18.4 Addressing Misconduct & Prohibited Behavior
Key Takeaways
- Placement on the control roster is a mandatory Unfavorable Information File entry and is initially instated for six months.
- Individuals have three duty days to acknowledge and respond before a commander finalizes a UIF or control roster action.
- Mandatory UIF documents include Article 15 punishment of more than one month (31 days or more), court-martial conviction, qualifying civilian conviction, and control roster actions.
- Preponderance of the evidence — the greater weight of credible evidence — is the standard used in administrative action proceedings.
- The three service characterizations for administrative discharge are honorable, general (under honorable conditions), and under other than honorable conditions.
The Purpose of Corrective Action
Commanders, supervisors, and other persons in authority can issue administrative counseling, admonitions, and reprimands "intended to improve, correct, and instruct subordinates who depart from standards of performance, conduct, bearing, and integrity, on- or off-duty, and whose actions degrade the individual and the unit mission."
Note the purpose verbs — improve, correct, instruct — which frame corrective action as developmental rather than purely punitive, consistent with the accountability definition in Chapter 14.
The Two Files
| File | Purpose and rules |
|---|---|
| Personnel Information File (PIF) | Authorized by DAFI 36-2608. If established, use of AF Form 10A, Personnel Information File is required. Custodians must keep PIFs current and secured in a locked area or container. The member may gain access to their PIF at any time. Contents must be available to commanders, raters, first sergeants, senior raters, AFOSI, and Staff Judge Advocate personnel, as warranted |
| Unfavorable Information File (UIF) | "Provides commanders with an official and single means of filing derogatory data concerning a USAF member's personal conduct and duty performance." With some exceptions, the commander has wide discretion as to what is placed in or removed from a UIF. Governed by DAFI 36-2907, Adverse Administrative Actions |
Mandatory UIF Documents
Four categories, and the first one's threshold is the detail most often tested:
- Suspended or unsuspended Article 15 punishment of more than one month (31 days or more)
- Court-martial conviction
- Civilian conviction where the penalty or equivalent action resulted in confinement of one year or more, or could have resulted in confinement for more than one year or death
- Control roster actions
Optional documents may be included in UIFs for up to one year.
Process: individuals have three duty days to acknowledge and provide pertinent information before the commander makes the final decision. The commander then advises the individual of the decision, and if the information is filed, the individual's response is also filed.
Review requirements: unit commanders must review all UIFs within 90 days of assuming or being appointed to command; when individuals are considered for promotion, reenlistment, permanent change of station or assignment, and reclassification or retraining; and annually, with the assistance of the Staff Judge Advocate.
Authorized UIF access extends to: the member, commander, first sergeant, enlisted performance report reporting and rating officials, force support squadron personnel, inspector general, inspection team, legal office personnel, military equal opportunity personnel, law enforcement personnel, and substance abuse counselors.
The Control Roster
Control rosters are used "to establish an observation period as a rehabilitative tool for individuals whose duty performance is substandard or who fail to meet or maintain USAF standards of conduct, bearing, and integrity, on- or off-duty."
The threshold rule: "A single incident of substandard performance or an isolated breach of standards not likely to be repeated, is not ordinarily a basis for a control roster action." Commanders should consider prior incidents, acts, failures, counseling, and rehabilitative efforts.
| Element | Detail |
|---|---|
| Form used | DAF Form 1058, Unfavorable Information File Action |
| Effect | Puts the member on notice that performance and behavior must improve, or he or she will face more severe administrative action or punishment |
| Response window | Three duty days to respond and submit a statement before the action is finalized |
| UIF entry | Mandatory |
| Initial duration | Six months, though it can be removed early at the commander's discretion |
| Timing | The six-month period begins the day the DAF Form 1058 is finalized and ends at 2400 hours six months later |
| If not rehabilitated | The commander initiates more severe action |
The limit AFH 1 attaches: "The control roster is not to be used by commanders as a substitute for more appropriate administrative, judicial, or nonjudicial action."
Counseling, Admonishment, and Reprimand
These are "quality force management tools" that "should be used as part of a graduated pattern of discipline in response to repeated departures from standards." The decision on which to issue "should be based primarily on the nature and seriousness of the incident and on the previous disciplinary record of the member."
| Action | Purpose | Filing rules |
|---|---|---|
| Letter of Counseling (LOC) | Used by first line supervisors, first sergeants, and commanders to help Airmen use good judgment, assume responsibility, and face and solve problems; helps develop skills, attitudes, and behaviors consistent with maintaining USAF readiness | May be documented on a DAF Form 174, Record of Individual Counseling, or on bond paper or letterhead as a letter of counseling |
| Letter of Admonishment (LOA) | Documents "an infraction that warrants more severe action than a counseling, but not serious enough to warrant a reprimand" | For officer personnel, if not filed in the UIF, it must be filed in the individual's PIF |
| Letter of Reprimand (LOR) | "More severe than a letter of counseling and letter of admonishment and indicates a stronger degree of official censure" | Commanders may elect to file an LOR in a UIF for enlisted personnel; LORs are mandatory for file in the UIF for officer personnel |
Two format points: counseling statements may be verbal or written, but "written corrective actions are more meaningful to the member, and when documented properly, may be used in subsequent proceedings." Written actions are subject to the rules of access, protection, and disclosure outlined in the Privacy Act of 1974 — including copies kept by supervisors and commanders, not just those filed in a UIF or PIF.
The evidentiary standard is the most testable item in this passage:
"Preponderance of the evidence is the standard to utilize in administrative action proceedings when evaluating whether the evidence establishes that misconduct occurred. A preponderance of the evidence simply means the greater weight of credible evidence."
And the consequence of falling short: "If such proof is lacking, administrative action is susceptible to being found to be legally unsupportable and, as a result, could be set aside."
Administrative Demotion and Separation
Administrative demotion is "a tool available for commanders for certain reasons" and "should not replace action under the UCMJ." Reasons include failing to fulfill Airman/NCO/SNCO responsibilities, failure to keep fit, and student status termination. "When appropriate, Airmen should be given an opportunity to overcome their deficiencies before demotion action is initiated." The process is in AFI 36-2502 — the same instruction that governs promotions.
Administrative separation. "Airmen are entitled to separate at their expiration of term of service unless there is a specific authority for retention." But the key nuance: "As a rule, Airmen separate on the date their expiration of term of service occurs, but their separation is not automatic. Airmen are members of the USAF until they are separated by administrative action."
Commanders must consult the servicing Staff Judge Advocate and military personnel flight before initiating an involuntary separation.
| Type | Examples |
|---|---|
| Required separation | Airmen continuing to serve in another military status — separating to serve with the Air Force Reserve or Air National Guard, or to accept appointment as a commissioned officer of the USAF or warrant or commissioned officer of another branch |
| Voluntary separation | Early separation for the convenience of the government if criteria are met — entering an officer training program, pregnancy, conscientious objection, hardship, and early release to attend school |
| Involuntary separation | Physical conditions interfering with duty performance or assignment availability, inability to cope with parental responsibilities or military duty, insufficient retainability for required retraining, and defective enlistment (fraudulent or erroneous). Discharge for cause may be based on unsatisfactory performance, substance abuse, misconduct, or the interest of national security |
Service Characterization
Under DAFI 36-3211, Military Separations, service may be characterized three ways:
| Characterization | When given |
|---|---|
| Honorable | Members separating at their expiration of term of service, or voluntarily or involuntarily separating for the convenience of the government. Given when the quality of service generally has met USAF standards of acceptable conduct and performance of duty, or when service is otherwise so meritorious that any other characterization would be inappropriate |
| General (under honorable conditions) | Given when service has been determined to be honest and faithful, but significant negative aspects of the member's conduct or performance outweigh positive aspects of the record |
| Under Other Than Honorable Conditions | Given based on a pattern of behavior, or one or more acts or omissions, that constitute a significant departure from the conduct expected of an Airman. Can be given only if the member is offered an administrative discharge board, or if a discharge is unconditionally requested in lieu of trial by court-martial |
The procedural protection attached to "under other than honorable conditions" — the board offer or the request in lieu of court-martial — is what distinguishes it and is frequently tested.
Discharge in lieu of trial by court-martial: if charges have been preferred and the UCMJ authorizes punitive discharge for any preferred offense, the Airman may request an administrative discharge instead of trial — but "there is no guarantee that the Airman's request will be granted."
The Two Boards
| Board | Scope |
|---|---|
| Air Force Discharge Review Board | Affords former members the opportunity to request review of their discharge within 15 years of the date of separation — except for a bad-conduct discharge, dishonorable discharge, or dismissal by general court-martial. Considers changing the characterization of service, the reason for discharge, and the re-enlistment code, based on standards of propriety or equity. A personal appearance before the board is a statutory right, in person or via video teleconference. Application is DD Form 293 |
| Air Force Board for Correction of Military Records (AFBCMR) | "The highest level of administrative review for correcting military records." Records that may be changed include enlisted performance reports, fitness test results, debts incurred, discharges and reenlistment codes, survivor benefit plans, accumulated leave days, Article 15 actions, and reinstatement. Records may be changed, voided, or created to correct an error or remove an injustice. The board is a recommending body and votes to grant, partially grant, or deny; favorable recommendations go to the Secretary of the Air Force or designee for final decision, which — unless procured by fraud — is final and binding on all USAF officials and government agencies. Application is DD Form 149 |
Two contrasts drive the items here. First, a personal appearance is a statutory right before the Discharge Review Board, but before the AFBCMR it is "not a statutory right and is granted solely at the discretion of the board," predicated on finding that the applicant's presence will materially add to the board's understanding.
Second, the AFBCMR requires exhaustion: "Applicants must exhaust other reasonably available administrative avenues of relief prior to applying." If they have not, the DD Form 149 will be returned without action.
Form numbers to memorize: DD Form 293 for discharge review; DD Form 149 for records correction; DAF Form 1058 for control roster; DAF Form 174 for individual counseling; AF Form 10A for the PIF.
How long is an Airman initially placed on the control roster, and what response opportunity do they have before the action is finalized?
Which document is mandatory for filing in an Unfavorable Information File?
What evidentiary standard applies in administrative action proceedings, and what happens if it is not met?