Guidelines to Conducting OPR Investigations

/ALL INFORMATION CC _TAIL'..M
[ HEREIN IS UNCLASSIFIED
DATE 12-09-2009 BY 65179 DMI-1110
Guidelines to Conducting
OPR Investigations
Delegated Investigation/Adjudication
. Delegated Investigation
Non-Delegated Investigation
Preliminary Inquiries
Revised 9/10/2002
FB 1024364CBT
OIG—REQ 02/18/05,4ART 12 DOJOIG013435 FB100001 ,8 •
TABLE OF CONTENTS -
BACKGROUND 1
OPR Notification Form' 1
CONDUCTING THE INVESTIGATION. • 3.
INVESTIGATIVE ISSUES 5
Electronic SurveillanCe 5•
Polygraphs
V V
5
Drug Testing • 6
Alcohol Policy • 6 '
Administrative Leave 6
Personal Relationships Policy 6 -
Outside Agency Liaison 7 •
Douglas Factors 7
WHISTLEBLOWER PROTECTIONS FOR EMPLOYEES . . 8
CONDUCTING THE INTERVIEW 8
Non-FBI employees V 8 •
FBI employees V . 8
•" SSS Employee Interview With Administrative Warning — — 9•
SSS Employee Interview with Criminal Warning 13 " '
Privacy Act " . 13
' , .
DELEGATED INVESTIGATION/ADJUDICATION CASES 14
ADJUDICATION V15
No Disciplinary Action.Recommended V 16
Level One ;. Oral Reprimand 16
Level Two - Letter of Censure V 16
Levels Three and Four - Suspensions • 16
FORWARDING THE COMPLETED CASE . 17
OTHER GUIDANCE 17
Employee Assistance Program 17
Fitness For Duty (FFD) Evaluation V 18
Security Division Referrals 18
Orribudsman Program.
ATTACHMENTS:
Acknowledgment Form
Revised 9/10/2002
FB1024365CBT
OIG—REQ 02/18/05—PART 12 FB10000159 • DOJOIG013436
A Sample SSS V • •
Sample USS
No Action Letter • D
Oral Reprimand EC (Level One).
.E Letter of Censure (Level Two)
.F
Suspension (Levels Three and Four)
Sample Summary EC
H
Revised 9/10/2002:
FBIO24366CBT
OIG—REQ 02/18/05—PART 12 V DOJOIG013437 FBI000016O
GUIDELINES FOR CONDUCTING OFFICE OF PROFESSIONAL RESPONSIBILITY
(OPR) INVESTIGATIONS: Delegated Investigation/Adjudication Cases .(DIAs);
Delegated Investigations (DIs); and Non-delegated Cases (NDs)
An EC has been sent to your division to investigate an
OPR matter. This enclosure contains OPR procedfiral,
investigative, and documentation guidelines and should
be reviewed prior to commencing the investigation, and
adhered to during the investigation.
BACKGROUND
The Director, by OPR EC to All Divisions dated 07/18/2002, entitled Delegation of
Disc' iplinaty Action Authorities to EA'Ds, ADICs, SACs, and FBIHQ Division Heads,
established new disciplinary authorities and policy for the conduct of OPR investigations
.associated with allegations of employee misconduct. There are now three methods for
the conduct of these investigations. First, in certain articulated violation codes; OPR
investigations will be delegated to Division Heads for both.investigation and adjudication
(DIAs). (Investigative information specific to DIAS'is set forth under that heading in
. these guidelines below.) Second, although some OPR investigations will be delegated
to Division Heads, they are.required to be adjudicated at OPR because of the
complexity or seriousness of the matter. These cases are delegated for investigation
only (Dls). Third, sorneinvestigatidris are conducted and .adjUdicated solely by .OPR
personnel; these are non-delegated matters (NDs).
Diyision Heads receiving OPR cases delegated for investigation only (151s) as
well as non-delegated investigations conducted by OPR, are not affected by the new
Policy guidelines set forth in OPR EC to All Divisions dated -07/18/2002. These matters
will. continue to be investigated in accordance. ith HOG, Part I, Section 263, and the
Director!s airtels to all ADICs, et al.: entitled "Delegations of Disciplinary Action
Authorities to ADICs and FBIHQ Division Heads," dated 2/23/94 and 1/30/95. , Division
Heads are reminded.of guidance set forth in these airtels in which it is noted that no
administrative action.may be taken with respect to. employees under your supervision in
OPR investigations unless expressly authorized by OPR, upon OPR's receipt and
review of the investigative results of the inquiry.
OPR Notification Form - Once an allegation of misconduct is brought to the attention
of FBI OPR, the allegation is reviewed by the Department of Justice-Office of Inspector
General (DOJ/OIG) and a determination is made regarding investigative responsibility
for the alleged misconduct. If the DOJ/01G defers the matter to FBI OPR for
investigation, and the matter is suitable for delegation, OPR will forward to the Division .
Head two copies of an OPR Notification Form containing information-for the employee.
The OPR case supervisor will be identified at the bottom of the Notification Form. The
Division Head or his representative should present the, employee with the OPR
Revised 9/10/2002 71-
OIG—REQ 02/18/05—PART 12
FBIO24367CBT
DOJOIG013438 FBI00.00341
Notification Form, and enclosed information, upon receipt. The division representative
presenting the employee with the OPR Notification Form should sign and date both
forms, have the employee sign and date both forms, read the allegation of misconduct
to the employee, provide the employee with the enclosed OPR forms, "The FBI's
Disciplinary Process," "OPR Disciplinary Process: Disclosure of Information to
Attorneys," and "Non-Disclosure Agreement;"review the information on the Notification
Form with the employee and emphasize two points 1) the availability of counseling to '
the employee frOm•the Employee Assistance Program (EAP) and 2) the employee has
the . opportunity, prior to being interviewed, to voluntarily provide documentation,
information, or explanation, to OPR that may assist in the resolution of the investigation.
One of the signed, original Notification Forms will be returned to OPR along with
the original executed disclosure forms if the employee has chosen to be represented
by a privately retained attorney. The other original Notification Form will be given to
the employee. The Division Head should make copies of.these forms for the office file
and for the assistance of the. Agent assigned to conduct the investigation. Prior to
commencing the investigation, the Agent assigned to conduct the investigation should
,confirm that the Notification Form has been, presented to the employee and if the
employee is represented by an attorney. If the employee to be interviewed has retained
an attorney, the Agent assigned to conduct the OPR investigation should review those
sections of the OPR form entitled "The FBI's Disciplinary Process," pertaining to
attorney representation prior to interviewing the employee.
The • Notification ForM title Will be styled to includeldentification of thee -employee
who is the subject of the investigation as well as OPR's determination that the : •
investigative case is a DIA, Dl, or ND matter. The Notification Form for DIAs will advise
"the subject employee that the matter has been delegated to the Division Head for both
investigation and adjudication; otherwise, adjudication responsibility will be retained by
OPR. Upon receipt of the Notification Form, the Division Head should not
conduct any investigation of the alleged misconduct until advised by OPR.. OPR
will delegate the investigative matter to a Division Head by an EC that may contain
specific FBI policy and/or investigative matters to be addressed in the investigation.
After presentation of the notification form to the subject(s), the employee should
be given a sufficient amount of time to refresh their memory before information is •
requested from them. A reasonable amount of time, not to exceed (10) ten days, is
suggested between the subject employee's receipt of the Notification Form and the
employee's interview. The employee may opt to waive this time period and agree to be
interviewed immediately or otherwise within the suggested waiting period. This time
period will permit the employee time to decide if they want legal representation, to retain
an attorney, and/or
to collect whatever documents br . information they want to voluntarily provide to OPR, or
to prepare a statement for QPR concerning their alleged misconduct.
Revised 9/10/2002 -2-:
FBIO24368CBT
OIG-REQ 02/18/05-PART 12 DOJOIG013439 ' F331.0000162
CONDUCTING THE INVESTIGATION -
The following infOrmation applies to all OPR investigative matters:
The term "investigation," for the purpose of these guidelines, is inclusive of both
the investigation and adjudicatiOn of the DIA OPR matter.,
The Division Head will not begin the investigation of the delegated OPR matter
(DIA and DI) until advised by EC from OPR.•
Investigative EC - Upon receipt ,of the OPR EC,initiating the•investigation, and
review of any referenced policy matters set forth in the EC, -the investigation should
specifically address each allegation of misconduct and the elements that constitute the
policy/procedure that has allegedly been violated. All logical areas of inquiry should be
pursued. Interview areas of inquiry should be developed from review of information
collected during the investigation. Derivative, logical follow-up questions should be
asked during interviews to fully address the alleged misconduct of the subject
employee(s). Persons interviewed should be reminded to be forthcoming with
information and, in furtherance of candid disclosure, not limit their response specifically
to the strictest meaning of a word orphrase within a question but rather to focus upon
the intent of the question.
Investigative Quality Control - It is the Division Head's resporisibility, or the
respOnsibility.of other members of the division's executive management staff to whom
this OPR matter has been delegated, to review the investigation conducted and to .
ensure the investigation is complete, that all logical investigation has been conducted,
and that the signed, sworn statements (SSSs) and unsworn statements conform to both
FBI policy and OPR procedures, that reporting Bureau Deadlines (BUDEDS) are met,
and reports are completed in accordance with procedures and instructions contained in
OPR EC to All Divisions dated 07/18/2002, prior to submisSion of the completed
investigation to OPR.
Investigative Personnel Assignment - The investigation is to be conducted in
accordance with MIOG, Part I, Section 263, except where.superseded by OPR EC to All
Divisions dated 07/18/2002. The investigation of this matter, except as noted below, will .
be assigned to senior, mature, Supervisory Special Agents (paygrade GS-14 or higher)
having no direct investigative or performance responsibility with regard to the subject
employee or with witnesses in this inquiry. In exceptional circumstance, to be decided
by the. Division Head, a senior paygrade GS-13 Special Agent may be assigned to .
conduct the investigation with the approval of the OPR case supervisor. The Division
EC to OPR forwarding the investigative results of the OPR matter Should set forth the
exceptional circumstance for the investigation being conducted by.a senior paygrade
GS-13 employee and the name and date of the OPR case superVisor approving the
request. FBIHQ Divisions, in the absence of an SSA at the paygrade GS-14, may
assign paygrade GS-13 and higher Agent or Support Employee Program Managers to
Revises 9/10/2002 • -3-
FBIO24369CBT
OIG—REQ 02/18/05 —PART 12 DOJOIG013440 FB.1:000013
conduct the OPR investigation. Employees who are under OPR investigation, or have
been the subject of disciplinary 'action within the last three years, are not to be assigned
to conduct OPR investigations. -Questions regarding the investigation of this case
should be referred to the OPR case supervisor listed on either the employee's OPR
NotificatiOn Form or the OPR EC to which this document is an enclosure. .
Bureau Deadline (BUDED) - This investigation should be completed by the •
BUDED. Extensions •to the BUDED may be granted, under extenuating circumstances,
by Contacting the OPR case supervisor for approval. This investigative matter must be
completed in a timely manner to conform with the terms of civil litigation to which "the
FBI is a party, (Johnson, et al. v. Reno, Civ. No. 93-0206 TFH. (BADGE)). Failure to
comply with the BUDED will require OPR to submit a report to the AD, OPR, and to
advise the Inspection Division of delayed reporting practices by the division for further
review during the next division inspection. Delayed investigation evidenced by failure to
meet the BUDED. Will be reported to the Director as a performance issue for
consideration in the Division Head's annual performance report.
Record Documentation - All record reviews, with positive or negative results,
and. analysis Conducted, should be documented by form FD-302. All documents andother
material objects collected pertinent to the OPR investigation will be recorded on a
form FD-302 to show the date and place of acquisition and to fully describe the
document, or material object; retained.
• Employee Admissions (non-criminal rnisCOnduct) - If in the Course o f
conducting the OPR investigation, the subject employee makes voluntary admissions to
additional non-criminal misconduct outside of the issued Notification Form, the Division
Head should notify the OPR case supervisor. The employee will subsequently receive a
new Notification Form from the AD; OPR, delineating the new allegations. The new
notification may result in further investigation and interviews. If the employee's
admissions occur during the employee's interview, the interview can continue, provided
the employee stipulates to their awareness that they will receive a new Notification
Form delineating the new allegations of misconduct. This advisory statement and the
employee's affirmative response acknowledging the statement and their desire to
continue the interview will be included in the employee's SSS. The employee's SSS will
thereafter contain information provided by the employee.concerning his/herselfadmitted
misconduct. If the'employee will not stipulate, the advisory statement and the
employee's negative response acknowledging the statement and their desire not to be
interviewed on the new self-admitted allegations of misconduct will be included in the
employee's SSS, and the
interview will continue within the scope of the alleged misconduct in the employee's •
Notification Form.
Employee Criminal Activity or Misconduct - If the investigation determines
that the subject employee has participated in, or is making admissions of, criminal
Revised 9/10/2002 -4-
FB1024370CBT
OIG—REQ 02/18/05 —PART 12 . FBI00001.64
DOJOIG013441
activity or misconduct, then the investigation and/or interview of the-employee regarding
the alleged-criminal activity or misconduct cannot be pursued until so authorized by AD,
OPR: The scope of the investigation and/or interview may proceed in accordance with
the notification or the guidance contained in the previous paragraph. The interviewers
are to immediately contact the OPR case supervisor, followed by an EC With the known
information, and are to conduct no additional investigation. In turn, OPR will consult
with the Department of Justice (DOJ), Office of Professional Responsibility (D0J/OPR),
or other DOJ entity as appropriate, for a prosecutive opinion. Based upon these
consultations, OPR will forward the appropriate notification and guidance to the
concerned division. This guidance is to ensure compliance with the parameters and
spirit of the Director's March 1997 "Brightline" communication.
Automated Case Support.(ACS) System - Documents and/or reports prepared
during the course of this investigation must not be uploaded into the ACS System until
advised to the contrary by OPR. Should the division find it' necessary to set forth leads
to other divisions, in furtherance of this OPR investigation, those divisions should be
advised of this restriction in the Administrative Section of the transmitted EC.
INVESTIGATIVE ISSUES
Electronic Surveillance - AD, OPR, authorization must be obtained prior to the
initiation of physical or electronic surveillance (to include consensual body/telephone
monitoring, closed circuit TV.Coverage,.Oen registers) targeting an FBI employee.
Some of these techniques may also require DOJ authority. .
Polygraphs -If a Division Head believes a polygraph examination is necessary '
to resolve an issue in the OPR investigation, AD, OPR, authorization pursuant to MIOG,
Part,I, Section 263-6 is required, for subject and witness employees, in both voluntary
examination requests and compelled polygraph examinations conducted on a ,
Substantial Objective Basis (SOB), as set forth in the MIOG, Part II, Section 13-22.13.1.
A polygraph is an investigative tool only. As an• investigative tool, the results of a
polygraph examination must be considered. with other evidence and should not be
considered alone. Disciplinary action will not be pi -edicated solely upon the results of a
polygraph examination or upon the refusal to submit to a polygraph examination. If an
employee refuses to take an SOB polygraph under an OPR inquiry, OPR or the Division
Head ,a n only Make an adverse inference during the,adjudication process.- The
request for authorization to conduct these examinations, accompanied by sufficient
justification to support the request, should be submitted to OPR by EC..
Drug Testing - The authority to grant a request for an employee to take a
reasonable suspicion drug test rests with the AD, OPR., The request must be
communicated in writing with a factual summary substantiating the basis for the
employee's suspected illegal drug use. Once the AD,. OPR, has approved the
reasonable suspicion drug test, the OPR case supervisor will contact the'brug
Deterrence Program (DDP) to request a drUg test for the employee. The DDP
representative will contact the requesting division and make,the necessary
Revised 9/10/2002 -5-
FBIO24371 CBT
• 'OIG-REQ 02/18/05-PART 12 DOJOIG013442 FBI000016
arrangements for the drug test. The DDP will notify OPR of the results of the drug test,* .
and then OPR will notify ,the division.
Alcohol Policy - Division Heads are reminded of the requirement set forth in the
MAOP, Part 1, Section 1-30.3(7), that,in the matter of alleged alcohol-related employee
misconduct, the Division Head, "... in addition to notifying OPR, will conduct an inquiry
specifically focused on whether the employee suffers from alcohol-related problems.
The results of that inquiry will be documented in the employee's official personnel file."
Division Heads will report the results of the employee alcohol-related misconduct inquiry
(MAOP Part I, Section 1-30.3(7)) as a part of the Division's response to Douglas Factor
question #7, "Mitigating circumstances..." in their investigative summar• EC to OPR. • •
Administrative Leave - A Division Head may request to place an employee on
Administrative Leave for disciplinary reasons. In this instance, the Division Head must
submit justification in writing to the AD, OPR. After the AD, OPR, approves the request,
a response will be promptly returned to the division.
Personal Relationships Policy -: Division Heads should be cognizant of the •
Director's PERSONAL RELATIONSHIPS POLICY as set forth in his MemoranduM to All
Employees dated 03/27/2002 (Memo 5-2001) and the policy's relationship to OPR
investigations:
•
First, the private lives of FBI employees, and their relationships with others, .are
' subject to inqUiry by OPR only when the conduct rhay: (1) negativeiympad upon the-i- •
ability of the Bureau to perform its responsibilities; (2) violate the law; or (3) violate an
internal regulation. The investigative approach will be• in accordance with the MAOP,
Part I, Section 1.-12.2. "Whenever feasible, OPR inquiries will be structured to avoid
exploring romantic or intimate relationships if other factual issues will resolve•the inquiry
or if a general acknowledgment of the relationship sufficiently establishes the offense. -
Although OPR investigators need not negotiate with a witness or subject over the
information to be provided, they should explain the relevancy of the information being
sought. OPR's ability to compel responses, even when the questions may be personal
or embarrassing, carries with it an obligation to ensure that the questioning and the
documentation of the employee's statement are respectful, discreet, and dignified as is
consistent with establishing all the relevant facts impacting upon FBI operations and the
performance of the FBI's mission." Contact OPR for additional guidelines for
conducting investigations associated with personal relationships.
Second, Division Heads should consider the policy's five defined areas of
relationships and the policy's discussion of the "appearance of imprOpriety" and their
application to persons assigned to investigate and adjudicate OPR matters as well as
the Division - Head's personal relationship with subordinate personnel. If necessary,
OPR should be adyised as soon as pOssible of a Division Head's recusal from an OPR
matter.
Revised 9410/2002 -6-
FBIO24372CBT
OIG-REQ 02/18/05-PART 12 F3I000016.6
DOJOIG013443
• Outside Agency Liaison - If investigation requires the interview of employees of
another laW enforcement agency, the investigator conducting the investigation should
Make the Division Head aware of the need for that contact and thereafter a liaison
contact with an officer of appropriate rank should be made to request permission to
interview the officer/Agent. If allegations of misconduct are developed against officers
of local/state law enforcement departments/agencies associated with the investigation
of the FBI OPR investigation, the Division Head should be advised and the information
transmitted to the appropriate officer of the local/state law enforcement
department/agency. If information involving misconduct by a Federal Law Enforcement .
Officer is developed during the course of an FBI OPR investigation, the OPR case
supervisor should be notified and, the information provided to OPR by EC. OPR will -
transmit the information to the Federal Agency involved.
Douglas Factors - Upon completion' of the investigative portion 'of the OPR •
investigation, Douglas Factor information concerning the subject employee must be
collected by the employee conducting the investigation. In DIAs, this data collection will
be conducted by the person assigned by the Division Head to conduct the adjudication
phase of the investigation. The requested information is required pursuant to a legal
decision by the Merit Systems Protection Board in the matter of Curtis Douglas v.
Veterans Administration, et al.; 5 MSPB 313 and 5 MSPR 280. The Douglas Factor
information is set forth below and should be presented in a question and answer format
in the summary EC submitted to OPR. The Douglas Factor information should be
provided to OPR in all circumstances, to include the circumstance of a Division Head ,
recomniending that there be no disciplinary action "and/or that a matter be closed, •
•
It is requeSted that the following be addressed in your response (Douglas
Factors):
1. The relationship of the alleged offense to the employee's duties
and position and its impact on management's confidence in the
employee's ability to perform;
2. The employee's past disciplinary record;
3. The employee's recent performance record and reputation within
the workplace;
4. The notoriety of the offense within and outside the FBI' or its impact
upon the reputation of the FBI; , .
5. The clarity with which'the employee was on notice of any rules that
were violated or had been warned•about the conduct in,qUestion;
6. The potential for the employee's rehabilitation;
Revised 9/10/2002
FBIO24373CBT
OIG-REQ 02/18/05-PART 12 FB:E000017
DOJOIG013444
7. Mitigating circumstances surrounding the offense, such as unusual job
tensions, personality problems, mental impairment, harassment or
bad faith, malice dr provocation on the part of others involved in the
matter.
WHISTLEBLOWER PROTECTIONS FOR EMPLOYEES
The Director has established policy concerning his firm commitment to the
protection of employees who report organizational wrongdoing.. This Memorandum to
All Employees dated 11/07/2001, number 12-2001, entitled WHISTLEBLOWER
PROTECTIONS FOR FEDERAL BUREAU OF INVESTIGATION EMPLOYEES should
be reviewed for further information concerning the Director's policy statement. This .
policy statement is available on the ASD Intranet Website.
CONDUCTING. THE INTERVIEW
The following information applies to all OPR investigative matters, unless
otherwise noted or specifically set forth elsewhere in these guidelines: .
.Non-FBI employees - Interviews must be repOrted utililing a form FD-302.
Interviews may, be. conducted telephonically by •one person.
FBI employees - Interviews must be reported in the form of a typed,- "double
spaCed, signed, sworn 'Statement (SSS). The SBS should be prepared ComPliince -
with the standard FBI format fdr Statements Taken Under Oath as set forth in the Legal
Handbook for Special•Agents (LHBSA), Section 7-12-15, and include the 'several.
• declarations required by OPR that are set forth below. A formatted SSS for
administrative investigations using the ACKNOWLEDGMENT OF EMPLOYEE
REQUIRED TO PROVIDE INFORMATION form (ACKNOWLEDGMENT fOrm) .
(ATTACHMENT A) and incorporating all the requisite language in standard FBI format - •
is attached to this document for use by recipients. (ATTACHMENT B) (NOTE: The
Acknowledgment form is an interim replacement form pending. revisions to the
form FD-645. The revised form FD-645, when issued, will replace the
AcknoWledgment form.) •
SSS Interview•Protocol- All employee interviews will be conducted . and
witnessed by two personnel in person with the subject employee or witness,
unless instructed otherwise by the OPR case supervisor. An interview log will be
, maintained during the interview, noting persons present for the interview, logging the
time the interview is initiated and completed, the time the ACKNOWLEDGMENT form is
signed, the time the employee is administered the oath; etc. The log should also note
when any breaks were offered the•nterviewee. At least one investigator conducting the
interview will maintain notes of the interview. In preparing a draft of the employee's "
statement, both investigators must agree on the content of the statement, e.g. what the
employee said during the interview, prior to presenting the statement to the employee
Revised 9/10/2002 -8-
FB1024374CBT
' OIG-REQ 02/18/05-PART • 12 • EB10000168
DOJOIG013445
for signature. Disagreement concerning the content of the employee's statement will be
resolved by re-interviewing the employee regarding the salient point(s). In re- ' -•
interviewing an employee under the same ACKNOWLEDGMENT form allegation of
misconduct, it is not necessary to re :present•the form for ernploye • signature.and
acknowledgMent. The employee should be advised of the purpose of the interview and
reminded that he/she is still under oath. The information obtained in this re-interview • ,
may be incorporated into the initial statement, noting the date and circumstance it was '
obtained, and thereafter presented to the employee for signature.
Unless authorized by OPR, neither the subject employee nor employee
, witnesses will be shown. or read the content of any OPR communication. The SSS will' •
be prepared by, the investigator based upon oral statements made by the employee•
during the interview. Under no circumstance is the employee to write his/her own
statement from the interview. The employee is to be given•the opportunity. to review for
accuracy the information contained in his/her statement and to make corrections to the •
statement. The employee will review the statement in the presence of the investigator. •
Under no circumstance will the employee be•permitted to make corrections to the
statement outside the presence of the investigator, take their statement home overnight,
transmit (facsimile) the statement to an' attorney or other third party, or to permit another
person to make corrections to the statement. An attorney retained by the employee
may advise the employee regarding language in the statement but the attorney. cannot
write or edit the statement for the employee. After the employee has signed 'a
statement in an administrative inquiry;the e.mployee.should be-Provided a copy of the
unsigned statement-and advisedp. at it is a Bureau documentand mustte afford .- • •
appropriate security. A ,SSS in a criminal matter.should not•be.proVided to the • • .
employee. •
SSS Employee Interview with Administrative Warning (ACKNOWLEDGMENT
form)
Before conducting the-interview and placing the employee under oath; the ,
employee must be advised of the following information. by the Agent conducting the
interview and this information will be set forth in the SSS:
1) present the employee with the ACKNOWLEDGMENT form, and obtain the
employee's signature, acknowledging understanding of their rights and responsibilities in
this OPR investigation. (NOTE: Prior to presenting the ACKNOWLEDGMENT form to
the employee being interviewed, the Agent conducting the investigation will complete
the ACKNOWLEDGMENT form by writing or typing the purpose of the inquiry onto the
form. The purpose of the inquiry is the allegation of misconduct that appears on the
subject employee's PPR Notification Form, and should be set forth specifically in the
ACKNOWLEDGMENT form space allotted for "This inquiry pertains to....").
2) The employee must be advised of the Director's "Brighf. Lifie Palidy,"ifiat if
they lie during an inquiry, they can expect to be dismissed from the rolls of the FBI.
This information is incorporated in" the language set forth in the Acknowledgment form.,
Revised 9/10/2002 -9-
FB1024376CBT
- OIG-REQ 02/18/05-PART 12 F.BI0000:14.9 . •
DOJOIG013446
but not expi'essly stated.as the Director's policy; •
The information contained in paragraphs one and two will be set forth In the '
employee's SSS by including the following sentence toward the outset of the statement:
"I understand from my review of the Acknowledgment form that should I refuse to
answer or fail to reply fully and truthfully during this interview, which (.further
understand would place me in violation of the Directors 'Bright Line' policy, I can
expect to be dismissed from the FBI."
. Placing Employee under Oath - Prior to conducting the interview, the employee
must be sworn-in by the investigator conducting the interview. The employee will raise
his/her right hand and the Agent will administer the oath by stating "Do you swear or •
affirm that the information you are about to provide is true, accurate, and
complete, to the best of your knowledge:" The employee must respond in , the
affirmative before proceeding with the interview. If the employee does not, end the
interview and notify the OPR case supervisor.
If the employee refuses to sign the ACKNOWLEDGMENT form, or refuses to
swear or affirm to the oath, or once placed under oath the employee refuSes to .
participate in the interview, the interview will be terminated. The investigator conducting
the interview will prepare a report of the matter on a form FD-302 to specifically
describe the employee's receipt and review of the ACKNOWLEDGMENT form and any
„reason given by the employee for refusingto sign' the ACKNOWLEDGMENT form, ,
. swear the oath, or partidipate in the interview: It should be specificgily.nofed in the •
report that the employee was aware, as set forth on the ACKNOWLEDGMENT form,
that the employee had a duty to reply to questions and refusal to answer or failure to
reply fully and truthfully could result in agency disciplinary . action, including dismissal.
The form FD-302 should be initialed by the two FBI personnel witnessing the interview.
The OPR case supervisor should be contacted immediately and advised of the matter.
In concluding the interview, with the employee still under oath, the
employee will be advised of the following and it will be documented in the employee's
SSS:
1) As a matter of FBI policy, employees will be•asked to take a voluntary •
polygraph examination regarding the inforrnation reported'in their SSS. This request
and response will be recorded in the SSS as "I (will/will not) take a voluntary
polygraph examination concerning the truthfulness of the information contained
in this signed, sworn statement."
: 2) The employee should be told that should any additional information come to
their.attention, orif they_wish 'CO provide information which the interviewers consider
inappropriate for inclusion in the SSS, they may voluntarily provide that information to
OPR in writing. This will be documented in the SSS as "I , have no other pertinent
Revised 9/10/2002 -10-
FBIO24376CBT
OIG—REQ 02/18/05 —PART 12 FB,I0000170
DOJOIG013447
information regarding the aforementioned allegation. I have been advised that I
may and should subinit any additional information of which I may become aware,
regarding this inquiry, to the Office of Professional Responsibility."
3) The employee should be advised that they are restricted in discussing the
OPR investigation and the contents of the interview. The following advisory statement
will be set forth in the concluding paragraph of the employee's' SSS: "I have been I '
instructed not to discuss this matter with anyone other than the person(s)
conducting this interview, representatives from the OPR, FBIHQ, an FBI
Employee Assistance Program (EAP) Counselor, my attorney (providing I have
submitted the appropriate forms), and a representative of the Ombudsman's
office. I have been told that should I decide to 'discuss this matter with anyone
else, I must first obtain authorization from the interviewer(s)."
The final sentence in the SSS, prior to the employee's signature, should read, "I
have read this statement, consisting of this and X other pages,•and it is.true and
correct to the best of my knowledge." (The total amount of pages of the SSS, other
than the signatory page, should be substituted for the X.)
Signing the Statement Protocol - Before the employee signs the statement, the
,Agent will again swear-in the employee. The employee will raise his/her right hand and •
the Agent will administer the oath by stating "Do you swear or affirm that the. •
information you have provided ,in the.,50ter2ent before you Lis /true, accurate, aril
.complete, to the best of your knowledge." The employee mUSf respon"d in the
affirmative before proceeding with the employee signing the statement. If the employee
does not, end the meeting and notify the OPR case supervisor. The investigators.will
document the employee's refusal to swear or affirm the oath prior to signing their
statement and any reason provided by the employee for not swearing or affirming the
oath in a form FD-302 and attach a copy of the unsigned sworn statement attesting that
the information provided in the statement was obtained under oath by, the investigators .
conducting the interview.
After signing the statement, the employee should.initial the beginning and.the
end of the text on each page of the SSS. This process will be witnessed by two
investigators and attested to by their signatures at the end of the SSS. When the
completed statement is presented to the employee for signature, the personnel
presenting the statement for the employee's signature, .administering the oath to the
employee swearing or affirming to the truth of the statement, and witnessing the
employee initialing each page, do not necessarily have to be the same two persons who
conducted , the employee interview and placed the employee under oath. These
'employees are only administering an oath•to the employee,,and..attesting by their
signatures that the employee swore or affirmed the oath, signed the statement, and
initialed the pages of the statement in their presence.
Revised 9/10/2002 -11-
FBIO24377CBT
01G-REQ 02/18/05-PART 12 EBI00010171
DOJOIG013448
Recanted Employee Statements - While taking a SSS,' an employee is placed
under oath at the initiation of the interview; therefore, they are required to tell the truth.
If an employee originally recalls something incorrectly but arrives at the truth before
signing the statement, the initial misstatement is considered to have been recanted, or
corrected. Even a deliberate lie may be so corrected, although the.statement itself or a
separate FD-302 will reflect that a factual assertion or denial was made and then
changed,es that change of recollection is relevant to credibility. So long.as the
employee corrects a false assertion prior to signing the SSS, the original falsehood by
itself will not be punished with dismissal for lying under oath. Should a lack of candor
issue arise at any time during the investigation, or a non-delegated matter be
evidenced, notify the OPR case supervisor for further direction.
All copies of an employee's statement presented to the employee, upon which
the employee makes changes prior to swearing/affirming to and signing their statement;
are to be retained by the Agent, marked sequentially as "DRAFT #1," etc., and retained
in a 1A envelope (FD-340) for submission to OPR in the Division's summary EC.. If the
employee makes substantive material changes in his/her statement between the time of
the interview and the obtaining of the employee's SSS, the interviewing Agent will
prepare a FD-302 documenting those changes in a comparative method and forward
that report to OPR in the Division's summary EC. As set forth in the preceding
paragraph, the employee's "change of recollection" is relevant to the employee's
credibility and will be included in deliberations for disciplinary action during.the
. adjudidation phase of this investigation..
SSS Document Referrals - All documents presented to the employee during the
'interview for comment or provided by the employee and commented upon during the
interview, will be made a part of the SSS 'by either reference or incorporation as desired -
by the employee. If the document is included by reference, the document will be
specifically identified in the SSS and the document included in the Division's summary
EC to OPR. (The source of the document, e.g. how and when it was acquired, will be
recorded on a FD-302.) If the document is included by incorporation, into the SSS, the
document will be specifically identified in the SSS and thereafter attached to the end of
employee's SSS. The employee, after swearing or affirming the oath as to the •
truthfulnesb of his/her statement and signing the statement, will initial and date each
page of any document attached,to the SSS.
SSS Administration - The original SSS and two copies of the SSS will be
forwarded to OPR in the Division's summary EC. All original interview notes for each
employee interviewed as well as the associated interview log, the original
ACKNOWLEDGMENT form executed by the employee, and all draft copies of the
employee's statement, will be retained in a 1A envelope (FD-340) for transmittal to OPR
by the summary E,Q. _ •
SSS Employee Interview with Criminal Warning (FD-644)
Revised 9/10/2002 -12-
FBIO24378CBT
OIG-REQ 02/18/05-PART 12 FBI 0 000172
DOJOIG013449
If an OPR investigative matter requires that an FBI employee be interviewed .
under Criminal Advice of Rights, a form FD-644 entitled WARNING AND ASSURANCE
TO EMPLOYEE REQUESTED TO PROVIDE INFORMATION ON A VOLUNTARY
BASIS will be used, and OPR will provide the Division Head with appropriate guidance'
in OPR's investigative EC delegating this matter to the Division Head. OPR will
investigate most allegations of an FBI employee's criminal activity.
SSS, UNSWORN SIGNED STATEMENTS (USS) AND. FD-302 INTERVIEWS
Privacy Act -- Prior to conducting any OPR-related interview, the person being .
interviewed will be advised that this OPR investigation is governed by provisions of the
Privacy Act (Title 5, U.S. Code, Section 552a (k)(5)). 'The interviewee should be
cautioned that his/her identity and the information provided may, pursuant to certain
administrative inquiries or judicial proceedings, be made available to the subject of the
inquiry if the information is used,, in whole or in part, to support an adverse personnel •
action, (an action resulting in a minimum disciplinary action suspending an employee
from work for more than. 14 days, up 'band including dismissal from the roles of the
FBI): No promise of confidentiality should be made'to FBI management officials or .
Agent or non-Agent supervisory personnel who are asked to'furnish information
concerning an employee under their supervision. If an employee requests
confidentiality, this must be noted immediately after the interviewee's name, i.e. John
Doe (Protect Identity). The SSS, USS, or form FD-302 interview must contain the
• following statement: "I am requesting confidentiality under the Freedom of
- Inforrnation and Ptivac-y Acts. 1 have been cautioned that if adverse -
administrative action is taken against the subject of the investigation based on •
my information,.thy identity will most likely be disclosed, as requiredby law." -
Conversely, if the interviewee, upon being made aware of their privacy rights,
declines to protect their identity, the following statement should be included in their
. SSS, USS, or form FD-302 interview: "I have been advised of my confidentiality
rights under the Freedom of Information and Privacy Acts and the application of
those rights in this OPR investigation. I do not want my identity protected."
DELEGATED INVESTIGATION/ADJUDICATION CASES (DIAS)
The Director, by OPR EC to All Divisions dated 07/18/2002,. entitled Delegation of
Disciplinary Action Authorities to EADs; ADICs, 'SACs, and FBIHQ Division Heads,
established new disciplinary authorities and policy for the conduct of OPR investigations
associated with allegations of employee misconduct. Set forth below is investigative
information pertinent to OPR investigations delegated to Division Heads for both
investigation and adjudication (DIAs)
The,SCHEDULE OF DELEGATED DISCIPLINARYACTIONS, an enclosure, to
the OPR EC to All Divisions dated 07/18/2002, creates four disciplinary levels
•
Revised 9/10/2002 • -137
FBIO24379CBT
.0IG-REQ 02/18/05-PART 12 FB1000017,3
DOJOIG013450
containing articulated offenses and set disciplinary actions. Level One (ORAL
REPRIMAND) and Level Two (LETTER OF CENSURE) DIAs do not require SSSs from
the subject employee and witness employees, if the subject employee has submitted a
communication (EC,
e-mail or informal memorandum) providing sufficient factual details to persuasively
resolve all pertinent issues and acknowledging responsibility for the diSciplinary
offense(s). Alternatively, a SSS is required of the subject"employee and employee
witness(es) for these two levels if the employee fails to provide sufficient background
details, if the details provided by the employee are subject to question, or if the subject
employee does not acknowledge responsibility for the disciplinary offense. The
Division Head is responsible for determining. if the subject employee's voluntary
statement is sufficient to not warrant the taking of SSSs.
Level Three (Three to Seven Days Suspension) and Level Four (Ten to
Fourteen Days Suspension) DIAs require SSSs of subject employee(s) and all
employee witness(es).
As stated more substantively in the Background Section of these Guidelines,
after receipt, OIG review, and OPR evaluation of the alleged misconduct complaint,
OPR will create a case file and provide the Division Head with a Notification Form to be
provided to the employee. The Notification Form for DIAs will advise the subject
ernployee that the matterhasbeen delegated to the Division Head for both investigation
and adjudication. The case will be delegated for investigation and adjudication by the
DiviSion Head (DIAs) by an -EC from OPR. The BUDED.for DIA be -60
days. The OPR 'EC will forward the Notification Form to the Division and will contain
information designating the violation code offense level as defined by the SCHEDULE
OF DELEGATED DISCIPLINARY ACTIONS (an encloSure to OPR EC to All Divisions
dated 07/18/2002). This designation is based upon OPR's preliminary review of the
information presented initiating the investigation and May be changed by the Division
Head based upon investigative results. The OPR EC may contain policy and/or
investigative matters to be addressed during the investigation.
If SSSs are to be taken, information previously, set forth in these guidelines for
the taking of SSSs should be followed.
If the subject employee and witness employees are to provide unsworn signed
statements (USS), rather than a SSS, the attached format for an USS should be
followed. (ATTACHMENT C) All FBI employees must be advised before the interview
that if they lie during an inquiry, they can expect to be dismisSed from the rolls of the .
FBI. Prior to being interviewed or providing a written statement, all FBI employees must
execute the ACKNOWLEDGMENT form which contains, among other things, the .
alleged misconduct being investigated and langiiage that advises the -employee that .
he/she can expect to be dismissed from the rolls df the FBI if they lie during the inquiry. -
If an employee refuses to sign the ACKNOWLEDGMENT form or is otherwise
Revised 9/10/2002 -14-
FB1024380CBT
OIG-REQ 02/18/05-PART 12 FB10000174
DOJOIG013451
not participating in this compelled interview, the investigator should document the •
. matter as set forth in the SSS Section of these guidelines and immediately notify the
OP.R case supervisor.
The employee's USS will contain all of the OP.R required statements for SSSs,
except of course, the administering of the oath.
ADJUDICATION:
OPR. will adjudicate all cases delegated to Division Heads for investigation
only (DI) and all non-delegated (ND) cases investigated by OPR. Information'
required for the adjudication of these matters will be transmitted by EC to'
Division Heads by OPR. In non-delegated cases (ND) investigated by OPR, Division
Heads will receive an EC forWarding the entire investigation to their attention for review
and submission of Douglas Factor information pertaining to the subject employee. In
cases delegated to Division. Heads for investigation only (DI), OPR will request by EC,
submission of Douglas Factor information pertaining to the subject employee.
The information set forth below applies only to OPR cases delegated to
Division Heads for investigation and adjudication (DIAs):
. •
Once theinvestigative portion is completed., the .case should be assigned for
adjudicatiOn to ,a senior, mature individual not connected with the investigative portion
.and having no pfoerrmance responsibilities over the .SubjecfeniployeenOrWith witnesses •
in the inquiry. Adjudicators must maintain impartiality, and no personal animus should
be reflected. * •
The adjudicator, after reviewing the investigation, will determine if each
allegation is supported by a preponderance of the evidence and, if so, what discipline. is.
warranted. In making a recommendation for discipline, the adjudicator should take into .
account the Douglas Factors relating to the employee's past disciplinary record, work
performance, the notoriety of the offense inside and outside the FBI, and mitigating and
• aggravating factors. Each of these factors is to be addressed individually and reported
• to OPR.
No Disciplinary Action Recommended
If no discipline is warranted, you'are to provide an EC which contains a Synopsis
of the case to OPR. If that recommendation is approved by OPR, the employee should
be furnished with a No Action Letter (ATTACHMENT D). A copy of this letter should•be
filed in the 263 file but: not in the employee's official personnel file or Squad/ Unit drop
files.
Level One - Oral Reprimand
Revised 9/10/2002 . -15-
FB1024381CBT
• OIG-REQ 02/18/05-PART 12 FBI000017,5
DOJOIG013452
The penalty for a Level One infraction is an .Oral Reprimand. You are to provide
an EC which contains a synopsis of the case (ATTACHMENT E). If approved by OPR,
a copy of this EC is to be designated to the subject employee's. official personnel file.
Level Two- Letter of Censure
Letters of Censure must contain .the allegation and a finding that the allegation is
substantiated. The letter will state the facts and an analysis of the facts, and the policy
which the employee violated. The letter also contains a paragraph which advises the
employee that a copy is being forwarded to the Security Division (ATTACHMENT F).
If approved by OPR, a copy of this Letter of Censure is to be designated to the subject
employee's official personnel file and the 263 file.
Levels Three and Four - Suspensions
Level Three and Level Four cases should have a case summary to include the •
employee subject's personnel history, summary of facts, analysis of the facts for each
allegation, a review of Bureau policy, a conclusion ,and recommendation. Policy can be
located in MAOP, MIOG, the Employee Handbook, various Memoranda to Division
Heads, etc. The letter also advises the'subject employee of his/her appeal rights and,
as with oral reprimands and Letters of Censure, contains the paragraph that advises the
employee that a copy of the letter is being forwarded to the Security Division
.(ATTACHMENT G). approved by OPR,'a copy-of this - fetter is - folo-d-deSig-Fated to the
subject employee's official personnel file and the 263 file.
Once apprOved by OPR, suspensions are held in abeyance if the employee
appeals. If the employee signs a waiver of his/her appeal rights, the.suspension can be
imposed immediately, and it can be imposed if.the employee does not timely exercise
his/her right to appeal (ten days after receipt of the letter imposing discipline).
FORWARDING THE COMPLETED CASE:
The following information applies to cases delegated to Division Heads for
investigation only (DI), and all non-delegated (ND) cases investigated by OPR:
The OPR EC forwarding this matter to your division for investigation will contain
reporting requirements. Absent specific reporting requirements, the results of the
investigation should be reported -to OPR in the form of a summary EC (original and
three copies), in accordance with OPR's EC to All Field Offices and FBIHQ Divisions,
dated 1/22/98, and forwarded to OPR, to the attention of the case superVisor on the •
enclosed EC. An original and two copies of each SSS or FD-302 should be forwarded
as enclosures to the summary EC (ATTACHMENT H). The original notes, interview
log, and draft copies of the employee's statement, supporting each SSS or FD-302,
Should be placed in a 1A Envelope (FD-340) along with the corresponding
ACKNOWLEDGMENT form. Any other original documentation should be forwarded to
Reviled 9/10/2002 -16-
FB1024382CBT
" • •IG—REQ 02/18/05—PART .12 FB10000176.
DOJOIG013453
OPR as an enclosure to the summary EC.
The information set forth below applies only to OPR cases delegated to
Division Heads for investigation and adjudication (DIAs):
After the Division Head determines an appropriate penalty, an EC and one copy
is to be submitted to OPR summarizing the results of the investigation. Enclosed with
the EC will be the proposed sanction in the format applicable to the offense level (see
Attachments D, E, F or. G) .. The EC will contain the names of the division!s
investigator and adjudicator as well as all original case file documents and 1A
exhibits, original SSSs, USSs, and FD-302s with two copies, the disposition of any
physical evidence acquired during the inquiry, and a copy .of the communication
intended to be used to communicate the discipline to the employee, including the
memorialization of an oral reprimand. An additional copy of the EC and each
disciplinary fetter is to be designated for dissemination by OPR to the Security Division,
FBIHQ, where applicable. This hard copy EC with its enclosures should be mailed to
OPR, Attention Adjudication Unit-1 or Adjudication Unit-2, as applicable.
A copy of the summary EC should be e-rhailed to "OPR Delegation Reports AU-
1 or AU-2", with the understanding that OPR has seven working days from date of
receipt of the EC/e-mail to alter the penalty.
OTHER GUIDANCE:
Employee Assistance Program (EAP) - Division management should be
cognizant of the significant stress often plabed on'an employee whd becomes the
subject of an OPR inquiry and be sensitive to the mental/emotional state of that
employee. Upon presentation of the OPR Notification Form, the subject of the inquiry
Should be provided with an Employee Assistance Program (EAP) informational brochure
with the name(s) and contact number(s) of their division's EAP Representative(s) listed_.
If the facts Of a specific case reasonably indicate that such measures are prudent,
appropriate steps shduld be taken to afford counseling for the employee under the
provisions of the EAR, or other means, to ensure that the employee's concerns are
appropriately. handled. In especially sensitive or obviously stressful situations,
consideration should be given to having an EAP counselor present immediately
following employee notification, interview and/or receipt of disciplinary action.
Fitness For Duty (FFD) Evaluation - A .Division Head may request a Fitness For
Duty (FFD) evaluation regarding an employee, subject to Title 5 CFR Part 339.3001.
The criteria which must be met to warrant such an examination are the employee's .
conduct or behavior adversely impacts his/her ability to suitably perform the essential
functions of the job, or his/her trustworthiness is. questioned, and therefore; his/her
security clearance could be withdrawn. The Division Head should contact the
Administrative SerVices Division for additional information regarding this matter.
Revised 9/10/2002 -17-
FBIO24383CBT
• OIG-12.80 02/18/05-PART 12 F3310060177
DOJOIG013454
Security Division Referrals - Contemporaneous to referring an employee's
disciplinary matter to OPR, a Division Head can refer the same information to the
Security Division for an assessment of the employee's ability to maintain a security
clearance. The Security Divisidn's independent determination of the employee's ability
to maintain a security clearance may result in the suspension of the employee's security
clearance and the employee's removal from FBI space on paid administrative leave
pending resolution of the security issue(s).
Ombudsman Program - The FBI's Ombudsman provides a mechanism by
which employees can obtain answers to questions involving work-related issues. As a
neutral party, the Ombudsman also provides informal and impartial assistance to
employees and managers while attempting to resolve Work-related concerns. " .
NOTE
OPR is in the process of developing a Website thatwill contain the information
contained in these guidelines, as well as down-loadable forms that are referenced in
these guidelines.
ACKNOWLEDGMENT FORM
ACKNOWLEDGMENT OF EMPLOYEE REQUIRED TO PROVIDE INFORMATION • -
This is an official administrative inquiry regarding possible misconduct or the improper performance of
official duties. In accordance with the Privacy Act of 1974, you are advised that the authority to conduct this
interview is contained in Title 28, Code of Federal Regulations, Section 0.85(c).
This inquiry specifically 'pertains to
(State the general nature of the inquiry)
' For purposes of this inquiry, you may be interviewed, asked to provide a written statement, or both, and the
information you provide will assist in determining whether administrative action is warranted. You have a duty to
participate in an interview or to provide written' statements, and`you can expect to be dismissed from the rolls of the
FBI if you refuse to do so, or if you fail to respond fully and truthfully in any answers or written account you
provide.
Neither your statements nor any information or evidence gained by reason of your statements can be used
against you in any criminal proceeding, except that if you knowingly and wilfully provide false statements or
inforthation, you may be subject to criminal prosecution for that action. Pursuant to the Privacy Act, this
-18-
FBIO24384CBT
01G-REQ 92/18/05 -PART . 12 FE5I.000017,8
DOJOIG013455
information is being sought for the purposes of an agency disciplinary proceeding. The information itself and any
information or evidence resulting therefrom may be used in the course of this proceeding, which could result in
disciplinary action, including dismissal. Information may be disclosed to other federal agencies for a law
enforcement purpose; to employees of the Department of Justice in the performance of official duties; td the
Judicial Branch of the Federal Government in response to a specific request or otherwise where disclosure appears
relevant to the authorized function of the recipient judicial office or court system; and to an adjudicative body, such '
as the Equal Employment Opportunity Commission and the Merit Systems,Protection Board when the United
States, the FBI, or its employees, in an official capacity, are parties to or have an interest in the litigation, and such
records are determined by the FBI to be relevant to the litigation. Disclosure may also be made in accordance. with
all other routine uses of the FBI's Central Records *System.
ACKNOWLEDGMENT
I have read and understand my rights and obligations as set forth above
Signature of Official Conducting Inquiry Employee's Signature
Witness Date
ATTACHMENT A
OIG—REQ 02/18/05 —PART 12 •
FBIO24385CBT
F1310000179
DOJOIG013456
SIGNED, SWORN STATEMENT (SSS) FORMAT W/ACKNOWLEDGMENT FORM
Prior to conducting the interview, the employee must•be sworn in by the investigator. The employee will -
raise his/her right hand and the investigator will administer the oath by stating "do your swear or affirm that the
information you are about to provide is true; accurate, and complete to the best of your knowledge?"
The SSS pages should be numbered as set forth below. (SSS should use Times New Roman typeface with 12 point
font) (This example is in 10 point font)
Month, Day; Year (such as July 9, 2002)
City, State (DATE AND PLACE WHERE
INTERVIEW WAS CONDUCTED)
I, NAME INTERVIEWEE, having been duly sworn by Supervisory Special Agent (SSA) NAME,
hereby make the following statement to SSA NAME and SSA NAME, whom I know to be SSAs of the Federal
Bureau of investigation (FBI), assigned to the NAME Division.
co INTERVIEWEE IS AN AGENT WITH PRIOR SERVICE AS A SUPPORT EMPLOYEE,
ADJUST STATEMENT TO RECORD SUPPORT EOD AND AGENT EOD) (ADJUST STATEMENT IF
INTERVIEWEE IS A SUPPORT EMPLOYEE) I entered on duty (EOD) on DATE, as a Special Agent (SA).
Upon completion of my training at the FBI Academy, Quantico, Virginia, I was assigned to the NAME Division
from DATE to DATE (MONTH and/or YEAR). I was transferred to the NAME Division and served in that
division until transferred to NAME Division. I am currently assigned to the NAME Division, and (supervise) the
ALFA-NUMBER squad with program responsibility for the • Programs or work on squad ALFA- .
NUMBER with program responsibility. My collateral duties are
I understand this is an administiative inquiry regarding an allegation that (NAME OF EMPLOYEE)
COPY ALLEGATION FROM SUBJECT'S "01312 NOTIFICATION FORM," SHOULD BE IDENTICAL
• WITH ACKNOWLEDGMENT FOR1VI ALLEGATION. I have further been advised of my rights and
responsibilities in connection with this inquiry as set forth on the form entitled "Acknowledgment of Employee
Required to Provide Information"(Acknowledgment form), which I have read and signed. I understand from my
review of the Acknowledgment form that should I "refuse to answer or fail to reply fully and truthfully" during this
interview, which I further understand would place me in violation of the Director's "Bright Line" pronouncement, I
. can expect to be dismissed from the rolls of the FBI.
ATTACHMENT B
(TEXT OF STATEMENT)
FB I 024386 C BT
OIG—REQ 02/18/05—PART 12 FBI0000:140
DOJOIG013457
I have no other pertinent information regarding the aforementioned allegation. I have been advised that I
may and should submit any additional information of which I'may become aware, regarding this inquiry, to the
FBI's Office of Professional Responsibility (OPR).
I will (will not) take a voluntary polygraph examination concerning the truthfulness of the information
contained in this signed; sworn statement.
I have been instructed not to discuss this matter with anyone other than person(s) conducting this
interview, FBIHQ representatives from the OPR, the Ombudsman's office, and/or an FBI Employee Asiistance
Program (EAP) Counselor, or my attorney. I have been told that should I decide to discuss this matter with anyone
else, I must first obtain authorization from the interviewer(s).
I have read this statement, consisting of this and NUMBER SPELLED OUT (NUMBER) (such as .
FOUR (4)) other pages, and it is true arid correct tothe best of my knowledge.
(Interviewee NAME) .
Sworn to and subscribed before me on the DATE day of MONTH, YEAR (such as 11th day of.
JULY, 2002), in the city of CITY, STATE. (DATE AND PLACE WHEN.EMPLOYEE SIGNS STATEMENT,.
NOT NECESSARtY THE INTERVIEW DATE) - .
(NAME)
Supervisory Special Agent
(NOT NECESSARILY. THE PERSON WHO
CONDUCTED THE INTERVIEW)
Witness:
(NAME)
Supervisory Special Agent
(NOT NECESSARILY THE PERSON WHO CONDUCTED THE INTERVIEW)
The signed, sworn statement (SSS) format is a typed, double spaced document. Prior to the interviewee signing •
the.SSS, the interviewee will be placed under oath (sworn-in). After signing the SSS, the interviewee should
initial the beginning and the end of the text of the SSS, on each page. This process will be witnessed by the two
persons present when the interviewee swears the oath prior to initialing and signing the statement.
UNSWORN, SIGNED, STATEMENT (SSS) FORMAT W/ACKNOWLEDGMENT FORM
(SSS should use Times New Roman typeface with 12 point font) (This example is in 10 point font)
FBIO24387CBT
'• • OIG—REQ 02/18/05—PART 12 FBI...000018A
DOJOIG013458
(Month; Day, Year)
I, , hereby make the following statement:
I understand this is an administrative inquiry regarding the allegation that
I have further been advised of my rights and responsibilities in connection with this inquiry as set forth on
the Acknowledgment of Employee Required to Provide Information, which nave read and signed. I understand
from my review of the Acknowledgment that should my following statement not be complete and truthful, I can
expect to be dismissed from the rolls of the FBI.
(Statement follows)
I have no other pertinent information regarding the aforementioned allegation(s). I have been advised that
I may and should submit any addiiitinal information of which I may become aware, regarding this inquiry, to the
investigator.
I have'been instructed not to discuss this matter with anyone other than the person conducting this
investigation, representatives from the Office of Professional Responsibility (OPR), FBIHQ, FBI Employee
Assistance Program (EAP) Counselors, my attorney (provided I have submitted the appropriate forms), or
representatives of the'Ombudsman' office. I have been told that should I decide•to discuss this matter with anyone
else, I must first obtain authorization from the investigator.
• I will/will not take a voluntary polygraph examination concerning the truthfultieSs of the information
-provided irithis statement.
thave read this statement, consisting of this and X other pages, and it is true, complete, and correct. .
Employee's Signature/Date
Typed or Printed Name of Witness
Signature of Witness to Employee's Signature/Date
ATTACHMENT C
NO ACTION LETTER
-iv-
FBIO24388CBT
— ' OIG–REQ 02/18/05–PART 12 FBI0000182
DOJOIG013459
Mr.xxxxxx•
- • Federal Bureau of Investigation
XX2p(XXXX
Dear Mr. xxxxx . . • ,
This is to advise you of the conc1nsiori of an administrative inquiry regarding allegations that you _
*" (see below for variation to• second paragraph) • . . . .
I have reviewed the results of that inquiry and determined that it developed no facts warranting •
any administrative action pertaining to you. Accordingly, this inquiry is considered closed. •
' As you are aware, administrative inquiries are conducted to deterthine whether the actions of FBI
personnel were proper and in accordance with the &hies and responsibilities apPlicable to all FBI employees. In
that respect, an objective and equitable administrative inquiry process benefits all FBI employees by safeguarding
the Bureau's integrity and high standards.
I appreciate your patience andcooperation ih this matter.
Sincerely yours,
SAC Name
Special Agent In Charge• . _
Division ^ ' •
.263-file number
• 1 - OPRJIIU-I or II [whichever applies]
1 - OPRJAU-I or II [whichever applies]
1 - OPR-Administrative Unit
***I have reviewed the results of that inquiry and determined that the preponderance of the evidence does
not establish that you committed the alleged misconduct. Accordingly, this inquiry is considered closed.
ATTACHMENT D
ORAL REPRIMAND - EC
FEDERAL •BUREAU OF INVESTIGATION
Precedence: ROUTINE , Date: 10/26/2001
FBIO24389CBT
OIG—REQ 02/18/05 —PART 12 FBI000013.3
. ,
Date
. ,
- :PERSONAL
DOJOIG013460