Disciplinary Case File

All documents relied on to support a disciplinary action should be maintained by the servicing Civilian Personnel Advisory Center (CPAC) in a hard copy case file if it is not entered into the Case Management and Tracking System (CMTS). The documents should be kept in the case file in date order, starting with the oldest to the most recent dated document. The case file should be arranged as follows.

  • Left side of the folder: Contains chronological tracking log sheets
    • Documents when information is sent to and received by the CPAC
    • Documents when the CPAC makes contact with supervisors regarding meetings, teleconferences, requesting documentation, etc.
  • Right side of the folder: Contains documents that should be part of the disciplinary file
    • Copies of notice of proposed action
    • Employee's response (or notation that no written response was made)
    • Summary of employee's response when made orally (including employees or representatives signature as to accuracy of memorandum for record)
    • Copy of Notice of Decision
    • Documents supporting the action (i.e. witness statements, affidavits, investigative reports or extracts of them, pertinent regulations, personnel actions, etc.)
    • Evidence of delivery of the notice letters

NOTE: Hard copy case files must be maintained for a minimum of 4 years or as long as they are needed but not more than 7 years after the action.

HR specialist may contact HQ CHRA for additional guidance regarding case file requirements and CMTS.

Content last reviewed: 6/25/2014-KRB/BWR

Return to: PERMISS Homepage | Management-Employee Relations Program

This page was last revised: 6/25/2014