DISCIPLINE AND ADVERSE ACTIONS

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP90-00530R000400690005-3
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 33
• Document Creation Date: December 22, 2016
• Document Release Date: October 4, 2012
• Sequence Number: 5
• Publication Date: July 23, 1982
• Content Type: REGULATION

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DEPARTMENT OF THE AIR FORCE AF REGULATION 40-750
Headquarters US Air Force
Washington DC 20330 23 July 1982
Civilian Personnel
DISCIPLINE AND ADVERSE ACTIONS
9-3
This regulation establishes Air Force policy and principles for maintaining discipline and for taking disciplinary and
adverse actions. It implements the requirements of 5 U.S.C. Chapter 75, 5 C.F.R., Part 752, and DOD Directive
1400.14, Personnel Actions Affecting Key Personnel. It applies to employees, supervisors, civilian personnel officers,
and other management officials of the Air Force.
This publication is affected by the Privacy Act of 1974. Each form that is subject to AFR 12-35, Air Force Privacy
Act Program, and required by this publication, contains a Privacy Act Statement either incorporated in the body of
the document or in a separate statement accompanying each document. Authority to obtain this information is
Executive Order 9397. It prescribes records authorized by 5 U.S.C. Chapter 75 and Title 2, Public Law 95-454. The
authority for the maintenance of the system of records required by this document is 5 U.S.C. 1302; 2951, 3301, and
3302; E.O. 10577 and E.O. 11491; 3 C.F.R. 1954-1958 Comp. page 218 and 3 C.F.R. 1966 -1970 Comp. page 861.
Paragraph
Section A?General Information
Page
Air Force Policy
1
1
Terms Explained
2
1
Employees and Actions Covered By This Regulation and Specific Exclusions
3
2
Employees in Probationary or Trial Period, or in First Year of Current Continuous
Service in the Same or Similar Positions
4
2
Responsibilities for Discipline and Adverse Actions
5
3
Delegation of Authority To Take Disciplinary and Adverse Actions
6
3
Review and Coordination of Disciplinary and Adverse Actions
7
4
Supplementing This Regulation
8
4
Section B?Taking Actions Constructively
Constructive Discipline
9
4
Distinguishing Disciplinary From Nondisciplinary Situations
10
5
Voluntary Separations and Reductions
11
5
Section C?Disciplinary and Adverse Actions and Their Requirements
Governing Requirements
12
5
Oral Admonishment
13
6
Reprimand
14
7
Suspension
15
10
Removal, Suspension for More Than 14 Days, Reduction in Grade or Pay, or
Furlough for 30 Days or Less
16
10
Section D?Change To Lower Grade Based on Reclassification or Job -Grading Determi-
nations
Change To Lower Grade
17
11
Section 4?Notices of Proposed Adverse Action, Notices of Final Decision, and Related
Requirements
Notice of Proposed Adverse Action
18
12
Notice of Decision
19
12
Timeliness of Action
20
13
Delivery of Notices
21
13
Supersedes AFR 40-750, 23 August 1973. (See signature page for summary of changes.)
No. of Printed Pages: 33
OPR: MPKE (Sandra G. Grese)
Approved by: J. Craig Cumbey
Writer -Editor: Novella S. Hill
Distribution: F; X (Special non -AF Listing Kept by Distribution Center)
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II AFR 40 -750 23 July 1982
Paragraph Page
Recording Actions
22
13
Advance Notice Period
23
14
Identification of the Proposed Action
24
14
Specific Reasons (Includes Causes of Action)
25
14
Addition of Reasons
26
14
Material Relied on To Support the Action
27
14
Official To Whom Answer Is Made
28
14
Employee Representation
29
15
Employee's Answer
30
15
Consideration of Answer
31
16
Premature Appeal or Grievance
32
16
Appeal and Grievance Rights
33
16
Section F?Selection of Appropriate Disciplinary Actions
Penalty Selection
34
17
V
The Guide To Disciplinary Actions (Attachment 3)
35
17
Progression of Penalties
36
18
Combination of Offenses
37
18
Series of Offenses
38
18
Prior Offenses
39
18
Figure
1. Oral Admonishment or Reprimand
8
Attachments
1. Procedural Protections for Disciplinary Actions and Adverse Actions
20
2. Prohibited Personnel Practices
21
3. Guide To Disciplinary Actions
22
4. Selecting the Penalty
28
5. Specific Disciplinary and Nondisciplinary Situations
29
Form Prescribed
OF 283, United States Merit Systems Protection Board Appeal
19e(8)
13
Forms Adopted
AF 971, Supervisor's Record of Employee
13a(1)
6
SF 66, Official Personnel Folder
14a(1)
7
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AFR 40 -750 23 July 1982
Section A?General Information
1. Air Force Policy:
a. Commanders must maintain a constructive, discip-
lined work environment in which both management and
employees recognize and carry out their responsibilities.
b. Necessary disciplinary action or adverse action is
taken without regard to marital status, political affiliation
except as required by law, race, color, religion, sex,
national origin, or age. Adverse action based on an
employee's physical or mental handicap is not taken
when the employee can effectively perform assigned
duties.
c. Disciplinary action or adverse action is taken only
when necessary and then promptly and equitably. The
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purpose of disciplinary action is to correct and rehabili-
tate the offender, if possible. Penalties must not be
disproportionate to offenses and are applied as con-
sistently as possible considering the particular
circumstances of the cause(s) for disciplinary action.
d. Disciplinary actions and adverse actions are per-
sonal matters and are carried out in private (see para-
graph 29).
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2. Terms Explained. The following terms are included
for general guidance. The terms overlap, and more than
one may apply to an action. Regulatory definitions,
where applicable, and further explanation of these terms
are provided by the central civilian personnel office
(CCPO) upon request.
a. Adverse Action. A removal, suspension, furlough
for 30 days or less, or reduction in grade or pay.
Actions resulting from reduction in force are not
included. Adverse actions may or may not be for
disciplinary reasons (see paragraph 10).
b. Bargaining Unit Employee. An employee included
in an appropriate bargaining unit for which a labor
organization has been granted exclusive recognition.
c. Cause of Action. A recognizable offense against the
employee -employer relationship such as a violation of
rule, regulation or procedure; employment -related
off-duty misconduct; failure to fulfill an
employment -related agreement; or a mandatory require-
ment to take an act* personal to an employee. It is
disciplinary if it results from delinquency or misconduct
by the employee. (A disciplinary cause of action is also
called an offense.) It is nondisciplinary if it results from
the employee's disability, the employee's declination of
functional transfer, or a management determination such
as reclassification of the employee's position or termina-
tion of an extended temporary promotion. A cause of
action cannot support a disciplinary or adverse action
unless it is included in appropriate notices (see r below).
d. Charge. Sometimes used to refer to the reason
stated in notices of proposed action and of final decision
when the reason is disciplinary.
e. Counseling. A nondisciplinary method to provide
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information, instruction, guidance, advice, assistance, or
encouragement. It is not to be confused with the oral
admonishment which is disciplinary.
f. Days. Days means consecutive calendar days,
including holidays, weekends, and other nonduty days.
g. Disciplinary Action. An action taken by manage-
ment to correct an employee's delinquency or
misconduct. Included are oral admonishments,
reprimands, suspensions, removals and, in some cases,
reductions in grade or pay. Some disciplinary actions
are also adverse actions.
h. Furlough. A nondisciplinary action placing an
employee in a temporary nonduty and nonpay status
because of lack of work or funds or for other
nondisciplinary reasons. A furlough is an adverse action
if it is for a period of 30 calendar days or less and is
based on a decision of an administrative officer (see para-
graph 16). A furlough for more than 30 calendar days is
a reduction -in -force action covered by FPM Chapter
351 and AFR 40-351, Reduction in Force, Transfer of
Function and Out -Placement Assistance.
I. Grade. A level of classification under a position
classification system.
j. Harmful Error. An error by management in the
application of its procedures which, if corrected or
alleviated, might have resulted in a different conclusion.
k. Nexus. A reasonable connection or factual rela-
tionship between the reason(s) for the action taken and
the efficiency of the service.
1. Nondisciplinary Adverse Action. An adverse action
that is taken for reason(s) other than to correct an
employee's delinquency or misconduct.
m. Offense. A cause of action which is due to
delinquency or misconduct by an employee (see para-
graph c).
n. Oral Admonishment. A disciplinary discussion
between a management official who has authority to take
disciplinary action and an employee subject to that
authority in which the employee is informed that he or she
has been disciplined by receipt of an oral admonishment. It
is a disciplinary action which is not an adverse action
(see paragraph 13).
o. Pay. The rate of basic pay fixed by law or admi-
nistrative action for the position held by an employee.
p. Preponderance of the Evidence. That degree of
relevant evidence which a reasonable mind, considering
the record as a whole, might accept as sufficient to supp-
ort a conclusion that the matter asserted is more likely
to be true than not true.
q. Prior Offense. A prior cause of action for which a
disciplinary penalty has been imposed (see paragraph
39).
r. Reason. Includes the current cause of action and
facts, circumstances, and considerations relied on to
support the action (for example, prior offenses).
s. Removal. An involuntary separation of an
employee from Air Force employment. It terminates
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2 AFR 40 -750 23 July 1982
the employee's status as an Air Force employee and, in
some cases, may bar the individual from future federal
employment. The term removal is sometimes used in
this publication in a general sense to refer to any separa-
tion action, disciplinary or nondisciplinary, covered by
FPM Chapter 752, Subchapter 3. At other times, it is
used to describe a specific disciplinary action which also
is an adverse action. See paragraph 16.
t. Reprimand. A formal disciplinary letter issued to
an employee by a management official who has authority
to discipline the employee. It is a disciplinary action
which is not an adverse action (see paragraph 14).
u. Suspension. An action which places an employee
for disciplinary reasons in a temporary status without
duties and pay. It is a disciplinary action and an adverse
action (see paragraph 15).
3. Employees and Actions Covered By This Regulation
and Specific Exclusions:
a. Employees Covered and Those Excluded. This
document applies to employees of the Air Force serving
in the competitive or excepted service. Exclusions are:
(1) Employees whose appointment is made by and
with the advice and consent of the Senate (statutorily
authorized positions).
(2) Presidential appointees, Senior Executive
Service employees, administrative law judges, and
National Guard technicians.
(3) Non -US citizens employed in foreign areas who
are not entitled to veteran's preference based on service
with the US Uniformed Services. Policies and
procedures covering those employees are established by
servicing commands.
(4) Employees of Nonappropriated Fund
Instrumentalities.
b. Actions Covered and Those Excluded. This regula-
tion applies if management begins disciplinary or adverse
personnel actions that affect covered employees. See
attachment 1 for further clarification. Exclusions are:
(1) The removal, suspension for more than 14 days,
reduction in grade or pay, or furlough for 30 days or
less of an employee serving in an excepted service,
Schedule C position.
(2) A separation action against an air traffic
controller covered by 5 U.S.C. 2109 and under
procedural requirements of sections 3382 or 8335(a).
(3) Separations of Section 6 Dependent School
personnel (Section 6 of Public Law 81-874, 64 Stat.
1107, as amended) not selected for the following school
year (see AF Supplement to FPM Chapter 302).
(4) Certain actions relating to employees in proba-
tionary or trial periods or in the first year of current
continuous service in the same or similar positions (see
paragraph 4), to employees serving under excepted app-
ointments, to reemployed annuitants, to student trainees,
and to status quo employees (see attachment 1).
(5) Actions resulting from national security
determinations under 5 U.S.C. 7532 (see AFR 40-732,
Security Program).
(6) Reduction in force action under 5 U.S.C. 3502
(see AFR 40-351).
(7) Reduction in grade of a supervisor or manager
who has not satisfactorily completed the probationary
period under 5 U.S.C. 3321(aX2) if such reduction is to a
grade and pay no lower than that held immediately
before becoming such a supervisor or manager (see AFR
40 -452, Performance Appraisal Program).
(8) Reduction in grade or removal based solely on
unacceptable performance under 5 U.S.C. 4303 (see
AFR 40 -452).
(9) Action initiated under authority of the Special
Counsel of the Merit Systems Protection Board (MSPB)
under 5 U.S.C. 1206.
(10) Action which entitles an employee to grade
retention under 5 C.F.R., Part 536, and an action to
terminate the entitlement.
(11) Voluntary action initiated by the employee
(see paragraph 11).
(12) Action taken or directed by the Office of
Personnel Management (OPM) under 5 C.F.R., Part 731
(Suitability) or Part 754 (Adverse Actions).
(13) Involuntary retirement because of disability
under 5 C.F.R., Part 831.
(14) Termination of appointment on the expiration
date specified as a basic condition of employment at the
? time the appointment was made.
(15) Action which terminates a temporary promo-
tion within a maximum period of 2 years and returns the
employee to the position from which temporarily
promoted, or reassigns or demotes the employee to a
different position not at a lower grade or level than the
position from which temporarily promoted.
(16) Cancellation of a promotion to a position not
classified before the promotion.
(17) Placement of an employee serving on an
intermittent, part -time, or seasonal basis in a nonduty,
nonpay status in accordance with conditions established
at the time of appointment.
(18) Reduction of an employee's rate of pay from a
rate which is contrary to law or regulation to a rate
which is required or permitted by law or regulation.
(19) Action which terminates a term promotion at
the completion of the project or specified period or at
the end of a rotational assignment in excess of 2 years
but not more than 5 years, and returns the employee to
the position from which promoted or to a position of
equivalent grade and pay.
(20) Action taken under provisions of statute, other
than one codified in title 5, U.S.C., which excepts the
action from 5 U.S.C., Chapter 75, Subchapters I and II.
4. Employees in Probationary or Trial Period, or in First
Year of Current Continuous Service in the Same or
Similar Positions:
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AFR 40-750 23 July 1982
a. If oral admonishments, reprimands, or suspensions
are considered appropriate, the requirements of this
publication apply. Oral admonishments and reprimands
may be used under the same conditions and in the same
manner as for other employees. If the offense warrants a
penalty more severe than a reprimand, management
normally will terminate the employee's appointment,
using procedures applicable to the type of appointment.
However, at the sole discretion of management, a
suspension not to exceed 5 days may be imposed rather
than termination, if management considers a suspension
of such duration as sufficient to rehabilitate the
employee.
b. Policies, requirements, and procedures for actions
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when probationers fail to exhibit fitness for continued
employment are explained in AFR 40 -452.
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S. Responsibilities for Discipline and Adverse Actions:
a. Mr Force Civilian Appellate Review Agency
(AFCARA). The AFCARA processes certain griev-
ances, appeals, and discrimination complaints on behalf
of the Secretary of the Air Force.
b. Headquarters USAF, Directorate of Civilian
Personnel (HQ USAF/MPK). The Directorate of
Civilian Personnel sets policies and procedures for
discipline and adverse actions for Air Force civilian
employees.
c. The Office of Civilian Personnel Operations. The
Office of Civilian Personnel Operations provides opera-
tional guidance, advice, and assistance concerning discip-
line and adverse actions.
d. Major Commands (MAJCOM) and Comparable
Organizations. MAJCOMs and comparable organiza-
tions to which a directorate of civilian personnel or
CCP() is assigned provide supplemental disciplinary and
adverse action policies for all serviced employees when
required, ensure completion of necessary program train-
ing, and advise and assist applicable field activities.
e. Commanders (See AFR 40-102, Basic Authority and
Responsibility for Civilian Personnel Administration and
Management):
(1) Ensure that rules, regulations, and other
standards of conduct are made known to all employees
under their jurisdiction.
(2) Administer fair, impartial, consistent, and
regulatorily correct disciplinary and adverse action
programs within their activity.
f. Civilian Personnel Officers ((PO):
(1) Assist commanders, managers, and supervisors
to ensure that all requirements are met for disciplinary
and adverse actions.
(2) Take actions directed by the OPM, the MSPB,
or higher levels of authority in the Air Force; or which
otherwise are outside a supervisor's normal personnel
management responsibilities.
(3) Ensure that disciplinary actions and adverse
actions are consistent with law, regulation, and policy.
3
(4) Ensure that disciplinary actions and adverse
actions are processed according to AFM 30-130, volume
IV, Base Level Personnel System Civilian Personnel.
g. Supervisors:
(1) Maintain an environment which promotes good
employee-management relations. Supervisors should be
aware of the cultural and religious diversities of their
employees and create a work environment free from
discrimination because of race, color, religion, sex,
national origin, age, or physical or mental handicap (see
AFR 40-306, Selective Placement Programs; AFR
40-701, Employee -Management Policy; and AFR
40-713, Equal Employment Opportunity (EEO)
Program).
(2) Keep employees informed of rules, regulations,
and standards of conduct, and maintain conduct and
discipline according to policy and established procedure.
(3) Gather, analyze, and carefully consider avail-
able facts and circumstances before taking or recom-
mending disciplinary action; and ensure that efforts are
made to minimize the impact of nondisciplinary adverse
actions.
(4) Constructively correct employees individually
and in private (see paragraph 29).
(5) Make recommendations on actions; sign and
issue notices of proposed and final action; receive and
consider answers to proposed actions; and ensure that all
approvals and coordinations of management officials, the
CCP?, and other staff agencies required by regulation or
policy are obtained before issuance of notices (see para-
graphs 6 and 7).
(6) Be prepared to defend any disciplinary action
or adverse action taken if the employee contests it.
h. Employees. Employees discharge their assigned
duties conscientiously; respect the administrative author-
ity of those directing their work; and observe laws,
regulations, and policies governing their conduct. The
Air Force does not interfere unnecessarily in the private
lives of its employees. It does require that they be
honest, reliable, trustworthy, and of good character,
reputation, and unquestioned loyalty to the government
and the Air Force (see AFR 40-735, Civilian Conduct
and Responsibility, and AFP 40-11, Air Force Civilian
Standards).
6. Delegation of Authority To Take Disciplinary and
Adverse Actions:
a. Supervisors are delegated this authority in AFR
40-102 or AFR 40-7, Nonappropriated Funds Personnel
Management and Administration, as applicable.
b. The authorities in (1) and (2) below apply unless
changed by authorized commanders. All changes must
be in writing, and any different designations must be
made to positions rather than to the incumbents:
(1) Supervisors are authorized to sign and issue
notices, receive and consider employees' answers, and
make recommendations and final decisions on actions
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AFR 40-750 23 July 1982
covered by this publication. Normally, first -level
supervisors perform these functions, although higher
level supervisors may perform any or all of them, as
well.
(2) CPOs and their functional chiefs are authorized
to sign and issue notices, receive and consider employ-
ees' answers, make recommendations and final decisions
when applicable, and take actions directed by
appropriate authorities outside the Air Force and higher
levels of authority in the Air Force; required by
management decision (for example, those resulting from
reorganization, lack of funds, changes to lower grade
based on classification determinations, and similar actions
or in carrying out appointing authority functions); or
resulting from unsuitability for employment when the
determination is based on information in replies to emp-
loyment inquiries or in investigation reports and is not
directly related to current job performance.
c. Regardless of the authorities listed above, when an
adverse action affects an employee in grades GS -16
through 18, or a Scientific and Technical position under
5 U.S.C. 3104, or a Schedule C position at GS -12 or
above, it must be approved in advance under procedures
available in the CCPO.
7. Review and Coordination of Disciplinary and Adverse
Actions:
a. CCPO Coordination. The CCPO is the primary
local source of authoritative information and interpreta-
tion of policy and procedures concerning civilian discip-
line and adverse actions and shares in management's
responsibility to ensure that such actions comply with
governing requirements. Accordingly, written notices of
proposed action and notices of final decision for
disciplinary and adverse actions will be coordinated with
the CCPO before delivery to employees. The CCPO
review before coordination covers both merit and
procedures and is conducted by someone in a position of
authority who is knowledgeable of the requirements of
the civilian personnel system. Oral admonishments need
not be coordinated with the CCPO, although it is
recommended that the supervisor discuss the matter with
a CCP() representative before deciding to issue an
admonishment.
b. Other Coordination. Other offices in addition to
the CCPO may be designated as points of coordination;
staff members of these offices should be trained in
disciplinary and adverse action policy and procedures.
As a minimum, notices of final decision for adverse
actions are coordinated with the office of the staff judge
advocate before delivery to employees. The office of
the staff judge advocate reviews these actions for legal
sufficiency, including whether there appears to be
sufficient evidence to support the actions. Coordination
procedures must permit fulfillment of CCPO respon-
sibilities under AFR 40-102; AFR 40-104, The Central
Civilian Personnel Office; AFR 40-105, Civilian
Personnel Servicing Arrangements; and this document.
8. Supplementing This Regulation. See AFR 40-171,
Civilian Personnel Publications. Clauses or provisions of
a collective bargaining agreement dealing with
disciplinary or adverse actions are not supplements to
this regulation.
Section B?Taking Actions Constructively
NOTE: See attachment 2, also. This section gives
general guidance to management for the constructive
administration of disciplinary and adverse actions under
this publication. This guidance does not establish man-
datory procedures which may be subject to compliance
review by a third party; rather, it is intended only as an
aid to assist management in taking effective actions.
9. Constructive Discipline. Maintaining discipline usu-
ally is not a problem within a work environment where
reasonable rules and standards of conduct and
performance are clearly communicated and consistently
enforced; where supervisors set a good example; where
aspects of conduct and performance needing improve-
ment are identified in a way that respects the employee's
dignity; where employees are treated fairly and
encouraged to improve; and where good performers are
recognized.
a. Principles of Constructive Discipline. Constructive
discipline is preventive in nature. Its objectives are to
develop, correct and rehabilitate employees; to
encourage their acceptance of appropriate responsibility;
and to prevent, if possible, situations where there is no
alternative but to penalize. When penalties are
appropriate, they are applied as consistently as possible
considering the particular circumstances of the cause(s)
for disciplinary action. Additional information concern-
ing selection of penalties is in section F, attachments 3,
and 4.
b. Achievement of Constructive Discipline. Even in
the best of organizations, disciplinary action as explained
in Section C may become necessary. When considering
and taking disciplinary action, management:
(1) Inquires into the apparent offense and ensures
appropriate consideration of all available relevant infor-
mation.
(2) Ensures that action taken is for good cause;
consistent with applicable law, regulation and policy;
fair; and timely.
(3) Ensures that disciplinary action is accomplished
in a manner that best contributes to the objective of
constructive discipline in a above.
(4) Conducts interviews and inquiries and accom-
plishes disciplinary actions in private to minimize
embarrassment to the employee. The minimum number
of people necessary (consistent with the need for fact
gathering, internal coordination, and observance of the
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AFR 40.750 23 July 1982
employee's right to representation) are involved in or
made aware of the action. Information about such
actions may not be routinely made available to those
outside of management and not affected by the action
without consent of the employee involved. Paragraph
29 contains guidance concerning the employee's right to
representation including, where applicable, the
employee's right to union representation when an
interview or inquiry is investigatory in nature.
(5) Must not request that the employee resign or
retire to avoid discipline (see paragraph 11).
10. Distinguishing Disciplinary From Nondisciplinary
Situations. Management's identification of the cause(s)
for action is particularly important where the situation
might be either disciplinary or nondisciplinary, since an
improper identification may lead to a failure to meet all
requirements. Additional discussion of specific
disciplinary and nondisciplinary situations is in attach-
ment 5. The two situations are:
a. Disciplinary Situations. Disciplinary causes for
action are causes due to delinquency or misconduct per-
sonally attributable to the employee.
b. Nondisciplinary Situations. There are other causes
of action which are not due to an employee's
delinquency or misconduct but which are personal to the
employee. These, too, can result in adverse action.
Examples are furlough or either change to lower grade
or separation because of physical incapacity. In most
nondisciplinary adverse actions, there are special merit
and procedural requirements contained in specific subject
matter regulations. These actions must comply with the
requirements of all applicable provisions. When process-
ing nondisciplinary actions, management:
(1) Ensures that it is clear the action is
nondisciplinary and that the action documents do not
convey delinquency or misconduct.
(2) Minimizes impact on the employee to the extent
possible. While the action is in process, efforts are con-
tinued to locate other suitable assignments that will
reduce the employee's financial loss and career disrup-
tion.
11. Voluntary Separations and Reductions. Separations
and reductions in grade or pay voluntarily initiated by
employees are by their nature not actions requiring the
use of adverse action procedures. However, a resigna-
tion, optional retirement, or reduction in grade or pay at
an employee's request is involuntary and an adverse
action if it is obtained by coercion, duress, time pressure,
intimidation, or deception. Whether an action is
voluntary or involuntary is determined not by the form
of the action but by the circumstances that produced it.
a. An action requested by an employee is voluntary
only if the employee has freedom of choice. The
general principle is that an action is voluntary if the
employee is free to choose, understands the transaction,
5
is given a reasonable time to make a choice, and is
permitted to set the effective date. Management may
point out the desirability of another effective date, but
may not arbitrarily set an earlier or a later date and have
the action remain voluntary.
b. An employee who is confronted by management
with a potential disciplinary or adverse action may
choose to voluntarily accept a reduction in grade or pay,
resign, or retire in lieu of disciplinary or adverse action.
It is permissible for management to discuss the possible
alternatives with the employee. It is not appropriate to
advise or request that the employee resign or retire.
Neither is it appropriate to say that the employee must
resign or retire or that action will be proposed. The fact
that the employee may be faced with an inherently
unpleasant situation, or that possible choices may be
limited to two unpleasant alternatives, does not make the
resulting action involuntary.
c. Neither should resignation be encouraged when
there is substantial medical and other evidence about an
employee's mental condition which casts doubts that the
employee understands the voluntary alternatives
involved. If management desires to separate the
employee, it may initiate action to do so by disability
retirement or by adverse action procedures, as
appropriate.
Section C?Disciplinary and Adverse Actions and Their
Requirements
12. Governing Requirements. Disciplinary actions and
adverse actions are governed by provisions which
permit essential management decisions while preserving
employee rights established by law, regulation, policy,
or collective bargaining agreement. These actions are
effected through a series of steps including notice of
proposed action, opportunity to answer, notice of final
decision, and access to appellate or grievance
procedures. Actions are accomplished through written
documents which must meet specified criteria except for
oral admonishments discussed in paragraph 13 and,
where applicable, oral notices of proposed reprimand
discussed in paragraph 14(dX2). Actions covered by this
regulation must comply with all applicable provisions of
law; OPM, Department of Defense and Air Force
directives; issuances of lower echelons within the Air
Force, and collective bargaining agreements under title
5, U.S.C., Chapter 71.
a. Standard for Taking Disciplinary and Adverse
Actions:
(1) Management may take a disciplinary or adverse
action only for such cause as will promote the efficiency
of the service.
(2) Management may not take an action which
would result in a personnel practice prohibited by 5
U.S.C. 2302. See attachment 2 for a summary of those
prohibited personnel practices.
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AFR 40 -750 23 July 1982
b. Burden of Proof:
(1) Management must be prepared to support the
following by a preponderance of the evidence:
(a) The reason(s) for the action taken (for exam-
ple, that the alleged misconduct actually occurred).
(b) That disciplinary or adverse action logically
can be expected to promote the efficiency of the service.
(2) Management must also be prepared to support
the appropriateness of the particular penalty imposed
(see paragraph 34).
(3) Harmful Error. If harmful error is alleged in an
appeal or grievance, the burden is upon the appellant or
grievant to show that?based upon the record as a
whole?the error was harmful (caused substantial harm
or prejudice to the appellant's or grievant's rights).
Accordingly, if the appellant or grievant has not alleged
a procedural error to be harmful, that error normally
should be assumed to be not harmful.
c. Application of Requirements. The provisions for
disciplinary or adverse actions are applied with judg-
ment to ensure compliance with both their intent and
their letter. Actions which do not comply with govern-
ing requirements may be defective either procedurally or
on merit, or both. A defect could result in reversal of
the action or in a reduction in the severity of the action.
An action that is reversed because of harmful error in
procedures may be reinstituted, if it is possible to correct
the deficiency. Action may not be reinstituted if a merit
determination results in modification of that action or
reversal.
13. Oral Admonishment:
a. Purpose and Use. See paragraph 2n. The oral
admonishment is used to correct misconduct or
delinquency or to motivate employees to improve their
work habits, work methods, or behavior. Because of its
adaptability to a variety of situations, the oral admonish-
ment is often adequate to effect the required correction
or improvement, particularly when the employee has no
previous history of violations.
(1) The oral admonishment has neither procedural
requirements nor prescribed format. The process is oral
except for the temporary recording of the admonishment
on the employee's AF Form 971, Supervisors' Record of
Employee.
(2) The effective date of an oral admonishment is
the date the employee is notified of the decision to
admonish. Notation of the oral admonishment must be
entered on the employee's AF Form 971 when imposed
and must be deleted 2 years from the effective date of
the admonishment.
b. Relationship To Other Disciplinary Actions. An
oral admonishment is informal and the least severe
penalty in the Air Force discipline program. It is a
disciplinary action which is not an adverse action. See
paragraph 39c for an explanation of the use of oral
admonishments in relation to attachment 3.
c. Difference From Performance Evaluations and
Counseling. A performance evaluation discussion or a
counseling session is nondisciplinary. It is not intended
to penalize or to discipline the employee but, rather, is
used to provide guidance, encouragement, or instruction
(see AFR 40-452). An oral admonishment is clearly a
disciplinary action used to motivate an employee to
improve; it necessarily includes a discussion of the
conduct that needs improvement or of the delinquency
that needs correction.
d. Steps In Considering and Taking an Oral
Admonishment. If there is apparent misconduct or
delinquency for which an oral admonishment would be
an appropriate disciplinary action, it is suggested that the
supervisor follow the steps shown below unless a
governing collective bargaining agreement provides oth-
erwise. These steps are not mandatory; rather they are
given as a general guide to help the supervisor ensure
that relevant facts are surfaced and considered and that
appropriate action is effectively taken. Any required
actions in this paragraph are specifically stated as suck
While it is recommended that the steps below be taken
as promptly and efficiently as possible, they need not be
completed in one session. Supervisors are required to
observe employee representation entitlements according to
paragraph 29 at all appropriate steps. It is suggested that
the supervisor:
(1) Gather available facts.
(2) Interview the employee in private; tell the
employee the purpose of the interview; state the prob-
lem and the facts in a way that the employee can under-
stand. Supervisors are required to observe bargaining unit
employees' entitlement to representation according to para-
graph 29a where an interview or inquiry is investigatory in
nature.
(3) Give the employee an opportunity to answer
and to express his or her views about the circumstances
of the matter. If the employee requests time for thought
before answering, the request should be honored, if
possible.
(4) Consider the employee's answer and any expla-
nations offered. If the employee raises questions which
the supervisor must resolve before making a decision or
if the supervisor needs time to consider the employee's
answer, additional time should be taken. In such cases,
advise the employees that a decision on the matter will
be made as promptly as possible and that the employee
will be advised of the decision.
(5) Determine what action is appropriate:
(a) If the discussion satisfactorily resolves the
matter, tell the employee. No further action is
necessary.
(b) If the discussion does not satisfactorily
resolve the matter and the supervisor decides that an
oral admonishment is warranted, tell the employee and
explain why. Make it clear to the employee that he or
she is being disciplined by receipt of an oral
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AFR 40 -750 23 July 1982
admonishment. Identify areas where improvement is
40 needed, suggest methods for improving, and offer suit-
able assistance and guidance.
NOTE: It is recommended that the supervisor discuss
the matter with a CCP? representative before deciding
to issue an admonishment.
(6) Make a notation on the AF Form 971, which
should include the words "oral admonishment" to distin-
guish it from nondisciplinary counseling, a brief descrip-
tion of the occurrence requiring oral admonishment, the
effective date, and a notation that the employee has been
advised of the admonishment. The employee may be
asked to initial the AF Form 971 entry. The employee's
initials do not indicate agreement with the entry content,
but only awareness of the entry. Note the requirements
for recording and deleting references to oral admonishments
4 according to paragraph a(2).
(7) Followup on the matter and offer assistance,
suggestions, and encouragement, as appropriate. Note
the AF Form 971 accordingly. Include entries to reflect
improvement in the matter, if applicable, and tell the
employee of the improvement noted.
NOTE: See figure 1.
14. Reprimand:
a. Purpose and Use. See paragraph 2t. A reprimand
is used to correct significant misconduct or delinquency
0 and repeated lesser offenses. It is a severe disciplinary
action that should be adequate for many disciplinary
situations which require an action more severe than an
oral admonishment. It should be clearly identified with
the subject: "Notice of Reprimand."
(1) 'The "Notice of Reprimand" is temporarily filed
in the employee's Standard Form 66, Official Personnel
Folder, for 2 years from the date of the reprimand and is
destroyed when the 2 years expires. A notation is also
made on the AF Form 971 when the reprimand is issued
and is deleted when the reprimand expires.
(2) In the establishment of a progression of
penalties (see paragraph 36), a reprimand may be made
more "severe" by including (a) references to previous
offenses; (b) indication of the seriousness of
management's concern with the continued misconduct or
delinquency; or (c) statements warning that a further
offense "could" result in a more severe penalty. It is
important to state such warning in terms of "could"
rather than "will" result in a more severe penalty.
(3) It may be the last step in a progression of
penalties before removal if it gives clear warning that a
further offense could lead to removal.
b. Relationship To Other Disciplinary Actions:
(1) The reprimand is the least severe formal
openalty. It is a disciplinary action which is not an
adverse action. It has the same weight as a suspension
when it is used as a prior offense penalty to support the
penalty for a later offense.
(2) It can be made more severe for use in those
7
situations where Air Force policy precludes the use of
suspension, in other circumstances where a suspension
might be managerially unsound even though the offense
is serious enough to warrant suspension, or where the
offense does not warrant suspension (see a(2) above).
c. Difference From Letters Stating Standards or
Requirements. Letters which document standards of
performance and standards of conduct are not intended
to be disciplinary and are not reprimands. Also, letters
which establish special requirements (for example, letters
which outline leave approval procedures or which warn
employees of the potential consequences of certain
delinquencies) are not reprimands. A reprimand is used
to discipline an employee who is aware of management's
expectations and who has failed to meet those expecta-
tions for reasons within the employee's control; it may
restate requirements that the employee is expected to
meet.
d. Steps In Considering and Taking a Reprimand. If
there is apparent misconduct or delinquency for which a
reprimand would be an appropriate disciplinary action, it
is suggested that the supervisor follow the steps shown
below, unless a governing collective bargaining agree-
ment provides otherwise. See figure 1. These steps are
not mandatory; rather, they are given as a general guide
to help the supervisor ensure that relevant facts are
surfaced and considered and that appropriate action is
effectively taken. Any required actions in this paragraph
are specffically stated as such. While it is recommended
that the steps below be taken as promptly and efficiently
as possible, they need not be completed in one session.
Supervisors are required to observe employee representation
entitlements according to paragraph 29 at all appropriate
steps. It is suggested that the supervisor:
(1) Gather available facts.
(2) Interview the employee in private; tell the
employee the purpose of the interview including that it
is proposed to reprimand the employee and, if applica-
ble, that this interview serves as an oral notice of
proposed reprimand; state the problem and the facts in a
way that the employee can understand. Supervisors are
required to observe bargaining unit employees' entitlement
to representation according to paragraph 29a where an
interview or inquiry is investigatory in nature.
NOTE: Unless a governing collective bargaining agreement
provides otherwise, it is required that the employee be given
a notice of proposed reprimand which may be oral or
written.
(3) Give the employee an opportunity to answer
and to express his or her views about the circumstances
of the matter. If the employee requests time for thought
before answering, the request should be honored, if
possible. Where a notice of proposed reprimand is manda-
tory (see NOTE in (2) above), it is required that the
employee be given an opportunity to answer. This oppo-
rtunity to answer must comply with paragraph 30.
(4) Consider the employee's answer and any
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8 APR 40-750 23 July 1982
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Declassified and Approved For Release 2012/10/04: CIA-RDP90-00530R000400690005-3
AFR 40 -730 23 July 1982 9
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Declassified and Approved For Release 2012
10
explanations he or she may offer. /t is required that the
employee's answer to a proposed reprimand be considered
according to paragraph 31. If the employee raises ques-
tions which the supervisor must resolve before making a
decision or if the supervisor needs time to consider the
employee's answer, additional time should be taken. In
such cases, advise the employee that a decision on the
matter will be made as promptly as possible and that the
employee will be advised of the decision.
(5) Determine what action is appropriate:
(a) If the discussion satisfactorily resolves the
matter, tell the employee. No further action is
necessary.
(b) If the discussion does not satisfactorily
resolve the matter and the supervisor decides that an
oral admonishment is adequate penalty under the
circumstances, take the steps outlined in paragraphs
13d(5Xb) through (7).
(c) If the discussion does not satisfactorily
resolve the matter and the supervisor decides that a
reprimand might be warranted, tell the employee that
the matter is not resolved and that he or she will be inf-
ormed of the final decision in the near future.
(d) If, after discussion with the CCPO, the
supervisor decides to reprimand the employee, prepare a
"Notice of Reprimand" and coordinate it with the
CCPO before delivering it to the employee. This notice
is required. See paragraphs 19e and f concerning the notice
contents.
(e) Note the reprimand on the AF Form 971.
This notation is required according to paragraph a(I).
(f) Send documentation of the action to the
CCPO. This is required according to paragraph 22.
15. Suspension:
a. Purpose and Use (see paragraph 2u):
(1) A suspension, regardless of its duration, is an
adverse action. It is a severe disciplinary action.
Ordinarily, it is the final step in the disciplinary process
before removal action and is accompanied by a warning
to the employee that a further violation of rules could
result in removal. It is important to state such warning
in terms of "could" rather than "will" result in removal.
(2) A suspension prevents an employee from
performing work and denies salary for the suspension
period. Therefore, a suspension may not be imposed for
indebtedness or for performance -related factors in
nondisciplinary situations (see paragraph 10).
(3) The period of a suspension is normally
expressed in calendar days. Suspensions seldom should
exceed 30 days unless the indefinite suspension provision
of paragraph 16e(1) is used.
b. Suspensions for 14 Days or Less. An employee
against whom a suspension for 14 days or less is
proposed is entitled to:
(1) An advance written notice stating the specific
reason(s) for the proposed action (see paragraph 18).
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AFR 40 -750 23 July 1982
(2) A reasonable time to answer orally or in writ-
ing or both and to furnish affidavits and other documen-
tary evidence in support of the answer. The employee
normally is given not less than 7 days to answer and
must be given not less than 24 hours.
(3) Representation by an attorney or other
representative (see paragraph 29).
(4) A written decision and the specific reason(s) for
the decision at the earliest practicable date (see para-
graph 19).
c. Suspensions for More Than 14 Days. Those suspen-
sions are discussed in paragraph 16.
16. Removal, Suspension for More Than 14 Days, Reduc-
tion in Grade or Pay, or Furlough for 30 Days or Less.
See paragraph 17 for additional, special procedures
when a reduction in grade is based on reclassification or k
job -grading determinations.
a. Actions Included. These actions include but are not
limited to:
(1) Actions based solely on nonperformance related
factors.
(2) Actions that involve both performance and
nonperformance related factors.
(3) Actions not covered by AFR 40-452 that are
based solely on performance -related factors.
b. Removal. See paragraph 2s. A disciplinary
removal is the most severe disciplinary action. It is con-
sidered rehabilitative even though it severs the Air
Force employee -employer relationship. Although it
precludes improvement in the Air Force position from
which removed, it should help the employee see the
need for improvement in future employment. Before
removal is initiated, the facts and circumstances in the
case must be carefully reviewed to ensure they support
the conclusion that the employee has demonstrated
unwillingness or refusal to conform to the rules of
conduct or has so breached the employee -employer rela-
tionship that other rehabilitation is not appropriate and
removal is warranted for the offense.
(1) A removal for misconduct may be based upon
the employee's actions on or off the job. It also may be
based on actions before appointment which reflect upon
the employee's suitability for federal employment. Addi-
tional information is in attachment 5.
(2) Normally, a progression of disciplinary meas-
ures is taken in an effort to rehabilitate an employee
before management decides to remove the individual.
Removal for misconduct after appointment is preceded
by such a progression unless the misconduct is so serious
or the violation of rules and regulations so flagrant that
discharge for a first or second offense is clearly
warranted.
c. Furlough for 30 Days or Less. See e below an.
paragraph 2h for additional information concerning
furlough. Prior approval of HQ USAF is required
before furlough of any duration may be effected.
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Requests must be submitted through command channels
to OCPO/MPKM and must include the reason(s)
I. furlough is considered necessary, efforts made to avoid
the need for furlough, the numbers and skills of employ-
ees involved and the length of the proposed furlough.
No announcement of proposed furlough will be made
before approval.
d. Action Requirements. An employee against whom
an action under this paragraph or paragraph 17 is
proposed is entitled to:
(1) At least 30 days advance written notice, except
as provided in e below (see paragraphs 17 and 18).
(2) A reasonable time, but not less than 7 days, to
answer orally or in writing or both and to furnish
affidavits and other documentary evidence in support of
the answer.
(3) Representation by an attorney or other
representative (see paragraph 29).
(4) A reasonable amount of official time to review
the material relied on to support the proposed action, to
prepare an answer, and to secure affidavits, if the
employee requests time and is otherwise in an active
duty status (see paragraph 30a). However, if the
employee is covered by a collective bargaining agree-
ment, the provisions of that agreement must be followed.
(5) A written decision and the specific reason(s) for
the decision at the earliest practicable date (see para-
ograph 19).
e. Exceptions. Additional information concerning use
of the following exceptions is in FPM Chapter 752,
Subchapter 3:
(1) Crime Provision. The 30 days advance written
notice is not required when there is reasonable cause to
believe the employee has committed a crime for which a
sentence of imprisonment may be imposed. Management
may require the employee to furnish any answer to the
proposed action that the employee wishes to make and
affidavits and other documentary evidence in support of
the answer within such time as under the circumstances
would be reasonable, but not less than 7 days. When the
circumstances require immediate action, management
may place the employee in a nonduty status with pay for
no longer than 10 calendar days to effect the action.
Generally, to invoke the crime provision and process a
removal or indefinite suspension with a curtailed notice
period, management should:
(a) Notify the employee that he or she is being
placed in a nonduty status with pay for no longer than
10 calendar days.
(b) Issue either a notice of proposed indefinite
suspension pending disposition of the criminal action or
of proposed removal when sufficient evidence is avail-
able to warrant removal. The notice includes
Orotification of the reasonable period to answer (not less
an h7 days).
(c) Issue a decision on the action after the
employee has had an opportunity to answer and
11
management has considered any answer. Complete this
action before the employee has been in a nonduty status
for more than 10 calendar days.
(2) Furlough Without Pay Due To Unforeseeable
Circumstances. The advance written notice and oppo-
rtunity to answer are not necessary for furlough without
pay due to unforeseeable circumstances, such as sudden
breakdowns in equipment, acts of God, or sudden
emergencies requiring immediate curtailment of
activities.
Section D?Change To Lower Grade Based on
Reclassification or Job -Grading Determinations
17. Change To Lower Grade. This paragraph concerns
the reduction in grade (demotion) of an employee whose
position is downgraded because of a determination that
the position warrants classification at a lower grade due
to a classification error or job grading standard change
when the position has been classified at the higher grade
for less than 1 year. Therefore, it does not apply to an
action which entitles an employee to grade retention
under 5 C.F.R., Part 536 (see paragraph 3b(10)). This
paragraph also does not apply to the demotion of an
employee whose position is downgraded as a result of
changes in assigned duties and responsibilities (for exam-
ple, job erosion; restructuring; or deletion of duties);
such demotions are processed under reduction -in -force
procedures.
a. A determination that a position warrants
reclassification at a lower grade due to a classification
error or job grading standard change concerns the posi-
tion only and does not necessarily mean that the inc-
umbent also will be changed to a lower grade. When a
position is to be downgraded in such cases, the
employee may be entitled to placement in another posi-
tion according to AFR 40 -300, Filling Positions. If the
employee is to be demoted under the circumstances of
this paragraph, the provisions of paragraphs 16d, 18, and
19 also apply.
b. Contents of Notice of Proposed Adverse Action.
In addition to the requirements of paragraph 18, the
notice of proposed adverse action must:
(1) Inform the employee why the position is being
downgraded (for example, whether because of an
erroneous classification or because of the application of a
new or revised standard).
(2) Have attached to the notice of proposed
adverse action:
(a) A copy of the official position description.
(b) Either the OPM classification certificate or
the classification decision of the Air Force which, in
either case, must include an analysis that compares the
grade controlling duties and responsibilities of the posi-
tion with the applicable published classification or job
grading standards. If it is not feasible because of the
amount of material involved to furnish copies of the
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12 AFR 40-750 23 July 1982
classification guides and standards used to evaluate the
position, include a statement of the arrangements made
for the employee to review the items.
, (3) Do not suggest in the notice of proposed
adverse action that a final decision has been made to
demote the employee; however, it is proper to state that
a decision has been made to downgrade the position.
c. Consideration of Employee's Answer. The
employee's answer is considered by an Air Force official
according to paragraph 6. When the employee is
contesting the classification determination and the final
decision is made by an official other than the CPO or a
CCPO functional chief, the deciding official must con-
sider the, CCPO recommendation concerning the
employee's response and the final decision on the
classification matter before a final decision is given to the
employee.
(1) When the classification decision is the result of
an OPM certificate, there is no need to consider the
employee's arguments against that decision nor to resp-
ond to those arguments in the notice of decision.
(2) The application of an OPM or Air Force deci-
sion as a precedent in making the classification determi-
nation is an Air Force decision that, if contested,
requires consideration and a response in the notice of
decision.
d. Effective Date of Downgrading. The downgrad-
ing of the position may not be effected before the final
decision is made on the proposed demotion or before the
expiration of the advance written notice.
Section E?Notices of Proposed Adverse Action, Notices
of Final Decision, and Related Requirements
18. Notice of Proposed Adverse Action. The purpose of
this notice is to give the employee a fair opportunity to
defend himself or herself against the proposed action.
The notice must make it clear that the action is proposed
but not yet decided. A statement that the notice is of a
proposed action and that any answer will be considered
before a decision is made is sufficient (see b(5) below).
a. The notice of proposed action must include:
(1) The proposed action, for example, "It is
proposed to suspend you for 5 calendar days" (see para-
graph 24).
(2) The specific reason(s) for the proposed action
(see paragraphs 17b and 25).
(3) For furlough only. The basis for selecting a
particular employee for furlough when some but not all
employees in a given competitive level are being
furloughed.
(4) A statement of the employee's right to review
the material relied on to support the reason(s) for action
given in the notice and, at management's discretion,
either: (a) a statement of what arrangements must be
made to review the supporting material, or (b) a copy of
the supporting material enclosed with the notice and a
reference to the enclosed material (see paragraph 27).
(5) Signature of an official who has authority to
propose the action (see paragraph 6).
(6) The date of the notice of proposed action. The
notice is dated before delivery to the employee.
b. The notice of proposed action should but is not
required to include:
(1) The duration of the notice period (see para-
graph 23).
(2) A statement that the employee has a right to
answer orally or in writing or both and to furnish
affidavits and other documentary evidence in support of
the answer (see paragraph 30).
(3) The amount of time allowed for the employee
to answer and a statement that consideration will be
given to extending the time if the employee requests an
extension and provides sufficient reason for the request
(see paragraph 30a).
(4) An identification of the person or office to
receive any written answer; identification of the person
who will receive any oral answer. The person
designated must be an individual who has authority
either to make or recommend a final decision on the
proposed adverse action (see paragraph 28).
(5) A statement that the action is proposed but not
yet decided; that the employee's answer(s) made to a
designated official will be considered; and that whether
or not the employee answers, a final written decisio
will be issued (see paragraphs 18 and 31).
(6) The amount of official time (if otherwise in an
active duty status) allowed for the employee to review
the material relied on to support the proposed action, to
secure affidavits and other documentary material, and to
prepare answer or answers to the notice; statement of
how to arrange for the use of official time (identify the
person with whom arrangements should be made); state-
ment that consideration will be given to extending the
time if the employee requests an extension and provides
sufficient reason for the request (see paragraph 30a).
(7) A statement of the employee's right to represen-
tation (see paragraph 29).
(8) The name, location, and phone number of the
person in the CCPO designated to provide assistance.
(9) The employee's duty status during the notice
period.
19. Notice of Decision. A written notice of decision is
given if a written notice of proposed action was issued
and the employee is still on the rolls. This applies
whether or not the employee provides an answer to the
notice of proposed action and even if a decision is made
to cancel the proposed action or to take a lesser action.
A written notice of reprimand is required whether the
notice of proposed reprimand is oral, written, or n
required.
a. The proposed action may be lessened; for example,
a proposed notice of removal would not bar a decision
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AFR 40-750 23 July 1982 13
to suspend or change to lower grade instead of remove.
b. If management decides that a more severe action
than originally proposed is appropriate, it must give the
employee a new notice to propose the more severe
action; the earlier notice cannot be used as a notice of
proposal for the more severe action.
c. The notice of decision for an adverse action must
be delivered to the employee at or before the time the
action will be effective, or a diligent effort to make
delivery must be made and documented (see paragraph
21).
d. The requirements and recommendations for inclu-
sion in the notice shown in paragraphs e and f also apply
to a notice of reprimand.
e. The notice of decision must include:
(1) The decision in specific terms, for example, "It
has been decided to (remove you), (suspend you for
calendar days), (reprimand you), (etc.)."
(2) The specific reason(s) for the decision. Only
reasons specified in the notice of proposed action are
considered in arriving at the decision. A reference to
the proposed notice and which reason(s) are sustained is
sufficient. The reason(s) for a reprimand should be
sufficiently explicit to document the basis for the action.
If the notice of proposed action informed the employee
that his or her past disciplinary record was considered in
proposing the action, the notice of decision must inform
the employee if the past disciplinary record was relied
on in deciding the action to be taken.
(3) The effective date of an adverse action. For
suspensions include the first and last day of the suspen-
sion and the date and time the employee is to return to
duty.
(4) For reprimand only. Information as to when
the reprimand expires. (For example, "This reprimand
will become a part of your official personnel folder for 2
years from the date of this decision.") Also, include
information that the reprimand will be destroyed and
notation of the reprimand on the AF Form 971 will be
deleted upon the reprimand's expiration.
(5) Information about applicable right to a griev-
ance procedure (see paragraph 33).
(6) Information about applicable right to appeal an
adverse action to the Merit Systems Protection Board
(MSPB), the address of the appropriate MSPB office for
filing the appeal, and the time limits for appeal to the
MSPB (see paragraph 33).
(7) Information about applicable right to appeal
under AFR 40-771, Appeal and Grievance Procedure
(see paragraph 33).
(8) A copy of Optional Form 283, United States
Merit Systems Protection Board Appeal, and a copy of
the MSPB regulations, if applicable. (Optional Form
83 is availableK1SPB regulations are authorized for local reproduc-
tion.)
(9) The signature of an official who has authority to
decide the action (see paragraph 6).
(10) The notice of decision date. The notice is
dated before delivery to the employee.
f. The notice of decision should but is not required to
include:
(1) A statement that the employee answered orally
or in writing or both and that all answers were con-
sidered or that the employee did not answer (see para-
graph 31).
(2) The name, location, and phone number of the
person in the CCPO designated to provide assistance.
20. Timeliness of Action. Management initiates inquiry
while information is fresh and readily available.
Normally, action is initiated as soon as the facts are
known. In the event federal criminal charges have been
or may be brought against the employee, an objection by
the United States Attorney to proceeding with the admi-
nistrative action is given serious consideration and is
honored where possible. If a substantial delay in
effecting action is anticipated, the employee should be
informed that action is being considered, that a course of
action will be determined when possible, and that the
employee will be informed when the decision is made.
21. Delivery of Notices. Notices may be delivered
either personally or by mail. The delivery method is
important; advice concerning preferable means is avail-
able in the CCPO. If an action is grieved or appealed,
management should be prepared to show that either the
employee received the required notices on a timely basis
or that its actions to accomplish timely delivery were
intelligent and diligent under the circumstances.
Management must maintain accurate records of every
attempt at delivery as part of the file required by para-
graph 22. Evidence of an employee's effort to avoid
delivery is particularly important. When the notice is
delivered personally, the person who delivers it records
the place, date, and time of delivery on the file copy.
The employee may also be asked for written
acknowledgment of receipt of notices. The employee's
written acknowledgement does not indicate agreement
with the notice content, but only receipt of the notice.
22. Recording Actions. A record of actions taken under
this publication is sent to the CCPO for retention. That
record includes a copy of the notice of proposed action,
if applicable, any answer the employee may have made
(including summaries of oral answers), the notice of
decision and the reasons therefore, any order effecting
the action, a statement of management's reasoning as to
the appropriateness of the penalty imposed in
disciplinary actions, and any supporting material. Supp-
orting material is that on which management based its
notice of proposed action, if applicable, and relied on to
support the reasons in the notice of decision (see para-
graph 27 for a discussion of the supporting material).
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a. A copy of the record is furnished to the MSPB and
to AFCARA upon their request and to the employee
affected upon the employee's request.
b. Reprunands are temporary records whose retention
period is 2 years from the date of the notice of decision
to reprimand. Expired reprimands are screened from
Official Personnel Folders and are destroyed.
Reprimands which are part of the documentation of a
case processed in an authorized appellate or grievance
forum (for example, AFR 40-771 or AFR 40-1613,
Discrimination Complaints,) are retained in that docu-
mentation. References to expired reprimands are deleted
from the AF Form 971 (see paragraph 14a(1)).
c. Oral admonishments are recorded on the AF Form
971 only. References to oral admonishments are deleted
from the AF Form 971 2 years from the date of the
admonishments (see paragraph 13a(2)).
23. Advance Notice Period:
a. Minimum Notice Period:
(1) There is no specific notice period for an oral
admonishment or a reprimand.
(2) The minimum notice period for a suspension of
14 days or less must not be less than 24 hours. Within
the Air Force, this period is normally not less than 7
days.
(3) The minimum notice period for an adverse
action under paragraphs 16 and 17 is 30 days, except as
provided in paragraph 16e.
b. The time periods specified in paragraph a are
minimum periods and, although longer periods are not
required by this document, additional time should be
taken if needed to satisfy all applicable requirements.
There is no requirement that a tentative date for action
be set or implied at the time the notice of proposed
action is issued. It is sufficient to state in the notice of
proposed action that the adverse action taken, if any,
will be made effective "not earlier than (specify the
number of days of advance notice) days from the date
you receive this notice."
24. Identification of the Proposed Action. State
specifically the most severe action proposed. Suspen-
sions, other than those of indefinite duration, are stated
in terms of the exact number of calendar days. A
proposed action may later be reduced, but a more severe
action cannot be taken unless the employee is given a
new advance notice to propose the more severe action.
Proposing the most severe action under all
circumstances on the expectation that it may later be
reduced is not recommended. When reduction in pay is
involved, state the exact salary the employee is to
receive. For change to lower grade, state the exact
position title and grade the employee will receive. For
change to lower grade within or between pay systems
when there is no entitlement to grade retention, add a
statement as to whether or not the employee is entitled
to pay retention.
25. Specific Reasons (Includes Causes of Action). The
notice of proposed action informs the employee of all
the specific reasons relied on to support the proposed
action. (For reprimands, this information is included in
the notice of reprimand.) It is not necessary to include
every reason that might have been used to support
management's action. The current cause of action
normally is covered in the introductory paragraph of the
notice of proposed action with supporting reasons (such
as prior offenses) addressed in separate paragraphs.
Causes for adverse action may be reasons personal to the
employee such as on or off -the -job misconduct,
delinquency, or physical or mental inability to perform
the duties of the position. Causes also may be imper-
sonal reasons such as the application of new or revised
classification standards or the need to correct a merit
promotion error. The management official who initiates
the action is responsible for identifying and properly
stating the cause(s) of action.
26. Addition of Reasons. If a notice is amended to add
further reasons for action, management must make sure
that the employee is given sufficient time to answer the
added reasons and that no action is taken until the
required number of days of advance notice has elapsed
0
from the date the added reasons are submitted to the
employee.
27. Material Relied on To Support the Action. Manage-
ment assembles the material relied on to support the
reason(s) for the proposed action and makes the file
available to the employee. This material may include,
but is not limited to, statements of witnesses, documents,
investigative reports or extracts from the reports, and
relevant material concerning any previous record or
action relied upon as part of the basis for the current
action. A copy of the supporting material may, at
management's discretion, be enclosed with the notice of
proposed action. If this is done, the notice includes a
statement that a copy of the material is enclosed. Since
all supporting material must be open to review by the
employee, the employee's representative, or the
employee's designated physician under 5 C.F.R.
297.204(c), material which cannot be shown to these
individuals because its disclosure would violate a pledge
of confidence, or because it is in some way restricted or
classified, cannot be used to support reasons for the
action. If management wishes to use such material, it
must obtain it in a form which can be made available for
the employee's review. See FPM Chapter 752,
Subchapter 3.
28. Official To Whom Answer Is Made. Normally, JD
signer of the notice of final decision receives answers
whether they are made orally or in writing. Another
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AFR 40-750 23 July 1982
person may be designated to receive the answer;
however, that person must be in a position superior to
the affected employee (not necessarily supervisory or
one of a higher grade) who has the authority to recom-
mend final decision or a designated CCPO official (see
paragraph 6b(2)).
29. Employee Representation:
a. A union representative of an appropriate bargain-
ing unit is given the opportunity to be represented at
any examination of an employee in the unit by a
representative of the agency in connection with an
investigation if:
(1) The employee reasonably believes the examina-
tion may result in disciplinary action against the
employee.
(2) The employee requests representation.
b. An employee who has received a notice of
proposed disciplinary or adverse action may obtain
advice and assistance in the preparation of his or her
answer. Also, the employee may be represented by an
attorney or other representative when making an oral
answer to a proposed adverse action. The representative
may be present during the answer or may make the
answer for the employee. Time spent by the personal
representative is official duty time if the person is other-
wise in an active duty status or according to a collective
bargaining agreement.
(1) Employees in an exclusive bargaining unit have
the right to be represented according to the terms of any
governing collective bargaining agreement.
(2) Employees who are not in an exclusive bargain-
ing unit have the right to be represented by the person
of their choice, subject to paragraphs c and e.
c. Disallowance of Representative. (See FPM
Chapter 752, Subchapters 2 and 3.) Management may
disallow the employee's choice of an individual as the
representative if (1) activities of the individual as a
representative would cause a conflict of interest or posi-
tion; (2) release of an employee from his or her official
position to serve as a representative would give rise to
unreasonable costs to the government; or (3) priority
work assignments of the individual preclude his or her
release to serve as a representative.
NOTE: The disallowance must be in writing. It must
fully, clearly, and specifically state the basis for the
disallowance. Citations of regulatory provisions and
other authorities relied upon are included. It must be
delivered to the employee within 5 workdays after
notification of the employee's selection of a
representative or as soon as possible thereafter, if the
employee is not available to receive the disallowance.
This notice of disallowance will become the basic expla-
nation of management's position in an adjudication under
paragraph e.
d. Bargaining Unit Employee's Challenge of
Disallowance of Representative. An employee in an
15
exclusive bargaining unit has the right to challenge the
decision to disallow his or her choice of a representative
through the provisions of the collective bargaining
agreement or 5 U.S.C. 7118, as appropriate.
e. Nonbargaining Unit Employee's Challenge of
Disallowance of Representative:
(1) An employee who is not in an exclusive, barg-
aining unit has the right to challenge the decision to
disallow his or her choice of a representative by address-
ing the challenge, through the CCPO, to the AFCARA,
Appellate Review Board (AFCARA/ARB), Bldg 5681,
Third Floor, Room S -7, Bolling AFB DC 20332.
NOTE: It must be received by the CCPO within 5 days
after receipt of the disallowance. The challenge must
provide explanation of why the employee believes the
designation to be proper and should explain why the
disallowance is improper.
(2) Within 2 workdays after receipt of the
employee's challenge, the CCPO sends the file to
AFCARA/ARB for decision. The file will contain
clean, readable copies only of paragraphs (a) through (i).
Copies of documents will not contain markings not on
originals of those documents unless an unmarked copy is
not available. When a marked copy is submitted, the
unavailability of an unmarked copy will be certified, and
all extraneous markings will be identified as such. The
file contains, as applicable:
(a) The designation of representation.
(b) The disallowance.
(c) The employee's challenge.
(d) The employee's official position description.
(e) The designated representative's official posi-
tion description.
(0 Official organization charts showing the rela-
tionship among relevant positions.
(g) Relevant official functional statements.
(h) Local and MAJCOM (or comparable organi-
zation) regulations which are relevant.
(i) Cases, policy statements, and other materials
cited as authorities.
NOTE: A copy of the transmittal letter to
AFCARA/ARB is provided to the employee
concurrently with transmittal.
(3) The Director or Deputy Director, AFCARA
or the Executive Secretary, AFCARA/ARB will, on an
expedited basis, issue a final decision based upon the file
described in (2) above. The decision is sent to the
employee with a copy to the CCPO. That decision is
not subject to further administrative review.
(4) All action on the disciplinary or adverse action
is held in abeyance pending receipt of the decision
rendered under (3) above.
30. Employee's Answer. An employee who has received
a written notice of proposed adverse action is entitled to
answer that notice to the designated official. There is no
restriction on the number of replies that may be made.
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16 AFR 40 -750 23 July 1982
The answer is the employee's explanation of why the
proposed action should not be taken (see paragraph 32
for review of answers as a result of premature appeals or
grievances).
a. Time Allowed:
(1) The employee is entitled to a reasonable resp-
onse period during which he or she may obtain advice
and assistance, review the material relied on to support
the reasons cited in the notice of proposed action (if
applicable), obtain affidavits and statements, consider
appropriate courses of action, and prepare and submit an
answer or answers.
(a) There is no established response period for an
oral admonishment or reprimand.
(b) The response period for a suspension of 14
days or less must not be less than 24 hours. Within the
Air Force, this period is normally not less than 7 days.
(c) The response period for adverse actions
under paragraphs 16 and 17 must be at least 7 days.
(2) Within the response period, the employee must
be allowed a reasonable amount of official time, if
requested and otherwise in an active duty status, for the
purposes specified in paragraph a(1). However, if the
employee is covered by a collective bargaining agree-
ment, the provisions of that agreement must be followed.
(3) Each action initiated requires separate determi-
nations of what constitutes a reasonable total response
period and a reasonable amount of official time. These
determinations are based on the facts and circumstances
of the individual case, the complexity of the issues
involved in it, the amount and type of material in the file
to be reviewed, the need for and the difficulty in obtain-
ing assistance, etc. If the employee requests additional
time, the request should be granted where it is possible
and reasonable. A standard, predetermined definition of
'reasonable" is not authorized.
b. Character of Answer. The employee's answer may
be oral or in writing or both. When an answer is oral, a
summary of the primary points of the interview is made.
If possible, the signature of the employee is obtained to
indicate agreement with the accuracy of the record. An
oral answer does not affect the employee's additional
right to answer in writing.
c. Content of Answer. The employee must be given
the opportunity to make whatever answer he or she
believes may influence the final decision in the
employee's favor or reduce the penalty. The answer
may contain denials or offer evidence to controvert the
charges or lessen the seriousness of the charge. The
employee's answer may not be restricted to matters
related solely to the reasons stated in the notice of
proposed action. The employee must be permitted to
plead extenuating circumstances or to make such other
statements the employee considers appropriate. The
employee is entitled to submit affidavits and statements
in support of the answer.
31. Consideration of Answer. Each answer to a
designated official received before issuance of the notice
of final decision is given thorough and objective con-
sideration. The notice of final decision may not be
issued before the expiration of all time allowed for
answer, including extensions.
a. If an employee's answer in any way refutes the rea-
sons contained in the advance notice, the evidence must
be reviewed objectively and a determination made as to
whether the proposed action is supported by a
"preponderance of the evidence" and should stand as
proposed or whether the action should be modified or
withdrawn.
b. Whenever the need for collecting additional
evidence or other unusual circumstances cause undue
delays in arriving at a final decision, the person
designated to receive the replies explains the delays in
writing to the employee. The letter includes the
approximate date that the final decision will be made.
c. Under no circumstances will the decision to take
an action be based solely on the conclusion that the
employee "failed to refute" the charges.
32. Premature Appeal or Grievance. A notice of
proposed action or a notification that initiation of action
is being contemplated is not subject to appellate or
grievance review except as part of an appeal or griev-
ance of a final decision to effect the action. An attempt
to obtain appellate or grievance reconsideration of a
proposed action is considered to be an answer to the
notice of proposed action and is referred to the official
designated in that notice to receive the employee's
answer. If the action is effected and the employee
desires to contest it, he or she must submit a timely
appeal or grievance.
33. Appeal and Grievance Rights. Disciplinary actions
and adverse actions are subject to review under the
procedures of the MSPB, the Air Force, or negotiated
grievance procedures between the Air Force and exc-
lusive collective bargaining units, as applicable. Written
notices of final decision contain specific information
about those rights; and, if alternatives exist, the
employee is required to select the procedure to be used.
Some general rules are included below; but because not
all employees have the same appellate or grievance
rights, an employee who has received a notice of final
decision should carefully review the appellate or griev-
ance information in it and may ask for CCP? assistance
on specific questions.
NOTE: An employee may not request disciplinary or
adverse action against a management official or
employee as a remedy under Air Force appellate or
grievance procedures (see AFR 40-771 and AFR
40-1613).
a. Oral Admonishments, Reprimands, and Suspension
for 14 Days or Less. Bargaining unit employees who
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AFR 40-750 23 July 1982
have access to a negotiated grievance procedure may
grieve those actions through that procedure. Bargaining
unit employees without access to a negotiated grievance
procedure and nonbargaining unit employees may grieve
such actions through the Air Force grievance procedure
in AFR 40-771.
b. Removals, Suspensions for More Than 14 Days,
Reduction in Grade or Pay, or Furlough for 30 Days or
Less. Except for an individual covered by paragraph 4,
an employee who is a preference eligible or is in the
competitive service may appeal an action covered by
this paragraph to the MSPB or grieve the action
through the negotiated grievance procedure, where
applicable, but not both. A nonpreference eligible in the
excepted service may grieve through the negotiated
grievance procedure, where applicable, or appeal
according to AFR 40 -771, but not both.
Section F?Selection of Appropriate Disciplinary Actions
34. Penalty Selection. The determination of which
penalty to impose in a particular situation requires the
application of responsible judgment to Air Force
disciplinary policy. The disciplinary action taken is
based on the conclusions that there is sufficient evidence
available to support the reason(s) for action and that the
action is warranted and reasonable in terms of the
circumstances which prompted it.
a. Governing Criteria. In determining the appropriate
penalty, management observes the principle of "like
penalties for like offenses in like circumstances." This
means that penalties will be applied as consistently as
possible considering the particular circumstances of the
cause for disciplinary action. It does not mean that
penalties will be applied with "...mathematical rigidity or
perfect consistency regardless of variations in
circumstances or changes in prevailing regulations,
standards, or mores," (Douglas v. Veterans Administra-
tion, et al., MSPB Decision No. AT075299006, 10 April
1981). The penalty selected should not be dispropo-
rtionate to the offense, should contribute to the solution
of the problem and to the attainment of an effective
management environment, and should take into con-
sideration all relevant penalty selection factors.
b. Factors in Penalty Selection. Some of the factors
that may be relevant in selecting the appropriate penalty
are listed below. Not all of the factors will be relevant
in every case and others may be relevant in particular
cases. Selection of an appropriate penalty involves a
responsible balancing of the relevant factors based on
the individual case. Some of the relevant factors may
weigh in the employee's favor while others may not or
may even cause management to view the situation as
more serious and deserving of a more severe penalty
than originally thought. The factors are:
(1) The nature and seriousness of the offense, and
its relation to the employee's duties, position, and
17
responsibilities, including whether the offense was inten-
tional or technical or inadvertent, or was committed
maliciously or for gain, or was frequently repeated.
(2) The employee's job level and type of employ-
ment, including supervisory or fiduciary role, contacts
with the public, and prominence of the position.
(3) The employee's past disciplinary record.
(4) The employee's past work record, including
length of service, performance on the job, ability to get
along with fellow workers, and dependability.
(5) The effect of the offense upon the employee's
ability to perform at a satisfactory level and its effect
upon supervisors' confidence in the employee's ability to
perform assigned duties.
(6) The consistency of the penalty with those
imposed upon other employees for the same or similar
offenses in like or similar circumstances.
(7) The consistency of the penalty with the Guide
to Disciplinary Actions (attachment 3).
(8) The notoriety of the offense or its impact upon
the reputation of the Air Force.
(9) The clarity with which the employee was on
notice of any rules that were violated in committing the
offense, or had been warned about the conduct in ques-
tion.
(10) The potential for the employee's rehabilitation.
(11) The mitigating circumstances surrounding the
offense such as unusual job tensions, personality prob-
lems, mental impairment, harassment, or bad faith,
malice or provocation on the part of others involved in
the matter.
(12) The adequacy and effectiveness of alternative
sanctions to deter such conduct in the future by the
employee or others.
c. Penalty Support. If an action is grieved or
appealed, management must be prepared to support the
appropriateness of the penalty (see paragraph 12b(2)). A
statement of management's reasoning as to the
appropriateness of the penalty imposed must be included
in the record described in paragraph 22.
35. The Guide To Disciplinary Actions (Attachment 3).
The guide helps management select appropriate penalties
by providing a framework for interrelating all the
relevant facts to possible courses of action and to avail-
able penalties. It is used to evaluate causes of action
(offenses), whether or not specifically described, so that a
sound, supportable penalty may be selected. Mechanical
use of the guide must be avoided. The guide is an
expression of typical causes and typical penalties only;
therefore, causes of action and penalties in the guide
may not meet the demands of all situations. It is to be
used as guidance along with supervisory judgment in
considering the particular circumstances of the matter
and the appropriateness of the particular action
contemplated.
a. Cause of Action. The "Cause of Action" column in
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the guide explains many of the common offenses, but it
does not include every possible one. In using that
column to apply general Air Force policy, the supervi-
sor compares each cause of action in the particular case
at hand to all of those described and uses those that
relate to the situation. If there is a corresponding cause
of action shown in the guide, it is the one used to guide
further consideration. If the cause of action in the
particular case at hand is not shown, the supervisor fits
that offense into the general framework by relating its
nature and seriousness to the fundamental characters of
those listed. It is not necessary to use the precise
language in the guide to describe an offense. Additional
information about specifying the offense is in FPM
Chapter 752, Subchapter 3.
b. Typical Penalty:
(1) The "Typical Penalty" column does not dictate
the penalty to be imposed for a particular or comparable
offense; rather, it establishes the range of penalties within
which the penalty imposed usually falls. No minimum
penalty is prescribed for any , cause of action, except
where required by law; and none may be established by
policy statement or by implementing instruction. Unless
restricted by law, management may impose no penalty at
all or may choose from penalties ranging from oral
admonishment to removal.
(2) When considering which offense column of the
guide to use, it is not necessary to establish that prior
offenses under consideration were of the same character
as the current offense. The severity of the penalty
depends on the relationship of the current offense to
relevant factors including those discussed in paragraph
34b. Attachment 4 offers further guidance on how to
determine the penalty.
36. Progression of Penalties. A progression of penalties
means the application of increasingly more severe
penalties as the employee continues to breach the
employee -employer relationship. That progression is
usually applied because of its significance to the
constructive disciplinary process (see paragraph 9).
a. A progression of penalties usually begins with oral
admonishment and proceeds through reprimand to
suspension; if the employee continues not to meet resp-
onsibilities, the progression of penalties may end in
removal.
b. This progression means, for example, that where a
3 -day suspension was imposed for a first offense, a
second offense would call for at least a 3 -day suspension
even though the applicable items in the guide might
show a range of reprimand to removal. Similarly, if a
5 -day suspension was imposed for a second offense, con-
sideration of the penalty to be imposed for a third
offense would begin with a 5 -day suspension.
c. A removal for misconduct or delinquency is
effected only after a progression of penalties unless
discharge for a first or second offense is clearly
warranted. A progression need not include suspension(s)
if the preceeding reprimand(s)' clearly show that the
employee has been given understandable notice of
management's concern for the repetitive improper
behavior and of the future action that management
might take as a result of that concern (see paragraph
14a(2)).
37. Combination of Offenses. A particular situation may
involve only one offense, may appear to involve more
than one offense when there is actually only one, may
involve more than one significant offense, or may
involve more than one offense only one of which is
significant. Avoid multiplying a single offense into
several and including petty instances when the
significant offense provides ample basis for taking
necessary action. When different, significant offenses
occur in combination, each offense may be included as a
cause of action. In this case, a more severe penalty may
be imposed than would be appropriate for a single
offense; but the penalty normally will not exceed that
typically imposed for the most serious offense as
determined by applying the appropriate offense column
of the guide for the number of offenses in combination,
including any prior offenses.
38. Series of Offenses. A series of offenses occurs when
more than one offense is committed by an employee at
different times and appropriate action could not be
completed on each of these offenses individually before
another was committed, even though management has
proceeded at a reasonable pace. A more serious penalty
may be assessed for a series of offenses than would be
appropriate for a single offense. However, the penalty
imposed normally will not exceed the most severe
shown in the appropriate offense column of the guide
(considering the number of offenses in the series and any
prior offenses) for the most serious cause of action in the
series.
39. Prior Offenses. See paragraph 2q. Prior offenses
may be used in determining the severity of the penalty
for a current offense even though they may have
involved different infractions. When used in this
manner, the prior offenses and the resulting penalties
imposed are shown in the notice of proposed action (if
any) and in the notice of final decision.
a. A suspension may be used only if its effective date
was within the 3 years preceeding the date of the notice
of proposed action for the current offense.
b. An oral admonishment or a reprimand may be used
only if its effective date was within the 2 years preceed-
ing the date of the notice of proposed action for the
current offense.
c. A breach of the employee -employer relationship
for which an oral admonishment was imposed is not
considered an "offense" for the purpose of applying
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AFR 40 -750 23 July 1982
attachment 3 and, therefore, is not used to determine that
the second or third offense columns of attachment 3 is
appropriate when selecting a penalty.
(1) An oral admonishment may be used to support
management's decision that a reprimand would be an
appropriate penalty, but it may not be used to support
19
selection of an adverse action penalty.
(2) An oral admonishment may be used in any
disciplinary action to document that an employee has
been apprised of a rule, regulation, other directive, or of
his or her past misconduct or delinquency.
BY ORDER OF THE SECRETARY OF THE AIR FORCE
OFFICIAL CHARLES A. GABRIEL, General, USAF
Chief of Staff
JAMES L. WYATT, JR., Colonel, USAF
Director of Administration
SUMMARY OF CHANGES
This publication updates the directive's coverage of employees and actions (para 3); deletes the requirement for
adverse action approval by the second level or higher supervisor (para 6); requires that, as a minimum, adverse
actions be coordinated with the staff judge advocate (para 7); adds figure 1, Oral Admonishment or Reprimand;
deletes the requirement for HQ USAF approval of suspensions in excess of 30 days; states that suspensions seldom
should exceed 30 days unless the indefinite suspension provision of paragraph 16e(1) applies (pars 15a(3)); deletes
information that the normal period of a suspension is not to exceed 10 days; adds information about furloughs and
exceptions to advance notice periods and the right to answer (pant 16); deletes references to reduction in rank accord-
ing to the Civil Service Reforms Act; adds information and requirements for changes to lower grade based on
reclassification or job -grading determinations (pars 17); changes the minimum notice period of a suspension of 14 days
or less from 14 days to at least 24 hours and normally not less than 7 days (para 23a(2)); changes the usual period for
the employee to answer from not less than 10 days to not less than 7 days (para 30a); adds criteria on selection of
appropriate penalties (para 34a); adds factors in penalty selection according to latest MSPB findings (para 34b); adds
requirement that management's reasoning as to the appropriateness of the penalty assessed be documented (para 34c);
partially deletes maximum penalties in attachment 3, Guide to Disciplinary Actions; revises some typical penalties,
combines and adds to and revises causes of action, and adds additional causes throughout attachment 3.
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AFR 40 -750 Attachment 1 23 July 1982
PROCEDURAL PROTECTIONS FOR DISCIPLINARY ACTIONS AND ADVERSE ACTIONS
Employment Status'
Adverse Action
Except Suspendon
of 14 Days or Less
Suspension of
14 Days or Less
Reprimand and Oral
Admonishment
OPM
USAF
OPM
USAF
USAF
Reemployed Annuitant
No
No
No
yes2
Yes
Overseas Limited 3
Yes
Yes
Yes
Yes
Yes
Career Conditional3
Yes
Yes
Yes
Yes
Yes
Career3
Yes
Yes
Yes
Yes
Yes
Excepted Service
Veteran (except Schedule C, see below)3,4
Schedule B with Competitive Status3
Schedule A Non -Veterano
Schedule C
Schedule B Non-Veteran, no Competitive
Status3,0
Section 6 Dependent School Personnel3
Yes
Yes
No
Yes
Yes
Yes
Yes
Yes
yes
Yes
No
Yes
No
Yes
Yes
No
No
No
yes2
Yes
No
No
Yes
yes6
No
No
Yes
Yes
Yes
Yes
TAPER3
Yes
yes
Yes
Yes
Yes
Term3
Yee
Yee
Yes
Yes
Yes
Temporary Limited
No
No
No
yes2
Yes
Indefinite 3
Yes
, Yes
Yes
Yes
Yes
Status Quo3
Yes
Yes
Yes
Yes
Yes
Career Executive Assignment3
Yes
Yes
Yes
Yes
Yes
Noncareer Executive Assignment?
Non -Veteran
No
No
No
yes2
Yes
Limited Executive Assignment3
No
No
No
Yes
Yes
Appointment With Competition'
Yes
Yes
Yes
Yes
Yes
1. This attachment does not apply to the
Senior Executive Service.
2. In rare circumstances a suspension not to
exceed 5 days is authorized.
_
3. During probationary period, trial period, or
first year of current continuous service in the
same or similar positions.
No
No
No
yes2
Yes
4. At expiration of term for which appointed.
No
No
5. If appointed under Schedule A, Section
213.3102(tXMentally Retarded); Schedule A,
Section 213.3102(uXSeverely Disabled); or
Schedule B, Section 213.3202(kXMentally
Restored).
No
No
No
No
Yes
.
6. If not re-selected for next school year (see
AF Supplement to FPM Chapter 302,
Subchapter 7).
_
No
No
?
?
?
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AFR 40-750 Attachment 2 23 July 1982 21
PROHIBITED PERSONNEL PRACTICES
The prohibited personnel practices enacted by the Civil Service Reform Act of
1978 are summarized below for general information only. For meaning of terms
and for specific provisions of the Act, refer to Title 5, U.S.C., Section 2302.
Prohibited Personnel Practices. Any employee who has authority to take, direct
others to take, recommend, or approve any personnel action, must not:
? Discriminate for or against any employee or applicant for employment on
the basis of race, color, religion, sex, national origin, age, handicapping
condition, marital status, or political affiliation.
? Solicit or consider any recommendation or statement on a person who
requests or is being considered for a personnel action unless the recom-
mendation or statement is based on personal knowledge or records of the
one furnishing it and is an evaluation of the person's work performance,
ability, aptitude, general qualifications, character, loyalty, or suitability.
? Use official authority to coerce political activity, to provide political
contribution or service, or to retaliate against an employee or applicant for
refusal to take part in such political activity.
? Deceive or willfully obstruct a person in the right to compete for employ-
ment.
? Influence a person's withdrawal from competition to improve or worsen
the employment prospects of another.
? Grant any preference or advantage not authorized by law, rule, or regula-
tion to an employee or applicant to improve or worsen the employment
prospects of a particular person.
? Appoint, employ, promote, or advance relatives in his or her own agency
or advocate such action.
? Take or fail to take a personnel action against employees or applicants
who exercise their appeal rights or lawfully disclose violations of law,
rule, or regulation, mismanagement, gross waste of funds, abuse of author-
ity, or a substantial and specific danger to public health or safety.
? Discriminate for or against an employee or applicant on the basis of
conduct which does not adversely affect the performance of the employee
or others (this does not prohibit taking into account conviction for crime
under laws of any state, the District of Columbia, or the United States
when determining suitability or fitness).
? Take or fail to take any other personnel action if to do so violates any
law, rule, or regulation concerning merit system principles in title 5,
U.S.C., Section 2301.
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22 AFR 40.750 Attachment 3 23 July 1982
GUIDE TO DISCIPLINARY ACTIONS
NOTE: See Section F of this regulation for information concerning use of this guide and selection of appropriate
penalties in disciplinary actions.
1. Cause of Action Column:
a. IT IS NOT NECESSARY TO STATE A
CAUSE OF ACTION EXACTLY AS SHOWN IN
THIS COLUMN. What is important is to state exactly
what the employee did wrong, preferably without using
legal terms suggesting crime. If such legal terms were
used, it might be necessary to prove all the elements
necessary to establish that the crime has been commit-
ted, including felonious intent.
b. Cause is best identified by a specific charge or label
for the offense if that charge or label is relevant. BE
CAREFUL TO SELECT A LABEL WHICH FITS
THE FACTS AND NOT TO DISTORT THE FACTS
TO FIT A SPECIFIED OFFENSE IN THE GUIDE.
2. Typical Penalty Column. This column does not dic-
tate the penalty to be imposed for a particular (or
comparable) offense; rather, it establishes the range of
penalties within which the penalty imposed usually falls.
Unless otherwise restricted, management may impose no
penalty at all or has available a choice of severity of
action ranging from oral admonishment to removal.
NOTE: See paragraph 4 of this document for informa-
tion concerning employees in probationary or trial
period, or in first year of current continuous service in
the same or similar positions.
a. Oral Admonishment. An oral admonishment is a
disciplinary action that is often adequate to effect the
required correction or improvement, particularly when
the employee has no previous history of violations. See
paragraph 39c for the use of the oral admonishment in
relation to this attachment.
b. Reprimand. A reprimand is a severe disciplinary
action that should be adequate for many disciplinary
situations which require an action more severe than an
oral admonishment. It may be made more "severe"
according to paragraph 14a(2).
c. Suspension. A suspension is a severe disciplinary
action. Ordinarily, it is the final step in the disciplinary
process before removal and is accompanied by a warn-
ing to the employee that a further violation of rules
could result in removal (see paragraph 15a(1)).
(1) A suspension may not be imposed for indebted-
ness nor performance -related factors when the situation
is nondisciplinary (see paragraph 10).
(2) Suspensions seldom should exceed 30 days
unless the indefinite suspension provision of paragraph
16e(1) is used.
d. Removal. Removal is the most severe disciplinary
action. Before it is initiated, the facts and circumstances
in the case must be carefully reviewed to ensure they
support the conclusion that the employee has
demonstrated unwillingness or refusal to conform to the
rules of conduct or has so breached the
employee -employer relationship that other rehabilitation
is not appropriate and removal is warranted for the
offense.
Cause of Action (Offense)
a. See first page of this attachment
b. See AFRs 30-30 and 40-735 for violation of
conflict of interest regulations.
c. Review paragraphs 1, 9, 10, section F,
and attachment 5 before proceeding.
Typical Penalty
a. See first page of this attachment.
b. See paragraphs 13, 14, 15, 16, and attachment 1.
First Offense
Second Offense
Third Offense
1. Failure to honor valid debts or legal
obligations (see AFR 40-735).
Reprimand
Reprimand
Reprimand
NOTE: There is no offense unless (a) the
validity of the debt is established; (b) there has
been a failure to either arrange for or comply
with a repayment schedule; and (c) there is a
current complaint from the creditor. Suspension
as a penalty is not authorized. Maximum
penalty for third offense is reprimand and for
fourth offense, reprimand with the added
warning that a "continuation of offenses could
result in removal."
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AFR 40-750 Attachment 3 23 July 1982
First Offense
Second Offense
Third Offense
2. Tardiness of less than one -half hour.
NOTE: Counseling or an oral admonishment is
normally used for a first occurrence of tardiness.
A fourth offense would typically result in a
suspension of 5 days or less with the added
warning that a "continuation of offenses could
result in removal."
Reprimand
Reprimand
1 -Day Suspension
3. Tardiness of one -half hour or more, leaving
the job without permission, delayed return from
lunch, unauthorized absence of 8 hours or less.
Reprimand
Reprimand to 5 -day
suspension
Reprimand to
removal
4. Unauthorized absence of more than 8 hours.
NOTE: A removal using adverse action
procedures in this regulation, may be initiated
for a first or later offense after passage of a
reasonable time (a minimum of 10 calendar days)
when the employee fails to report for duty and
fails to notify management of his or her
intentions concerning return to duty, and when
management has been unable to ascertain the
employee's intentions concerning return. The
Air Force does not use the procedures in FPM
Chapter 715, Subchapter 3, to remove an
employee for abandonment of position.
Reprimand to 5 -Day
Suspension
Reprimand to
14 -Day Suspension
5 -Day Suspension to
Removal
5. Failure to request leave according to
established procedures, or failure to honor a
valid denial of a leave request.
Reprimand to 5 -Day
Suspension
Reprimand to
14 -Day Suspension
5 -Day Suspension to
Removal
6a. Failure to observe safety practices including
failure to use safety equipment such as eye
protection devices and failure to comply with
hearing conservation program requirements.
6b. When failure may result in serious injury,
loss of life, or major damage to property.
Reprimand to 1 -Day
Suspension
Reprimand to
Removal
Reprimand to 5 -Day
Suspension
Reprimand to
Removal
Reprimand to
Removal
5 -Day Suspension to
Removal
7a. Violation of security regulations when the
breach does not result in release of security
information to unauthorized sources and there is
no evidence of a compromise of classified
information.
7b. If violation is intentional or results in
unauthorized release or compromise of security
information.
Reprimand
Reprimand to
Removal
Reprimand to
30 -Day Suspension
14 -Day Suspension
to Removal
10 -Day Suspension
to Removal
30 -Day Suspension
to Removal
8a. Drinking, transferring, or selling alcoholic
beverages on duty or on government premises
except where authorized. Reporting for duty
under the influence of intoxicating liquor.
8b. Being on duty so intoxicated as to be unable
to properly perform assigned duties, or to be a
hazard to self or others.
NOTE: Actions involving these offenses must be
carefully evaluated to ensure that the
requirements of AFR 40-792, Drug and Alcohol
Reprimand to 5 -Day
Suspension
Reprimand to
Removal
Reprimand to
Removal
5 -Day Suspension to
Removal
5 -Day Suspension to
Removal
5 -Day Suspension to
Removal
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24 AFR 40 -750 Attachment 3 23 July 1982
First Offense
Second Offense
Third Offense
Abuse Prevention and Control Program, are
met. Close consultation with the CCP?, social
actions office, and the base medical services is
required.
9a. Gambling during work -hours.
Reprimand
Reprimand to
Removal
Reprimand to 5 -Day
Suspension
5 -Day Suspension to
Removal
Reprimand to
Removal
......-
10-Day Suspension
to Removal
9b. Promotion of or assisting in operation of
organized gambling on duty or on government
premises.
10a. Loafing or sleeping on duty.
---
10b. When such action may result in injury, loss
of life, or damage to property.
Reprimand
Reprimand to
Removal
Reprimand to
14 -Day Suspension
5 -Day Suspension to
Removal
Reprimand to
Removal
10 -Day Suspension
to Removal
I la. Possessing, transferring, selling, or using
drug abuse paraphernailia as defined in AFR
40-792.
--------
11b. Use or possession of marijuana, a narcotic,
or dangerous drug on government premises or
on duty. Reporting for duty while under the
Influence of marijuana, a narcotic, or dangerous
drug.
Reprimand
Reprimand to 5 -Day
Suspension
Reprimand to
Removal.
Reprimand to
Removal
Reprimand to
14 -Day Suspension
-----
5 -Day Suspension to
Removal
14 -Day Suspension
to Removal
Removal
Reprimand to
Removal
14 -Day Suspension
to Removal
Removal
llc. Being on duty so impaired by marijuana, a
narcotic, or dangerous drug as to be unable to
perform duties properly or to be a hazard to self
or others.
-----------
I Id. Unauthorized sale or transfer of marijuana,
a narcotic, or dangerous drug on government
premises, or during the duty hours of any person
involved.
NOTE: A dangerous drug is one so defined by
the Attorney General of the United States.
Marijuana is any intoxicating product of the
hemp plant, cannabis (including hashish), or any
synthesis of them. When a narcotic, dangerous
drug, or marijuana has been prescribed for
medical purposes under an appropriate
authority, its use as prescribed is not an offense
under this regulation. The penalty selected
should consider the offender's status as an
experimenter, user, or addict and should,
whenever possible, contribute to his or her
rehabilitation and recovery. Actions involving
those offenses must be carefully evaluated to
ensure that the requirements of AFR 40-792 are
met. Coordination with the CCP?, social
actions office, base medical services, and judge
advocate office is required.
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APR 40-750 Attachment 3 23 July 1982
25
First Offense
Second Offense
Third Offense
12. Making false, malicious, or unfounded
statements against other employees, supervisors,
other officials, or subordinates with the intent to
destroy or damage the reputation, authority or
official standing of those concerned.
Reprimand to
Removal
5 -Day Suspension to
Removal
10 -Day Suspension
to Removal
13. Soliciting contributions from other
government officers or employees for gifts or
presents to those in superior official positions.
Accepting gifts or presents offered or presented
as contributions from persons in government
employ receiving lower salary (see FPM
Chapter 735 and AFR 40-735).
Reprimand
Reprimand to
14 -Day Suspension
Reprimand to
Removal
14. Rude, boisterous play which adversely
affects production, discipline or morale; use of
abusive or offensive language; quarreling or
inciting to quarrel; or interfering with the
production of others.
Reprimand to
Removal
Reprimand to
Removal
Reprimand to
Removal
15. Theft, actual or attempted.
NOTE: Penalty is determined considering value
of property and relevant factors as explained in
paragraph 34b.
Reprimand to
Removal
Reprimand to
Removal
5 -Day Suspension to
Removal
16. Deliberate misrepresentation; falsification,
exaggeration or concealment of a material fact
in connection with any official document;
withholding of material facts in connection with
matters under official investigation; refusal to
testify or cooperate in an inquiry, investigation,
or other official proceeding.
NOTE: For restrictions on salary payment, see
FPM Supplement 990-2, Book 531, Subchapter
S2-7.
Reprimand to
Removal
Reprimand to
Removal
5 -Day Suspension to
Removal
17. Fighting, threatening or inflicting bodily
harm on another, physical resistance to
competent authority or indecent or immoral
conduct.
Reprimand to
Removal
Reprimand to
Removal
5 -Day Suspension to
Removal
18. Discourteous conduct. Includes
discourteous conduct to the public.
Reprimand to 5 -Day
Suspension
Reprimand to
14 -Day Suspension
Reprimand to
Removal
19. Delay or failure to carryout assigned work
or instruction in a reasonable period of time.
Reprimand
Reprimand to
5-Suspension
Reprimand to
Removal
20. Insubordinate defiance of authority, refusal
to comply with proper orders, wanton disregard
of directives or insolence.
Reprimand to
Removal
Reprimand to
Removal
5 -Day Suspension to
Removal
21a. Loss of, damage to, unauthorized use or
destruction of property (including motor
vehicles and aircraft), records or information.
2 lb. When willfulness or intent is involved.
NOTE: 31 U.S.C. 638a(c)(2) provides that any
officer or employee who willfully uses or
authorizes use of government passenger motor
vehicles or aircraft for other than official
purposes will be suspended for not less than 1
month and will be suspended for a longer period
Reprimand
Reprimand to
Removal
Reprimand to 5 -Day
Suspension
Reprimand to
Removal
Reprimand to
Removal
5 -Day Suspension to
Removal
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26 AFR 40-750 Attachment 3 23 July 1982
First Offense
Second Offense
Third Offense
or removed if circumstances warrant. (The
minimum 1 -month period is established as the
effective date of the suspension through the tour
of duty for the preceeding date of the next
month. Examples: 15 July through 14 August
or, if the employee's tour of duty is at night and
includes portions of 2 days, from the time the
tour of duty begins on 15 July through the end
of the tour of duty on 15 August.)
22. Calling or participating in a strike, work
stoppage, or slowdown.
Removal
23. Picketing if such action interferes with
agency operations.
Reprimand to
Removal
Reprimand to
Removal
5 -Day Suspension to
Removal
24. Careless workmanship or negligence:
a. When consequences may be extreme, an
attempt is made to conceal defective work or
there is an unauthorized attempt to remove or
destroy work.
b. Which results in possible or actual
minimum damage to aircraft or other property
and minor disruption of mission.
c. Which results in possible or actual major
damage to aircraft or other property or possible
or actual danger to personnel.
Reprimand
Reprimand to
Removal
Reprimand
Reprimand to
Removal
Reprimand to 5 -Day
Suspension
Reprimand to
Removal
Reprimand to 5 -Day
Suspension
Reprimand to
Removal
Reprimand to
Removal
5 -Day Suspension to
Removal
Reprimand to
Removal
5 -Day Suspension to
Removal
25a. Off duty misconduct of such major import
that the employee is unable to fulfill his or her
job responsibilities.
NOTE: Before initiating action, carefully review
attachment 5, paragraph 9 to ensure that the
criteria are understood and met.
25b. Off duty misconduct of such significance
that there is an adverse effect upon the Air
Force.
NOTE: Removal is normally warranted when
US citizens employed overseas become culpably
involved with the law enforcement authorities of
a host government in whose country the USAF
facility is a guest. Such involvement reflects
upon the United States and affects the success of
its mission overseas.
Reprimand to
Removal
Reprimand to
Removal
Reprimand to
Removal
4
Reprimand to
Removal
Reprimand to
Removal
Reprimand to
Removal
26. Aiding and assisting in prosecution of claim
against the United States, or receiving any
gratuity or any share of or interest in claim from
any claimant other than in discharge of proper
official duties.
Reprimand to
Removal
14 -Day Suspension
to Removal
Removal
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APR 40 -75U Attachment 5 Zi July MA
27
First Offense
Second Offense
Third Offense
27a. Compromise or discredit of examination
materials or process resulting from discussion of
specific question(s) or content of examination
with other employee(s) based on experience in
the examination when there is no deliberate
effort or intent to compromise the examination
materials or process.
27h. Compromise of an examination through
unauthorized possession, use, or furnishing to
others of examination information or materials.
Reprimand
Reprimand to
Removal
Reprimand to
14 -Day Suspension
14 -Day Suspension
to Removal
5 -Day Suspension to
Removal
Removal
28a. Committing a prohibited personnel practice
(see 5 U.S.C. 2302).
28b. If violation was deliberate.
NOTE: If a supervisor or manager has engaged
in an activity which adversely reflects upon the
integrity of the management process, a decision
should be made as to whether he or she should
be reassigned or changed to lower grade to a
position of a different character.
Reprimand to 5 -Day
Suspension
Reprimand to
Removal
Reprimand to
14 -Day Suspension
Removal
Reprimand to
Removal
29a. Discrimination based on race, color,
religion, sex, national origin, age, or
handicapping condition. Includes sexual
harassment. Also includes making racial or
ethnic slurs, or disseminating literature
containing such slurs. Consider circumstances
and the effect on the person(s) discriminated
against, use of abusive language, violent
treatment, or insulting demeanor.
29b. If the discrimination was deliberate.
NOTE: If a supervisor or manager has engaged
in an act of discrimination, a decision should be
made as to whether he or she should be
reassigned or changed to lower grade to a
position of a different character.
Reprimand to 5 -Day
Suspension
Reprimand to
Removal
Reprimand to
14 -Day Suspension
Removal
.
10 -Day Suspension
to Removal
30a. Use of abusive or offensive language toward
a subordinate; baiting or otherwise inciting a
subordinate to violate rules or regulations;
coercion in deprivation of an employee's rights;
or reprisal for employment of appellate
procedures.
30b. If violation was deliberate.
NOTE: If a supervisor or manager has engaged
in an activity which adversely reflects upon the
integrity of the management process, a decision
should be made as to whether he or she should
be reassigned or changed to lower grade to a
position of a different character.
Reprimand to 5 -Day
Suspension
Reprimand to
Removal
Reprimand to
14 -Day Suspension
Removal
10 -Day Suspension
to Removal
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AIR 40 -750 Attacnment LO juiy 1982
SELECTING THE PENALTY
Use this attachment along with attachment 3. It shows the interrelationships of some key factors in the disciplinary
system but neither establishes additional procedural requirements nor automatically sets penalties. Other factors may
also be weighed.
Information on how basic penalty 1 was derived and on
how favorable elements2 were considered need not be
included in notices but must be available for subsequent
use.3
Information must be included in the notices of any
consideration used to increase the severity of the
basic penalty.4
1. Basic penalty is the one
2. Favorable elements are
3. Unfavorable elements
4. Penalty assessed results
that would be used if there
those considerations which
are considerations which
from weighing of
were no other considera-
tend toward the imposition
tend to show a need for
favorable and unfavorable
dons. It is based on:
of less severe penalties.
more severe action than is
factors in relationship to
a. Offense:
Included are:
usually taken. Included
the offense.
(1) Character.
a. Situation.
are:
a. Proposed penalty is
(2) Seriousness.
(1) Possibility of
a. Penalties for past
determined on the basis of
(3) Consequences.
genuine misunderstanding.
offenses within:
all information available at
b. Rehabilitative
(2) Enticements or
(1) Suspension-3
time of institution of
potential of penalty.
provocations.
years.
action, and penalty is
c. Character of
(3) Mitigating
(2) Reprimand-2
specifically stated in notice
employee's position.
circumstances.
years. See paragraph
of proposed action.
b. Employee:
14a(1).
b. Penalty decided upon
(1) Length of service.
(3) Admonishment-2
is determined based on all
(2) Quality of work
years.5 See paragraph
available information
history.
13a(2).
including employee's
(3) Personal
b. Combination of
answer to notice of
reputation.
offenses.
proposed action. Give
(4) Past contributions.
c. Series of offenses.
consideration to request
(5) Record of
d. Character of other
for compassion. State
cooperativeness,
(6) Record of
offenses.
e. Recency of other
penalty decided upon and
effective date in notice of
achievements,
offenses.
f. Employee willfulness
decision.
NOTES:
1. Determine by reference to Section F of this regulation and to comparable offenses in attachment 3.
2. See paragraph 34b of regulation.
3. See paragraph 12b(2) of regulation.
4. See paragraphs 36, 37, 38, and 39 of regulation.
5. An oral admonishment may be used only under limited circumstances. See paragraph 39.
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AFR 40-750 Attachment 5 23 July 1982
SPECIFIC DISCIPLINARY AND NONDISCIPLINARY SITUATIONS
1. Substandard Performance of Duties. It is important to
recognize the true character of a substandard
performance problem. That requires a careful evaluation
of the total circumstances surrounding the substandard
work to determine whether the employee is responsible
for the condition and can control the essentials of the
problem. Appropriate corrective action is not
necessarily disciplinary. A disciplinary action is
appropriate when the cause(s) of the substandard
performance are within the employee's control and
when it is expected that disciplinary action can motivate
a change in behavior to correct the substandard
performance. Other situations may result in personnel
actions, including adverse actions, but such actions
should be identifiable as nondisciplinary.
a. If the cause of the unacceptable work is personal to
the employee but is not in the employee's control, the
situation is not disciplinary. For example, unacceptable
performance caused by the employee's inability to
perform no matter how hard the employee tries requires
nondisciplinary treatment. An action based solely on
unacceptable performance is processed under AFR
40-452, if applicable.
b. If the employee has the skills, knowledge, and
capacity to perform well, and fails to do so, the situation
is probably one which calls for a disciplinary action to
clearly inform the employee of management's concern
and to motivate improvement through elimination of the
causes of the substandard performance. Characteristic of
these disciplinary situations are carelessness, negligence,
refusal to perform, performance in a dilatory manner,
loafing, or disregard for policy or procedure. An action
which has a disciplinary component is processed under
this document, as applicable.
2. Medical Incapacity. An adverse action taken because
an employee fails to meet medical standards for retention
in the employee's position is nondisciplinary. Manage-
ment has the authority and responsibility to make sure
that employees meet medical standards, and employees
are obligated to cooperate. Therefore, an employee can
be disciplined (including removal) for refusal to take a
mandatory medical examination.
3. Functional Transfer. While failure to accompany a
position in a functional transfer is both personal to the
employee and within the employee's control, adverse
actions in such cases are nondisciplinary.
4. Failure To Apply For and Accept Return Assignment
According To Oversea Employment Agreement. Failure
to honor an oversea employment agreement by not
applying for and accepting return assignment according
to the terms of the agreement is a nondisciplinary basis
for separation.
29
5. Preappointment Considerations. Sometimes, after an
employee is appointed, information is developed about
the employee's conduct or health which raises a question
as to the desirability of the employee's retention.
a. When such information was fully disclosed and
reviewed by the Air Force appointing officer or by the
OPM before the employee's appointment, disciplinary
action is not appropriate solely on the basis of such
previously disclosed preappointment information.
b. If the information was not known or disclosed
before appointment, disciplinary action may be tr '?ten for
such cause as will promote the efficiency of the service.
Generally, an employee who is serving luider other than
a temporary appointment may not be removed unless the
preappointment consideration would have been material
in preventing the employee's appointment (see guidance
in FPM Supplement 731-1).
6. Drug or Alcohol Abuse:
a. The Department of the Air Force Drug and
Alcohol Abuse Prevention and Control Program, AFR
40-792, gives nondisciplinary procedures for offering
rehabilitative assistance for drug or alcohol abuse prob-
lems. Drug or alcohol abuse involves the personal use
of those substances. See AFR 40-792, Drug and
Alcohol Abuse Prevention and Control, for further
explanations of the terms. Except as provided in b
below, when the supervisor has good reason to believe
that the cause of a job -related problem may be drug or
alcohol abuse, the supervisor will postpone initiation of
contemplated disciplinary or adverse action under this
publication pending referral of the employee for
interview according to AFR 40-792, attachment 3, para-
graph 2f(2). The contemplated disciplinary action or
adverse action will be postponed for a reasonable time to
allow the employee to improve provided the employee
reports for the interview; the supervisor knows that the
employee is enrolled in an approved rehabilitative
program; and the employee is progressing satisfactorily.
(See AFR 40-792, attachment 3, paragraph 7c for an
explanation of "reasonable time.") If the employee does
not report for the interview, the supervisor may proceed
with the contemplated disciplinary or adverse action, as
applicable.
b. Adverse action need not be postponed if placement
of the employee in a leave status is not appropriate and
retention of the employee in a duty status might result in
damage to government property or personal injury to
the employee or others. Adverse action need not be
postponed if the crime provision discussed in paragraph
16e(1) is invoked.
c. One referral of the employee for interview under
AFR 40-792, attachment 3, paragraph 2f(2) meets the
Air Force obligation to advise the employee of the avai-
lability of rehabilitative assistance. Therefore, the
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30 AFR 40-750 Attachment 5 23 July 1982
employee need not be referred for interview under AFR
40-792 again before disciplinary or adverse action may
be taken for misconduct, delinquency, or another
job -related problem that occurs or is brought to the
employee's attention after the date established for the
initial interview.
d. Participation in a rehabilitative program does not
exempt an employee from disciplinary or adverse action
for reason(s) that occur after the initial referral for
interview according to AFR 40-792, attachment 3, para-
graph 2f(2), nor for reason(s) unrelated to drug or
alcohol abuse.
7. Motor Vehicle Operator. Disciplinary and adverse
actions against individuals assigned to operator and inc-
idental operator positions must be according to applica-
ble laws and regulations. The following grounds are
among those constituting sufficient cause of action
against operators and incidental operators:
a. The employee is convicted of operating under the
influence of narcotics.
b. The employee is convicted of leaving the scene of
an accident without making himself or herself known.
c. A federal medical officer finds the employee fails to
meet the required physical standards.
d. The employee's state license is revoked.
e. The employee's state license is suspended. The
employee may be continued in his or her position for not
to exceed 45 days from the date of suspension of the
state license, for operation on other than public high-
ways. This is to permit continuance of an employee in a
position for which a currently valid state license is
required where it is probable that the employee will
have his or her state license restored within the 45 -day
period. If it is apparent from the nature of the suspen-
sion that the state license is not likely to be restored
within the 45 days, the employee should be immediately
barred from the operation of a motor vehicle. Addi-
tional guidance is in FPM Chapter 930, Subchapter 1.
8. Mbuse of Leave. Since management has the discre-
tion to apProve or deny most requests for leave, the
general rule is that management may not take action
based on an employee's use of approved leave, whether it
be sick leave, annual leave, or leave without pay (see
exceptions in b below). Use of accrued sick leave in the
absence of fraud or subterfuge, is an entitlement of every
employee who is ill or incapacitated by injury, and an
approval is contingent on submission of supporting
evidence acceptable to management. The right of the
employee to take sick leave for nonemergency examina-
tions is subject to requesting this leave in advance, with
the approval of the proposed time subject to the need
for the employee's services. When management
approves an employee's request for leave, the approving
official presumably makes a determination that the
employee's presence on the job is not required. If
management needs the employee's services, it may deny
leave and if the employee does not report for duty, show
the absence in time and attendance reports as absence
without leave (AWOL). Neither the denial of leave nor
the time and attendance reporting entry of AWOL is
punitive, and neither means that the employee has
insufficient reason for requesting leave. Rather, they
mean that the employee's presence is required and that
the reason for requesting leave is not one for which
leave must be approved. The employee's failure to
honor the leave denial and the unauthorized absence
may form the basis for disciplinary or adverse action.
a. If management has in the past approved an
employee's leave but believes that the extent of the leave
used is such that the employee is not on duty on a regu-
lar, full -time or part -time basis in a position which
requires a regular, full -time or part -time employee, or if
the employee has consistently failed to obtain advance
approval for leave, management has the opportunity to
establish an appropriate record as part of a basis for
further action by:
(1) Informing the employee that his or her
attendance record is unsatisfactory and needs to be
improved.
(2) Warning the employee that further sick leave
will not be approved without sufficient medical docu-
mentation and that annual leave and leave without pay
(LWOP) will be approved only if requested in advance
and the employee's services are not essential during the
period for which the leave is requested.
NOTE: If the employee is then absent without prior
approval or proper medical documentation, management
may record the employee's absence as AWOL. Such
unauthorized absence may serve as a basis for
disciplinary or adverse action.
b. Exception to the General Rule. Adverse action
may be taken based on a record of excessive
unscheduled LWOP when three criteria are met:
(1) The record shows that the employee was absent
for compelling reasons beyond the employee's control so
that management approval or disapproval was
immaterial because the employee could not be on the
job.
(2) The absence or absences continued beyond a
reasonable time and the employee was warned that
adverse action might be initiated unless the employee
became available for duty on a regular, full -time or
part -time basis.
(3) Management showed that the position needed
to be filled by an employee available for duty on a regu-
lar, full -time, or part -time basis.
NOTE: This exception would be applicable only under
certain unusual circumstances such as the inability of an
employee to return to duty or to work on a regular basis
because of the continuing effects of illness or injury (on
or off -the -job). Other circumstances may, in rare cases,
meet these criteria. This exception would probably not
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APR 40 -750 Attachment 5 23 July 1982
apply, for example, to situations of repeated absences to
tend to personal affairs or because of failure to obtain
adequate transportation to work. These situations
presumably are under the control of the employee and,
therefore, are reasons to deny leave and record the
absence as AWOL. Separation of an employee who is
receiving employee's compensation after an on -the -job
injury would be handled as explained in FPM Chapter
353 and AFR 40-716, Fitness for Duty Examinations
and Resulting Personnel Actions.
9. Off -Duty Misconduct. Because the Air Force does
not interfere unnecessarily in the private affairs of its
employees, care must be taken in citing an employee's
off-duty misconduct as a cause of action. As in any
other disciplinary or adverse action, there must be a
nexus between the cause of action and the efficiency of
the service.
10. Arrest, Indictment, or Conviction for Criminal
Offense:
31
a. Arrest. The fact that an employee was arrested for
a crime is not by itself sufficient as a cause of action
since the employee, in fact, may be innocent of the
crime. However, the underlying misconduct which led
to the arrest may be the basis for disciplinary action
even though no later trial is held or the employee is
acquitted.
b. Criminal Indictment. Criminal indictment by itself
is not sufficient as a cause of action, except for an
indefinite suspension pending disposition of criminal
action (see paragraph 16e(1) and FPM Chapter 752,
Subchapter 3.)
c. Criminal Conviction. If the cause of action relied
on for disciplinary action is criminal conviction, later
acquittal of the employee or dismissal of the criminal
charge could vacate the cause for management's admi-
nistrative action. If the cause of action relied on is the
employee's underlying act of wrongdoing rather than
the conviction, the administrative action generally will
not be affected by the later court action on the criminal
case.
* U.S. GOVERNMENT PRINTING OFFICE:1986-49 0- 954 / 50 0 4 4
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