• FAQs for CCI 211.07 Accountability for Conduct and Performance

  (New Policy)

  For what conduct are officers accountable?

  All officers must adhere to any job-related requirements such as those established by the officer's supervisor or program as well as direct orders, workplace policies, performance methods and objectives, laws, regulations, and Corps policies. As long as the requirement is job-related, and the officer is on notice of the requirement, the Corps can hold the officer accountable for meeting the requirement.

  What is Misconduct?

  Misconduct includes violations of Federal, State, Local, or Tribal law, as well as Federal or Corps regulations, policies, or applicable standards of conduct or behavior that warrant disciplinary action. This includes violations of the Standards of Ethical Conduct for Employees of the Executive Branch set forth at 5 C.F.R. Part 2635, the Supplemental Standards of Ethical Conduct for Employees of the Department of Health and Human Services (Department or HHS) set forth at 5 C.F.R. Part 5501; or the policies for any HHS or non-HHS Federal government agency to which the officer is assigned or detailed (including the Uniformed Code of Military Justice (UCMJ) for those detailed to the military). See CCD 111.02, "Disciplinary Action," for a partial list of types of misconduct.

  What is a Letter of Conduct (LOC)?

  LOC is a formal warning to an officer to change his/her behavior or conduct to avoid more serious consequences. AN LOC is counsel from a superior intended to correct the officer's behavior or conduct and may take the form of a written memorandum or email. This communication should include specifics describing the nature of the failure to meet a requirement; date(s) of counseling and circumstance(s) that necessitated the counseling; any documentary evidence; and any directives tasks or requirements discussed. The LOC should advise the officer that future failures to meet requirements will result in more severe action. Although the LOC does not become a part of the officer's Official Personnel Folder (eOPF), it can be used in any subsequent discipline decision or disciplinary/administrative board, hearing, or action.

  Who issues an LOC?

  An LOC may be issued by anyone in the officer's chain of command, including the deployment supervisor or senior operational control officials during a deployment. A Commissioned Corps Liaison (Corps Liaison) may issue an LOC for an officer who is not in the Corps Liaison's supervisory chain of command.

  What is a Letter of Reprimand (LOR)?

  An LOR is a stronger admonishment than an LOC. The LOR is a formal documentation of an officer's inappropriate or unacceptable conduct, behavior, or actions that becomes a part of the officer's eOPF.

  Who issues an LOR?

  Individuals in an officers' chain of command may propose and issue an LOR to an officer. During a deployment, the deployment supervisor or senior OPCON officials may propose an LOR. A Corps Liaison may propose that the Director, CCHQ, issue an LOR for an officer who is not in the Corps Liaison's supervisory chain of command.

  How are LOR issued?

  Individuals in an officer's chain of command should issue an LOR to an officer in writing and should include specific date(s), related circumstance(s), and any documentary evidence. If a superior decides the officer's failure to meet a requirement is particularly significant, he or she can issue an LOR even if no one has previously contacted the officer about this issue or provided an LOC.

  After the initiating supervisor concludes that an LOR is warranted, he/she has 30 calendar days to write a proposed LOR and to propose a length of time to retain the LOR in the eOPF. He/she sends this proposal to the officer, the supervisor of the initiating official, and the relevant Corps Liaison, if any. The officer then has seven calendar days to provide a written response to the second-level supervisor, who has the option of allowing an additional in-person response. The second-level supervisor will then provide the officer with a written notice of his/her decision within 30 calendar days. The supervisor can approve/disapprove issuing the LOR and/or take other appropriate action. The Corps Liaison will submit the decision and any documentation to the Director, CCHQ, along with the officer's written response.

  What misconduct can result in an LOR?

  An LOR is the formal documentation of an officer's inappropriate or unacceptable conduct, behavior, or actions and constitutes grounds for disciplinary actions and includes violations of law, Federal regulations, official government policy, or ethical conduct violations (e.g., Standards of Ethical Conduct for Employees of the Executive Branch; the Supplemental Standards of Ethical Conduct for Employees of HHS; policies of HHS or non-HHS Federal government agency). Misconduct includes, but is not limited:

  • Disobedience of the lawful orders of an official superior;
  • Negligence or carelessness in obeying orders or in performing official duties;
  • Unauthorized use or consumption of controlled substances or alcohol while on duty, being under the influence of such substances or alcohol while on duty, or illegally possessing, transferring, or ingesting controlled substances at any time;
  • Engaging in action or behavior of a dishonorable nature which reflects discredit upon the officer, the Corps, or both;
  • Failure to honorably discharge just debts in a timely manner;
  • Acts of insubordination or use of insulting or defamatory language or gestures disrespectful of, or displaying a contemptuous attitude towards, official superiors or other officers;
  • Making any public statement which falsely impugns the professional competency or personal character of a superior or another officer;
  • Waste of public funds or property, or knowingly permitting such waste;
  • Conviction of a felony or misdemeanor, to include criminal traffic offenses;
  • Submission of false information in an application for appointment or in any other official document;
  • Abusive treatment of subordinate officers, employees, patients or program beneficiaries, or of members of the public
  • Absence from his/her assigned place of duty without authorized leave; or
  • Sexual harassment that involves unwelcome sexual advances, requests for sexual favors, or other verbal or physical conduct of a sexual nature

  How long do LOR stay in an officer's file?

  The LOR remains in the eOPF for a period of time determined by the CCHQ Director, SG, ASH, Secretary of Health and Human Services, or through a board process. The Director, CCHQ, or his/her designee, can include an LOR in the eOPF of officers at the CAPT/O-6 pay grade or below for up to 2 years. The SG can approve longer periods of time based on the officer's pay grade (up to 16 years for CAPT/O-6 officers) and the ASH can approve any length of time, including permanently, for officers of any grade. However, an LOR issued at the recommendation of an ITB or BOI can remain in the officer's eOPF for any recommended length of time including permanently.

  However, if the officer has already received an LOR, any subsequent LOR must remain in his/her eOPF for a longer length of time, even if it covers a different issue. If an officer receives three or more LORs in his/her career, the Corps will send the officer's records to an appropriate separation board.

  When can an LOR be removed?

  An LOR can be removed prior to its expiration date based on:

  • A final decision by the HHS Deputy Secretary regarding a whistleblower complaint.
  • A final decision by the Board for Correction of Commissioned Corps Records.
  • A redress complaint decided by the Director, CCHQ (or the SG or ASH for an LOR issued for more than two years).
  • An equal opportunity complaint decided by the SG (or the ASH for an LOR issued for more than two years).
  • A decision by CCHQ based on the recommendation of the official who issued the LOR or another official in the officer's chain of command. This request must include a justification for the removal and be submitted through the Corps Liaison.
  • A request from an officer's new OPDIV/STAFFFIV/non-HHS Organization, if the officer has transferred to a new position, with the concurrence of the previous OPDIV/STAFFDIV/non-HHS Organization.

  However, the Corps will not remove an LOR issued as a result of a board recommendation or reduce its time in the eOPF unless the change is mandated by a Board for Correction or the final decision of litigation.

  What is a Request for Removal (RFR)?

  A RFR is a request by the head of the OPDIV/STAFFDIV (or designee) for the Corps to remove an officer who has failed to meet a requirement or when the OPDIV/STAFFDIV has no available assignment suitable for the officer's grade and category. The OPDIV/STAFFDIV submits the RFR to the Director, CCHQ and sends a copy to the officer. It must specifically describe the nature of the failure to meet a requirement and include attachments with all relevant documentary evidence. If the Director, CCHQ determines the request is not supported by the officer's record, he/she can ask the requesting organization provide additional information or take action. Otherwise:

  • If the officer is in the probationary period, the Director, CCHQ, may forward a recommendation to the SG to summarily terminate the officer's commission.
  • If the officer was originally appointed at the permanent Senior Assistant (LT/O-3) grade or above and has completed the probationary period within the previous 6 months, the Director, will review the record of the officer and if warranted, refer the officer's records to a File Review Board (FRB).
  • If the officer has less than 20 years of creditable service for retirement, the Director can convene an ITB or BOI; otherwise, he/she can convene an IRB or BOI.

  However, the Director, CCHQ, can allow the officer to find a different position whose hiring manager is willing to accept him/her. If the officer accepts reassignment, CCHQ will drop the RFR.

  What is the effect of specific disciplinary actions?

  1. LOC - An LOC does not have an official impact on any personnel decisions. However, an LOC may influence supervisor's decisions. While the LOC is not included in the eOPF, CCHQ can incorporate it as a part of the administrative record to support a personnel decision or action (e.g., separation from active duty, reduction in grade, COER ratings, etc.).
  2. LOR - When the officer's eOPF includes an LOR, the officer may be precluded from certain personnel actions (e.g., eligibility for awards, promotion, special or incentive pays, telework, deployments, transfers). Additionally, CCHQ can incorporate the LOR as a part of its administrative record to support a personnel decision or action (e.g., separation from active duty, reduction in grade, retirement) even after its duration in the eOPF has expired.
  3. Suspension from Duty - Although non-duty with pay is not a disciplinary action, it may cause the Corps to delay certain personnel actions during an investigation (e.g., holding a promotion, transfer, retirement, or receipt of an award).
  4. Absence without Leave (AWOL) - An officer is ineligible for pay and service credit while AWOL, and for promotion or awards for a year after being AWOL. CCHQ can terminate an officer who is AWOL for 30 or more consecutive calendar days and retire (if eligible) or terminate the commission of an officer who is AWOL for 90 or more nonconsecutive days. The officer's Statement of Service will include all AWOL time.
  5. Other Disciplinary Actions - Other disciplinary actions, such as for criminal offenses that result in jail time, may result in the termination of the officer's commission. Such actions are based on the recommendation of a BOI, ITB, or FRB.
  6. Delayed Disciplinary Actions - In the unusual circumstance that the issuance of an LOR or AWOL notification is delayed, the SG may rescind or cancel personnel actions (such as awards or promotion) that otherwise would have been precluded if the LOR or AWOL was issued on time.

  Can an officer appeal a disciplinary action?

  Officers may appeal any administrative or disciplinary action.

  What is an Administrative Action Flag (AAF)?

  An AAF is an electronic administrative tracking tool utilized by CCHQ to prevent the inadvertent execution of certain personnel actions while the AAF is in place. An AAF is not the final disposition of the administrative action and, in itself, is not the disciplinary action or restriction. CCHQ should initiate an AAF within 3 working days after the identification of an officer's issue, and remove it within 3 working days after the determination of a final disposition. Not all AAF are disciplinary in nature (e.g., those related to limited/temporary medical issues).

  Positive personnel actions that may be prohibited while an AAF is in place may include, but are not limited to:

  • Appointment, reappointment, or retention;
  • Reassignment/transfer, unless in the best interest of the Government as determined by the Director, CCHQ;
  • Promotion to any grade;
  • Awards;
  • Special pays;
  • Training;
  • Retirement;
  • Membership/participation on an official duty board, advisory group, workgroup, or panel;
  • Membership/participation in ancillary roles/functions (e.g., Music Ensemble, Honor Guard, Deployment Team);
  • Appointment as a Chief Professional Officer, Corps Liaison, or SG Policy Advisory Council Representative;
  • Telework; and/or
  • Denial or revocation of authorization of outside activities.
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