of the Officers Involved," of the CCPM.

HEARINGS: The Surgeon General may order an officer to appear before a Board of Inquiry if the officer is charged with misconduct. The officer has a right to appear before the Board of Inquiry with or without legal representation. The officer may also call witnesses and cross examine the Agency's witnesses. The board, after considering all the evidence, may recommend actions including but not limited to: exoneration, reassignment, termination of the officer's commission, or reduction in temporary and/or permanent grades. If the officer's commission is terminated, his or her service may be characterized as "honorable," "under honorable conditions," or "under other than honorable conditions."

A regular-corps officer whose performance deteriorates subsequent to satisfactory completion of a 3-year file review, may be referred to an Involuntary Separation Board. The regular-corps officer has a right to a hearing, which includes the right to appear before the Board, call witnesses and cross examine the Governments witnesses.

What is the difference between a letter of reproval and a letter of reprimand?

The difference between the two is that the letter of reprimand is placed in the officer's OPF for a period not to exceed two (2) years, while the letter of reproval is placed in the station file. The real difference is in the effect. A Letter of Reproval is used primarily to document counseling. A Letter of Reprimand may have far reaching effects if the OPF is reviewed by a selecting official for reassignment, Boards including promotion, etc.

What can I do if I receive a letter of reproval or letter of reprimand?

You may prepare a rebuttal which states your point of view and request that it be attached to the letter of reprimand. Management is not required to respond to a rebuttal. The rebuttal is attached to the letter of reprimand so that those reviewing the record will see your response.

You may also grieve the action in addition to the rebuttal. The procedure to file a grievance is found in INSTRUCTION 5, Subchapter CC26.1, "Grievances," of the CCPM. The grievance is not filed in the OPF. The purpose of the grievance is to allow management an opportunity to respond to your request for remedial action.

Will DCP provide an attorney for me if I have to go to a Disciplinary Board?

No. Although you have the right to legal representation in preparing your submission to the Record in the case of a record review board and in appearing before the board in the case of a hearing, DCP lacks the statutory authority to provide legal counsel. You may obtain legal counsel, if you desire, at your own expense. Also, you may seek guidance from your Commissioned Corps Liaison, Chief Professional Officer, and/or the DCP Adverse Action Officer.

How do I know I am receiving due process?

Due process requires notice and the opportunity to be heard. In general, there is no prior notice of a Letter of Reproval/Reprimand. In summary actions you are given a 30-day notice of a disciplinary board or termination, except in the cases of Absent Without Leave. The officer will be given a copy of all documentation that will be submitted to the Board, which is not otherwise readily available on the DCP web site. The officer is provided the opportunity to respond to that documentation by a specific date, thus having had the opportunity to be heard. The officer's response will be reviewed by the Board.

What exactly are the different types of Boards?

There are several types of Boards. These include a Temporary Promotion Review Board, an Involuntary Termination Board, an Involuntary Retirement Board and a Board of Inquiry. The Board to which the officer will be sent, depends on the issues leading to the request and how long the officer has been in the service. Detailed descriptions of the various Boards can be found in the INSTRUCTIONS listed at this web site or at the DCP web site for the CCPM.

I'm being sent to an Involuntary Retirement Board. I want to be present at the Board to state my case. Is that possible?

No. This Board is a review of the records. As such, officers are not present for the Board's deliberations. However, you should be available by phone during the time the Board is deliberating, in the event the board members seek the clarification of your statement.

Can I grieve a Board action?

A Board action cannot be grieved. You may request reconsideration by the Surgeon General if you have newly discovered relevant material, information, or evidence, which was not available or discoverable prior to the Board which may have resulted in a different outcome. If you feel an error or injustice exists in your record, you may make application to the Board for Correction of the PHS Commissioned Corps Records.

What is Non-Duty With Pay?

Non-Duty With Pay is a status in which an officer is placed when allegations of misconduct or unsatisfactory performance are of such severity that the officer is relieved of duty as a precautionary measure pending full investigation of the allegations, or because of a pending involuntary separation, board of inquiry, or fitness for duty evaluation.

What is the probationary period?

Newly commissioned officers enter on active duty in the reserve corps. During the first 3 years of each reserve corps appointment, all officers serve a probationary period. During this period, their performance, conduct, dedication to duty, professionalism, flexibility, and willingness to accept new assignments are monitored closely. In certain categories and grade levels there are diminishing needs for career officers and only a portion can be retained beyond the 3-year commitment.

Officers can be involuntarily separated from active duty at any time during the probationary period for reasons including, but not limited to:

• Abolishment of an officer's position due to budgetary restrictions, or unavailability of appropriate assignment;
• Unsuitability, i.e., the officer demonstrates general character traits that make him or her unsuitable for continued service;
• Failure to demonstrate the level of performance, conduct, dedication to duty or professional attitude and attributes expected of an officer in the uniformed services;
• Refusal to accept reassignment;
• Unsatisfactory conduct before call to active duty based on factual information obtained subsequent to entry on duty, i.e., information that would have disqualified the officer for appointment if it had been known in advance. Included here is failure to provide complete and truthful information on any of the materials associated with an application for appointment.

Prior to the end of the probationary period, DCP, in conjunction with the officer's OPDIV, conducts a review of the officer's performance and conduct during the probationary period to determine whether an officer on probation should be retained. If DCP and the OPDIV determine that an officer on probation will be terminated, the officer will be provided with at least 30 days prior notice of the effective date of such action.

I have been assimilated into the Regular Corps. What is the 3-Year File Review?

At the end of an officer's first 3 years of service in the regular corps, the record of each officer originally appointed to the regular corps in the Senior Assistant grade or above will be reviewed by a board convened for that purpose. Based on a review of the officer's record, the board will recommend either that the commission of the officer be terminated or that the officer be retained.

What can I do if the relief I sought through the rebuttal and grievance procedures is not granted?

You may file an application with the Board for Correction. However, you must have exhausted the grievance process. That is, you have received a final decision from the highest level of review. Administrative remedies include, but are not limited to grievances, EEO complaint procedures, and appeals to the Comptroller General. Guidance may be found in INSTRUCTION 1, Subchapter CC49.9, "Board for Correction of PHS Commissioned Corps Records," of the CCPM.