Internal FBI Memorandum: Administrative Policy Changes Related to the Disciplinary Process and Delegated Investigation/Adjudication (DIA) Program

The document is an internal FBI memorandum,outlining administrative policy changes to the Office of Professional Responsibility's (OPR) and the Inspection Division's (INSD) Delegated Investigation/Adjudication (DIA) program.

Non-legal Memo
Friday, March 4, 2005
Tuesday, June 14, 2011

DATE C7-24-2009 BY 15.517S1 U :71.1J2
Precedence: ROUTINE Date: 03/04/2005
To: All Divisions Attn: EADs
•ADs •
FBIHQ,:Manuals Desk
From: Director'S Office
Office of ProfesSional Responsibility
•Approved By: Pistole John•S
Will Candice M
Thornton Charlene B
Drafted By: I Idmm
Case ID #: 319W-HQ-A1487698-OPR (Pending)
66F-HQ-C1384970 (Pending)
• Policy Changes' Related to•the•Disciplinary Process
and Delegated Investigation/Adjudication (DIA) program
Synopis:. This communication provides all Divisions,- Field •
Offices, and Legats with information that _is' effective,
immediately and supersedes prior policy concerning the. Office of
ProfeSsionalResponsibility's.(0PR) and the Inspection Division's
(INSD) DIA program: ,These policy change • are, a result of
recommendations made by the Bell/Colwell Commission (Commission).
.Enclodure(s): Copy,of DIA Penalty Guidelines. chart.
Details: In August 2002, a pollicy,was enacted whereby various
enumerated disciplinary matters were delegated by . the.Office of
Professional Responsibility . (0PR) to all field:and headquarters
divisions (hereinafter Divisions) for investigation-and
. adjudication. The policy reduced'delays' in the disciplinary
process by delegating less complex disciplinary matters to the
Divisions for investigation and adjudication. In doing so,
Division heads were given the authority to directly address
allegations of. misconduct in.the workplace.
. The DIA•program remains a viable tool for handling nonserious
misconduct. The Divisions were•advised by two ECs dated
_-__10122/04'ot policy changes relating . to the' disciplinary process-
• overall, and the adoption of a new offense table and penalty
guidelines that took effect on 11/01/04. This EC sets forth the
OIG-REQ 02/18/05-PART 3 TBI0000129
To: All Divisions From: Director's Office
Re: DIA policy changes, 03/04/2005
changes to the DIA program ae a result of the earlier changes to
the overall . disciplinary process. .
Current Policy: Currently, allegations of non-serious Misconduct
are forwarded to the Initial Processing Unit '(IPU), INSD. .If
appropriate, the IPU initiates a disciplinary - inquiry'and .
forwards to the apropriate Division an opening EC with
Notification and Attorney forms. The receiving office is advised
to investigate and adjudicate the matter and report the results
to the IPU along with a draft disciplinary% recommendationAi..e.,
letter of censure, suspension letter, oral reprimand, or, no
action letter). Upon receipt of the final package, the IPU •
reviews the documents and advises the Division of its approval or
revisions. The Division then forwards a copy of the final-action
to the IPU noting the date the final action letter was served on
the employee.
Policy Change: The IPU will ,continue to open DIA'
investigations and the . Divisions will continue to.
return'their completed packages to the IPU. .The IPU
will then review the investigation to ensure
completeness.. Thereafter, the IPU will forward the
investigation to OPR. OPR will then review the package
tO determine whether the .adjudication is in accordance
1.:Fith,the DIA. Penalty GUidelines.(see _attachment). _Zile...
be advised by OPR of its approval, The
then forward a copy of the final action
OPR, noting.the date on whiCh the'final
Was served oil the employee..
Division will
Division will
letter to the
action. letter
Current Policy: Currently, the DIA Program contains a "Schedule
•of•Delegated Disciplinary Actions" (SDDA) table. This table
lists misconduct according to levels (e.g., level one offenses
result in an oral reprimand, whereas level-,four offenses result
in a 10 to 14-day suspension).
Policy Change: Based upon recommendations of the •
Commission, new Offense Tables and Penalty 'Guidelines
were implemented effective 11/01/04 to. address the'
types of behavior that constitute misconduct and the
range of penalties tor engaging in such behavior. The
attached DIA Penalty Guideline chart has been created
for adjudicating delegated 'matters. .(The.OPR and INSD
websites will also include links'to the DIA -Penalty
Guidelines chart.) In'itS opening EC; the IPU will
advise the Divisions'of the code under which the
alleged misconduct- fall:s. •
OIG-REQ 02/18/05-PART 3 _ FBI00,00130,'
To: All Divisions From: Director's Office
Re: DIA policy changes, 03/04/2005
Current Policy: Currently, discipline imposed by Division Heads
is to be in accordande with the SDDA, based" upon a preponderance
of the evidence finding that the subject employee committed the
disciplinary offense.'.If the disposition set forth in the SDDA
seems inappropriate due to significant aggravating/Mitigating
circumstances, thdse circumstances are communicated to IPU.. Any
penalty deviation from the SDDA requires the prior concurrence of
the IPU/INSD. Any previously . imposed discipline and/or repeated,
behavior within the previous three years is noted as'an
aggravating factor and considered when taking disciplinary
Policy Change: The SDDA has been replaced with the
attached DIA Penalty Guidelines (copy attached). AlSo,
any penalty deviation now requires concurrence from'
OPR, not INSD.
Current Policy:. Currently, if at any time during the course of
the investigation, a lack of 'candor or other non-delegated_.issue
arises, the IPU is consulted for further direction.
Policy change: None.
Current Policy: Currently,- the. DIA process allows for FD-302s-to
. be used. in_ Signed ,Sworn Statements_CSSas)—The
Commission recommended that SSSs be required-from all
Policy' Change: SSSs, obtained from all
employees, including subjects and. witnesses,'.in all DIA
matters. An SSS may also be .used for witnesses not
employed' by the FBI.
Current Policy: Currently, in offices with only one ASAC, an
inquiry regarding a GS-14.subjeCt is not delegated unless. the
matter pertains to Level One or Level Two offenses that do 'not'
'require"the execution of a SSS.
Policy Change: Since SSSs are"now required in all
cases, all inquiries involving. GS-14 subjects will be
conducted by INSD; IIU,.
Current Policy: Suspensions must start at midnight Friday and be
served consecutively. Furthermore, variations' must be authorized
by OPR, including those for employees working flexible or
Alternate Work Schedules. Since suspensions must be calculated
in Calendar days beginning at midnight Friday, all suSpensions---
• -will be of at least three days duration. Suspensions of one or
OIG-REQ 02/18/05-PART 3 F1310000131, DOJOIG013099
To: All Divisions -From: Director's Office
Re: DIA policy changes, 03/04/2005
two Calendar days are not imposed becauSe the first two days of
the suspension period are a : Saturday and a Sunday.
Policy change: None.
Current Policy: After the. Division Head determines an
appropriate penalty, an EQ is submitted to.the IPU • summarizing
the results of the inquiry, enclosing all original case file. -
documents/1A exhibits, reporting the dispOSition of any physical
evidence acquired during the inquiry, and enclosing 'a copy of the
communication, intended to be used to communicate the disciplinei
including the memorialization of an oral reprimand.' A copy of
the EC and disciplinary. action is also forwarded to the Security
Division, FBIHQ.
Policy Change: None.
Current Policy: Currently, upbn'the receipt. of the results of the' •
delegated administrative inquiry, IPU reviews the investigation
to ensure the inquiry is complete and in accordance with
applicable policy and - the SDDA. Once IPU reviews .the
investigative package, the Division is notified by e-mail And the
-appropriate'disciplanary action is imposed by the Division. The
results are recorded in appropriate Bureau records and the file.
is ratiaad..„at-FEIHQ for future refer.ence„Any.disciplinarv:,
action Which is not incompliance with this policy is invalid and'
will not preclude the imposition of a different disciplinary -
penalty. OPR.conSiders any detriment suffered . by the-employee as
a result of the invalid disCiplinary action in imposing a•
different disciplinary penalty.
Policy Change: The -IPU will hereinafter forward the
.investigative 'package to OPR. Once reviewed, .OPR will
forward an e-mail to the DiVision advising of
approval/disapproval of the recommended adjudication.
.0PR will convey to the Division its reason for
disapproving an action. -The Division will then forward
to OPR a copy of the signed disciplinary letter/EC
noting- the date the signed disciplinary letter was
presented to the employee. The results are recorded in
•appropriate•Bureau records and the file is retained at
FBIHQ for future reference. Any disciplinary action'
which is not in compliance with this policy is invalid
and will not preclude the imposition of a different
disciplinary penalty. OPR will consider any detriment
suffered by the employee as a result of the invalid
disciplinary, acton-inimposing a different.
disciplinary perialty.
. "OIG-REQ 02/18/05-PART 3 F820000132
To: • All Divisions From: Director's Office
Re: DIA policy changes, 03/04/2005
Current Policy: Upon receipt of any appealable discipline, •
whether delegated or not, the employee will have ten calendar
days to appeal the action to the Appellate Unit, Administrative
Services Division, FBIHQ. An employee must be advised of hfs/her
appeal rights at the time the letter of dicipline is , presented.
Policy Chancre: None.
• 5 • ,
OIG-REQ 02/18/05-PART 3 FB10000133
'To: All Divisions From: Director's Office
Re: DIA policy changes, 03/04/2005.
• In summary, the following checkliSt contains the steps that MUST
be taken in order to open/investigate/adjudicate a delegated
disciplinary matter:
1) SAC/Division Head must notify IPU/INSD via EC of•an
allegation of non-serious misconduct.
'2) INSD then reviews and determines whether delegation
is appropriate and provides to the Office of the.Inspector .
General (OIG) for its review.
3) The OIG will then .either assume responsibility for
the matter (therefore, no delegation) or decline the case.
. 4) If the OIG declines the matter, INSD will notify
the appropriate SAC/Division.Head. by EC of delegated matters.
6) Within 60 days, the appropriate SAC/Division. Head
will conduct'the necessary investigation and decide the
appropriate penalty•under the attached DIA: Penalty. Guidelines.
7) SAC/Division Head will then provide. the IPU with an
EC .c.ontaining_the.ProPosed .disciplinary action and a. factual__ . .---
summary of,the results of-the investigation. The original case •
file documents_, and 1A exhibits will be submitted, with a hard'
. copy of the. EC, to the IPU. The IPU will*then review the
.investigative package, and if complete , forward it to OPR.
8) • After. approval by' OPR, the Division- Head will issue
the letter of discipline or memorialize an oral reprimand to
employee.. From the date of the issuance of any letter imposing
probation and/or suspension, the employee haS ten .calendar .days
to file a notice of appeal.:
The policies contained in this communication are effeCtive
immediately and supersede all prior policies governing the same .
subject mater.
• OIG-REQ 02/18/05-PART 3 F310000134
To: All Divisions From: Director's Office
Re: DIA policy changes, 03/q4/2005
Set Lead (Info)
Please disseminate to all emploYees.
• CC: 1 - AD Will
1 - AD Thornton
OIG-REQ .02/18/05-R&RT 3 F3310000135