Internal FBI Memorandum: New Offense Table and Penalty Guidelines Related to the Disciplinary Process

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The document is an internal FBI memorandum, regarding the newly created Offense Table and Penalty Guidelines related to the FBI disciplinary process. The guidelines are intended to aid employees in determining the types of behavior that constitute misconduct and the range of penalties for engaging in such behavior.

Doc_type: 
Non-legal Memo
Doc_date: 
Thursday, September 30, 2004
Doc_rel_date: 
Tuesday, June 14, 2011
Doc_text: 

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AO l'0P 2i.TION
HERE 11.2..LASIFIED •
DATE 07-24-2609 BY 65179 DMIIIMJ
(Rev.01731-2003)
FEDERAL BUREAU OF INVESTIGATION
Precedence: ROUTINE Date: 09/30/2004
To: All DivisionS•
All Field.Offices
All Legats
From: Director's Office
'OPR
Attn: 'EADs
ADs
FBIHQ, Manuals Desk.
Attn: AD1Cs•
SACS
Approved By: ,Mueller•Robert S III
Pistole John S
Drafted By:
Case ID #:'66F-HQ-A1455078 (Pending)
66F-HQ-C1384970 (Pending)
. .
Title: NEW OFFENSE TABLE AND PENALTY GUIDELINES
RELATED.TO THE DISCIPLINARY PROCESS,

Synopsis: To provide all Divisions, Field" -t Offices, and Legats` "
with the newly created Offense Table and Penalty Guidelines,
effective 1.0/01/2.004, related to "the disciplinary process. •
Enclosure(s):. Offense Table; Preamble to the Penalty Guidelines,;
and Penalty Guidelines': •
Details: Based upon recommendations of•the Bell/Colwell
Commission, implementation teams were established by the
Inspection Division' (INSD), the Office of professional
Responsibility (OPR), and the Office of General Counsel (OGC) to
prepare the enclosed Table/Guidelines. The new Offense Table and.
Penalty Guidelines . will'become effective on 10/01/2004, and will
apply'to all' internal disciplinary investigations opened or
initiated on or after 10/01/2004. The new Table/Guidelines can
be found on OPR's website,
• The new Offense Table and'Penalty Guidelines are
intended to aid employees in determining the types of behavior
that" constitute misconduct and the range of• penalties.for
engaging in such behavior. The OPR.and,the.INSD intend for the
Bureau's disciplinary process to be. transparent, and .will take
every .action to remove any perceived secrecy in the•process,
while ensuring the privacy of-affected employees. Most
OIG-REQ 62/18/05-PART 3'
FBIO22361 CBT
FB10000046
DOJOIG013053
To: All Divisions From: Director's Office
Re: . 66F-HQ-A1455078, 09/30/2004
discipline will fall under the. median penalty range. There will.
.be times, however, when the attendant mitigating or aggravating
circumstances result in the imposition of a . penalty outside of •
the . median range. Examples Of mitigation and aggravation,
although certainly not meant to be all inclusive, are identified
in the Penalty Guidelines. 'It is important for employees to keep
in mind that the Penalty Guidelines are exactly that --
guidelines. There may be instances where the misconduct is so
egregious that the appropriate sanction falls outside of these
parameters. In such circumstances, the AD of OPR will not be
restricted to the penalties identified in the enclosed Penalty
Guidelines, but will have the latitude to issue sanctions outside
of those identified. The disciplinary proOess is inherently
difficult; however, it is Our:intention to improve the
transparency, predictability, efficiency and fairness of the
process by providing employees with the attached Offense Table
and Penalty Guidelines.'
This policy statement supersedes any/all priOr policy
statements, manual provisionS and' instructions relative to the
disciplinary process.
• Any questions regarding the contents of this
communication should be directed to OPR at 202-324-4993 or 202-
324-5417, Room-11112- FBIHQ. -
2
FBIO22362CBT
- OIG-REQ 02/18/05 -PART 3 F310000047
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To: All DiVisiona From: Director's Office
Re:. 66F-HQ-A1455078, 09/30/2004
•EAD(s):
Set Lead 1: (Info)
ALL RECEIVING OFFICES
Please disseminate to all personnel.
f + •
3
FBIO22363CBT
OIG-REQ 02/18/05-PART 3 FB10000048
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To: Divisions From: Director' s• Office
Re: 66F-HQ-A1455078, 09/30/2004
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1.1 Asset/CW/Informant
(Source) - Failure to Report
Criminal Activity .'
.
Failing to timely inform the appropriate FBI official of a source's unauthorized criminal activity about .,
which the employee knows, or reasonably.should know, based upon' all available information. Criminal
activity includes all violations of the law. .
. . .
Mitigated: Censure 5 Days' Penalty: 7 Days Aggravated: 10 Days - Dismissal
1.2 Asset/CW/Informant
(Source) - Improper Financial
Relationship ,
Without authorization, directly or indirectly loaning money to or receiving money from a source; giving
a favor/gift to oraccepting a favor/gift from a . Source; paying a source for a favor, gift, or service; or, .
attempting to obtain any favor, gift, orservice from a source. This includes financial benefits, favors, and
gifts conferred upon an' employee's relatives or associates due to the employee's relationship with the source.
. ,
Mitigated: Censure - 5 Days . 'penally: 7 Days Aggravated: 10 pays - Dismissal
•• ,
1.3 ASset/ON/Informant
(Source), - Improper.
Intervention on Behalf Of
,
Without authorization, aiding, protecting, harboring, or shielding a source, or any attempt to aid,
protect, harbor, or shield a sourceirom law enforcement or legal obligations. . .
.
Mitigated: Censure,- 5 Days Penally: 7 Days Aggravated: 10 Days '- Dismissal
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1,4 Asset/CW/Informant
(Source) - Improper Personal '
Relationship
. .
. Engaging in a social, romantic, or intimate relationship or association with a source. Social •
relationships/associations involve any contact beyond that reasonably necessary for the completion of, an investigative
mission or beyond that which Is authorized, An employee can be disciplined for: (1) engaging In an Improper personal
relationship, or (2) without authorization, engaging In conduct that would cause the reasonably , prudent person to
believe that there IS an Improper relationship, , • . .
***See 3/27/01 Memorandum to All Employees regarding "Personal Relationship Policyfor additional Information,
. .
Mitigated: Censure - 5 Days • .Penalty,' 7 Days Aggravated: 10 Days - Dismissal
. ,
1.5 Asset/CW/Informant
(Source) - Violation of
Operational Guidelines and
Policies, Other
Knowingly or recklessly failing to enforce or comply with an FBI or Department of Justice (DOJ)
Operational guideline or policy, not specifically delineated in any of the other "Aset/CWIInforniant"
offense codes provided herein, which falls outside the parameters of performance,
***See 2/02/04•emorandum to All Special Agents in Charge regarding revisions to Manual of Investigative .
Operations and Guidelines (MIOG), Part 1, § 270,`
Mitigated: Reprithand - 3 Days •' Penalty: 5 Days Aggravated: 7 - 30 Days
1.6 Investlgative,Deficiency -
Improper Handling ,of
DoCument(S) or Property In the •
Care, Custody, or Control of the
Government
Failing to properly seize, identify, package, ;
or safeguardocument property under
evidence, non-evidentiary items, and seized
includes the unauthorized or improper use, loss,
to Include ELSUR (electronic surveillance) materials.
. .
•Mitigated,: feprimand - 3 Pays
.
inventory, verify, record, document, control, store, secure, .,
the care, custody, or control of the government, to include •
property which is held by the government. This offense
Damage, destruction, or improper disposal. of documents or property,
i.
' '
. .
Penalty: 5 Pays Aggravated: 7-30 Days '.
. . .
1.7 Investigative Deficiency -
Misconduct Related to Judicial
Proceedings
During the investigative or litigative phases of a criminal or civil case, engaging in conduct that '
dishonors, disgraces, discredits, or otheiwiSe brings the integrity or reliability of the FBI into question.
(This does not apply to conduct involving falsification issues covered under 2,1, "Lack of Candor/Lying.")
. . . . , . . .
Mitigated: Censure - 5 Days Penalty:: 7 Days Aggravated: 10 Days - Dtinissal
1.8 Investigative Deficle hi cy -
Violation of Operational I
Guidelines and Policies, Other

, .
Knowingly or recklessly failing to enforce or comply with an FBI or D03 operational guideline or policy
not specifically delineated in any Of the other "Investigative Deficiency" offense codes provided herein,
which falls outside the parameters of performance. • .
, .
Mitigated: Reprimand - 3 Days ' :Penally: 5 Days Aggravated: 7.30 Days
'
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24 False/Misleading Knowingly providing false or misleading information in an employment-related .or security-related
Information,- document; or, signing or attesting to the truthfulness of information provided in an employment ,
Employment/Security related or security-related document in reckless disregard of the accuracy or completeness of pertinent
Document(s) , • information contained therein. Employment/security documents include, but are not limited to, the Employthent.
Application (FD-140); Security Reinvestigation Questionnaire (FD-814) and other security clearance forms;
Government Employees Training Act (GETA) forms (SF-182); training records; Candidate Qualification form (FD-954);
report of medical history; marriage; roommate, and foreign travel forms; and, other documents/forms which impact
. hiring, retention, transfer, promotion, and awarRecisions,
, . . .
• • Mitigation: Censure - 5 Days Penalty: 7 Days Aggravation: 10 Days - Dismissal
. • -
2.2 False/Misleading KnoWingly providing false or misleading information in a fiscal-related document; or, signing or
Information - Fiscal Matter(s) attesting to the truthfulness of the information provided in a fiscal-related document in reckless
disregard of the accuracy or completeness of the pertinent information contained therein. Documents
.
. . .•
involving fiscal matters include, but are not limited to, Time & Attendance (T&A) records, travel vouchers, • '
disbursement/expenditure forms, draft requests;„ , expense forms, supporting documentation for leave purposes, .
.
Insurance fOrms, benefits forms, and transfer documents,
' " • .
Mitigation: Censure -7 Days .: Penalty: 10 Days Aggravation: 15 Days•- DiSmissal
,
2.3 False/Misleading Knowingly providing false or misleading informationin an investigative document; or, signing or
Information - Investigative attesting to the truthfulness of information provided in an investigative document in reckless disregard
Activity of the accuracy or completeness of the pertinent information contained therein. Documents involving .
investigative activity include, but are not limited tb, FD-302s, Inserts, evidence control documents, LHMs, ECs, and
documentation of Informant matters. . , •
, .
' Mitigation: Censure - 21 Days , Pally: '30 Days Aggravation: 45 Days - Dismissal
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2.4 False/Misleading
Information - Other Official
Matter(s)

Knowingly providing false or misleading information In an official FR document or an official document
of another governmental agency; or, signing or attesting to the truthfulness of information provided in
an official FBI document or an official document of another governmental agency in reckless disregard
of the accuracy or completeness of the pertinent information contained therein. This applies to documents
executed either on-duty 'Or off-duty, ,
• •
'Mitigation; Censure - 5 Days • Penalty: 7 Days Aggravation: 10 Days - Dismissal
.

2.5 Lack of Candor/Lying - No
Oath
.
.
Knowingly providing false information when making a verbal or written statement,
,
. not under oath, to a
supervisor, another Bureau employee in an authoritative position, or another governmental agency,
when the employee is questioned about his conduct or the conduct of another person. "False information"
includes false statements; misrepresentatios; the failure to be fully forthright; or the concealment or omission of a
material fact/information, • .
. • ' •
Mitigation: Reprimand - 5 Days .: Penalty: 7 Days , Aggravation: 10 Days - Dismissal
.
. •
2.6 Lack of Candor/Lying -
Under Oath
Knowingly providing false information in a iterbal or written statement made under oath,"False •
information" Includes false statements, Misrepresentations, the failure to be fully forthright; or the concealment or
omission of a material fact/information,
. ;; • , . •
Mitigation: N/A Penally: Dismissal Aggravation: None

2.7 Misuse of Position - Abuse
of Authority
. . , . . • . . .
Exceeding the limits of FBI authority to further a personal, unofficial, or unauthorized interest.
***See Title 5 Code of Federal Regulations (CFR), § 2635702 for additional Information.
Mitigated: Reprimand - 3 Days Penalty: 5 Days Aggravated: '7 - 30 Days
2.8 Misuse of Position - i,.
Exploiting FBI Employment
. . 1
.
Using FBI position or affiliation for private gain or advantage or for the gain or advantage•of relatives or
associates of the employee. • ' . •
***See Title 5, CFR, §2635.702 for additional information. .
Mitigated: Reprimand - 3 Days . Pena* 5 Days Aggravated: 7 - 30 Days
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2.9 Misuse of Position -
Impersonating an Agent
Misrepresenting oneself as a Special Agent pli good standing) in order to conduct an unofficial inquiry,
investigation, or database search, or to receive a benefit generally conferred only upon agents/law
enforcement,
, .
Mitigated: Censure - 5 Days . Penalty: 7 Days . Aggravated,' 10 Days - Dismissal

2.10 OPR Matter - Failure to
Cooperate .
.
Failing or refusing to fully participate in an OPR inquiry.
***See MIOG, Patt II, §§13-22,13,1 and 13-22,14 for additional infonnetion,
. . . .
, . , . . . . .
Mitigated: N/A Penalty: Dismissal Aggravated: N/A
.
2.11 OPR Matter - Obstruction
.
. ,
.
Taking any action to influence, intimidate, impede or otherwise obstnict the OPR process.
. . .
Mitigated' . 3 - 7 Days :‘Penalty: 10 Days Aggravated,' 15 Days - Dismissal
2.12 Violation of Ethical ,
Guidelines .

.
. •
• ,
Engaging in any activity or conduct prohibited by the uniform Standards of Conduct of Employees of the
Executive Branch (5 CFR Part 2635), the supplemental regulations (5 CFR Part 3801), DO3 or FBI
policy. Prohibited conduct involves, but is not limited to, issues such as conflict of Interest, faVoritismioutside .
employment/activities, and gifts, .
.
***See Executive Order 12674; 5 CFR part 2635;. 5 CFR Part 3801; 5 U.S.C. 53110;18 U.S.0 gg203, 205, 208, and,
209; the Manual of Administrative Operations and Procedures (MAOP) Part I, 51-13; and, the DOJ Ethics Handbook '
for additional information. . • '
. . . •
Mitigated.' Reprithand - 3 Days . Penalty: 5 Days Aggravated.' 7 - 30 Days .
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Mitigated! Reprimand - 3 Days Penalty: 5 Days ' Aggravated: 7 - 19Days
Mitigated: Reprimand : 3 Days, Penally: 5 Days. Aggravated: 19 Days
Mitigated: N/A Penally: 5 Days Aggravated: 7.14 Days
3.1 Damage, Destruction, or
Improper Disposal of
Government Property
Without proper authority, damaging, destroying, or disposing of any government document(s) or
property. (This does not include the destruction. or wrongful disposal of the type of property and documents covered
In 1.'6, "Investigative Deficiency -- Improper Handling .of Document(s) or Property.")
DIA
Loss or theft of an FBI Special Agent BadgelOr FBI credentials resulting from employee's failure to
adequately safeguard the property.
Penalty: Censure Aggravated: 3 -10 Days
• .;
Loss or theft of government property (including documents) resulting from the employee's failure to
adequately safeguard an item, deemed by appropriate authority to be of a sensitive or valuable
nature. (This does not include the loss of the type of property and documents covered In 1.6 "Investigative
Deficiency -- Improper Handling of Document(s) or Property.")
3.2 Loss of Badge and/or
Credentials
33 Loss of Government
Property or Document(s) of a
Sensitive/Valuable Nature
Mitigated: N/A
DIA
DIA
Loss or theft of .a Bureau-issued or Bureau-approved weapon resulting from employee's failure to
adequately safeguard the property.
3.4 Loss of Weapon DIA
To:. All bivisions. FrCm: Directoi, s Office
Re: 66F-HQ-A1455078, 09/30/2004
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3,5 Misuse of FBI
Database(s)/Unauthorized
Acces
. . .
Without authorization, accessing an FBI or ?other government database or record, (This does'not include
the disclosure of such information.to others, whili is covered in 4.9, "Unauthorized Disclosure - Classified/Law-
Enforcement Sensitive/Grand Jury Information" or 4.10, "Unauthorized Disclosure - Sensitive Information.")
Mitigated: Reprimand - 3 Days 1 ,Penalty: 5 Days Aggravated: 7-14 Days
• .
DIA
, •
3.6 Misuse of Government
Computer(s)
• .
Using a government computer for personal, unofficial, or unauthorized use. This. does not apply to "de
minimis" use, where the cost to the government is negligible, as long as the use is not otherwise objectionable (e.g,,
pornography). .
***See 5 CFR §2635,704; 28 CFR §454; .' .
, . . •
Mitigated: Reprimand -3 Days Penalty: 5 Days • Aggravated.' 7.14 Days
, •
DIA

, .
3.7 Misuse of Government
Credit Card (Theft) - Gasoline or
Automotive-Related Expenses

.
UU sing, or permitting the ,use of, a Government Credit Card (GCC) to purchase gasoline or an automotiverelated
part or service for personal'use, This matter Is treated as a theft since all of these Purchases are direct
billed to the FBI, . .
, .
Mitigated: 15 - 30 Days , ' 1 Penalty,' Dismissal Aggravated: None
.
3.8 Misuse of Government
Credit Card - Personal Use

Using, or permitting the use of, 'a Government.Credit Card (GCC) for personal purchases, rentals,
servicesi .and/or cash advances; failing to pay the balance in a timely manner; or, failing to apply a
voucher reimbursement to the corresponding GCC debt, (This does not apply to purchases covered under 3,7,
"Misuse of GCC - Gasoline or Automotive-Related' Expenses.") .
, i . . i
Mitigated: Censure - 5 Days • . Penally: 7 Days Aggravated,'' 10 Days -- Dismissal •
3.9 Misuse of Government
Vehicle or Aircraft, Nogitle,31
. . .

Using a govemment•owned or leased passenger motor vehicle or aircraft, or the equipment therein,
regardless of the employee's intent, for an unofficial purpose; or, transporting an unauthorized .
passenger in a motorvehicle or aircrOft bran unofficial purpose. . .
***See 41 CFR §301-2,201; MAOP, Parti, §§P3,1, 1-3.1,1, and 1-3,12; and, the May 15, 1997, Memorandum to all
Special Agents In Charge re: Misuse of Bureati Vehicles Policy Clarification for additional Information and exceptions to
the general rule, . . .
Mitigated' Reprimand - 3 Days ' `Penally: 5 Days Aggravated' 7 -14 Days
.
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3.10 Misuse of Government
Vehicle or Aircraft, Title 31
. .
Knowingly, or with reckless disregard, using a government-owned or leased passenger motor vehicle or
aircraft for an unofficial or purely personal purpose, i.e., a purpose other than the facilitation of
government work or the execution of the FBI's mission.. .
,***See 31 11,5,C, 01344 and 1349(b); 41 CFR §301-10,201; MAOP, Para, §11-3.1, 1-3,14 and 1-312; or, the May
15, 1997, Memorandum to all Special Agents in Charge re:,Misuse of Bureau Vehicles Poky Clarification for additional •
information and exceptions to the general rule. • . . . .
, . , .
Mitigated: N/A • Penally: 30 Days Aggravated: 45 Days - Dismissal •
.
3.11 Misuse of Government Using government property, not specifically delineated in another offense code, for'personal; unofficial DIA
Property, Other ' or unauthorized use, which falls outside the parameters of performance. Dis. does not apply to "de
mlnimis" use, where the cost to the government is negligible.
.
***See 5 CFR §2635,704 and 28 CFR §45,4,' . " • .
.
Mitigated: Reprimand . Penalty: Censure' ' Aggravated: 3:- 10 Days
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4.1 Assault/Battery Attempting or offering to inflict bodily haim on another using unlawful force or violence; or, inflicting
bodily harm on another using unlawful force or violence,
,
Mitigated: Censure - 5 Days Penalty: 7 Days Aggravated: 10 Days -.Dismissal
4,2 Drugs - Use or Possession Knowingly and consciously ingesting, injecting, inhaling, or possessing an illegal controlled substance
or anabolic steroid, on or off duty, after entering on duty (EOD). (This does not apply to the possession of
controlled substances for official purposes.)
.

**lee 21 U.S.C. §812 for a liSt of controlled substances,
. , .
Mitigated; N/A ' . ', Penally: Dismissal • Aggravated: N/A
4.3 DUI/DWI - GoVernment Operating or being in actual physical control of any government vehicle while intoxicated or impaired
Vehicle by alcohol or a controlled substance. Impairment can be evidenced by a chemical analysis (breathalyzer and/or
'
_blood test),'or credible observations of law enforcement personnel or other witnesses, if no law enforcement personnel
are present • .
, . .
Mitigated: N/A .. Penally: 45 Days . Aggravated: Dismissal
4.4 DUI/DWI - Privately Operating or being in actual physical control of any privately owned vehicle while intoxicated or
Owned Vehicle • impaired by alcohol or a controlled substance, Impairment can be evidenced by a chemical analysis
. ;(breathalyzer and/or blood test), or credible observations of law enforcement personnel or other witnesses if no law
enforcement personnel are present. . •
. Mitigated: N/A • .'
i
.' 1 . Penalty: • 30 Days Aggtapted: 45 Days- Dismissal
9116/2004 12
DOJOIG013064
9t10064 13
To: All Divisions Front • Director' s Office
Re: 66F-HQ-P1455078, 09/30./2004
4.5 ,Fraudfibeft

Taking, obtaining, or withholding, by any means, from the possession of the government; or another ,
owner,.any money, property, or article ofvalue of any kind, with the intent to deprive or defraud the
government, Or another, owner, of the use and benefit of the property, or with the intent to appropriate
It for personal• or for the use of another entity or person other than the owner. (This does not include
conduct covered under any of the offense codes included in Part 3.) , •
. . . .
Mitigated; 15 . 30 Days . Penalty; Dismissal • Aggravated: N/A
4.6 Indecent/Lascivious Acts
.
.
I I .
Inappropriately acting in a manner to appeal to or gratify the sexual desires of the employee, his victim,
or both; or, indecently exposing a body part to.public view. (This does not apply to sexual assault or any
sexually-related conduct rising to the level of a felony offense, as determined by the jurisdiction in which'the .act
occurred, which is covered under 4.7 "Other Felonles.1 If a local, state, or foreign jurisdiction lawfully permits any
type of Indecent/lascivious act described herein, this offense code will nevertheless be applied if the act is contrary to
a law the FBI is chartered to enforce. • •
. . . .
Mitigated: 3 - 7 Days • Penalty: 10 Days Aggravated: 15 Days - Dismissal •
4.7 Other Felonies . Engaging in an act, other than one which his been specifically delineated in another offense •code,
which is considered a felony in the jurisdiction in which the act occurred. (This does not apply to perjury,
which Is covered under 2,1 "Lack of Candor/Lying.")
. .
Mitigated: 3.10 Days ' 1 Penalty: 14 Days Aggravated,' 30 Days - Dismissal
.
4.8 Other Misdemeanors
.
. ,
Engaging in an act, other than one which has been specifically delineated in another offense code,',
which is considered a misdemeanor in the jurisdiction in which the act occurred.
• ,• , . • . . - . ,
Mitigated: Reprimand - 5 Days • - Penalty,' 7 Days Aggravated: 10 Days - Dismissal
1
4.9 Unauthorized Disclosure -
Classified/Law-Enforcement
Sensitive/Grand Jury i •
Information

. . , , .
Without authorizatiOn, disclosing or
,
attempting to disclose classified or law enforcement sensitive
material, or Grand Jury information.
***See the Federal Rules of Criminal Procedure, Rule 6(e), The Grand Jury - Recording and Disdosure of Proceedings
fOr additional information regarding the Grand I*. " ,
. , .
. , .
Mitigated' Censure - 7 Days Penalty: 10 Days Aggravated' 15 Days - Dismissal

4.10 Unauthorized Disclosure -'
Sensitive Information
.
1 .
Without authorization, disclosing or attempting to disclose the FBI's, or another'agency's, sensitive.
material. ,
. . . ,
Mitigated: Censure - 5 Days Penalty; 7 Days Aggravated: 10 Days - Dismissal •
(.4
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To: All Divisions From Director's Office
Re: 66F-HQ-A1455078, 09/30/2004
10
0
5.1 Alcohol/Substance Abuse -
Under the Influence While On
Duty
Without authorization, consuming a beverage containing alcohol while on duty or during a break; DIA
consuming alcohol prior to reporting for duty to the extent that it has an effect on the employee's
workplace or performance; or, using a prescribed medicine in a manner inconsistent with the
prescribing physician's instructions, having an effect on the employee's workplace or performance.
Mitigated' Reprimand - 3 Days • Penally; 5 Days • Aggravated' 7 -14 Days
0
0
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5.2 Dereliction of Supervisory
Responsibility '
A supervisor (or employee acting in an authorized supervisory capacity) failing to exercise reasonable
care in the execution of his duties or responsibilities, disregarding his duties or responsibilities, or
significantly deviating from appropriate methods of supervision.
Mitigated: , Reprimand - 3 Days Penalty: '5 Dais Aggravated; 1-14 Days
5.3 Discrimination Engaging in conduct for or against another:person based on that person's protected status (race, color,
religion, national origin, sex, disability, age, parental status or sexual orientation).
w
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Mitigated 3 - 5 Dayi 1' Penally: 7 Days Aggravated' 10 Days - Dismissal
5.4 DiSruptive Behatitior Engaging in inappropriate verbal or physical conduct, while on official business or in an FBI space or DIA
vehicle; which is disruptive or negatively bipeds the workplace.
Mitigated: Reprimand 1 \ Penalty; Censfire Aggravated.' 3.10 Days

,
9116/2004 14
DOJOIG013066
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66F-EQ-A1455078, 09/30/2004
tO
5.5 Failure to Honor Just
Debts/Regulatory Obligations
. .
Without valid justification, failing to satisfy i an uncontested, lawful debt or to fulfill a legal or regulatory
obligation. (This does not apply to debts involving government credit cards, which are covered under 3.7 "Misuse of
Government Credit Card - Gasoline or Autdmotive-Related Expenses" and 3.8 "Misuse of Government Credit Card -
Personal Use.") The failure to satisfy the debt or fulfill the obligation must be characterized by deceit, evasion, false
promises or other Indicators of a deliberate nonpaynient or gross indifference towards the jUst debt/obligation.
Mitigated: Reprimand - 3 Days • • Penalty: 5 Days • Aggravated: 7 - 30 Days ,
5.6 Failure to Perform
Prescribed Duties •.
.•
1
Disregarding, declining, or failing to perform,a particular task or duty, after the employee was given a
general or specific order/instruction, , ,
.
Mitigate Reprimand .. Penally: Censure • . Aggravated' 3 -10 Days
DIA
.
5,7 Failure to Report -, •
Administrative
, . .
Failing to inform the appropriate FBI official or supervisor, in a timely manner, about an administrative .
matter which the employee knew, or should have known, was required by FBI or DO) regulation or
policy to be reported. . , . ,
MiUgated: Reprimand . Penalty,' Censure Aggravated: 3 -10 Days
DIA
5.8 Failure to Report -
Criminal/Serious .
Failing to report to the appropriate FBI official or supervisor, in a timely manner, any serious
misconduct the employee committed; any arrest, summons, contact with law enforcement, or
involvement in the court system by the employee; or, any serious misconduct or criminal conduct
committed by another employee of which .* employee was aware. ,
, •
Mitigated Censure - 3 Days • Penalty: 5 Days -: . Aggravated: 7 -14 Days
. .
DIA
,
5.9 Improper Relationship -
Criminal Element

••

'
. .
,
Without authorization, engaging in an ongoing social, romantic, or intimate relationship or association
with a person the employee knew, Or should have known, is involved in criminal activities. (Tils does not
apply to relationships and associations covered under 1,4 "Asset/CVV/Informant '(Source) - Improper Personal '
Relationship" or an on-going relation'ship an employee maintains with his minor child's other parent.) Social
relationships or associations involve any contact beyond that reasonably necessary for the completion of an
investigative mission or beyond that which is authorized.. . ,
**lee 03/27/1004 Memorandum to All Employees regarding 'Perknal Relationship Policy" for additional
information, . ' .

Mitigated: Censure - 5 Days '. Penally: 7 Days . • • Aggravated: 10 'Days - Dismissal .
15
DOJOIG013067
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To: All Divisions Prom:. Director' s Office
Re: 66F-4Q-31455078, 09/30/2004

• 10 Improper Relationship -
Superior/Subordinate •
• . .

•1 .
Engaging in or seeking a romantic or intimate relationship with a superior/subordinate, which violates
the strictures of the FBI's Personal Relationships Policy as it pertains to FBI executives, managers,
supervisors, and other persons serving or acting In positions of authority.
***see 03/27/2001, Memorandum to Ail Employees regarding "Personal Relationship Policy" for additional
Information, „ ,
. . . .
Mitigated: Censure - 5 Days .. Penalty: 7 Days Aggravated, 10 Days - Dismissal
5.1.1 ,Insubordination •


After being given, and understanding, a legitimate order made orally or in writing by a supervisor or
another person in authoilty, refusing to comply or willfully failing to comply with the order.
. . •
Mitigated: Censure - S Days , Penalty: 7 Days . Aggravated: 10 Days - Dismissal
DIA/
DIO
5.12 Military Reserve Matter *

. . . • . .
Engaging in conduct contrary to FBI regulations concerning reserve status, drilling, and military leave.
***see 12/12/2002 Memorandum to all Special Agents re: Military Reserve Matteis; and, the Leave Policy Manual, for
additional information,
Mitigated: Reprimand • Penally: Censure Aggravated: 3 - 10 Days
5.13 Misuse of Weapon/Safety
Violation . s

Handling, diiplaying, operating, controlling rcanying, storing, or otherwise treating a weapon,
explosive, or incendiary device in a tanner inconsistent with the use and safety protocols and
procedurei established by the FBI and federal regulatory agencies.
. .
Mitigated: Censure - 5 Days ! Penally: ,7 Days Aggravated: 10 Days - Dismissal
,
5.14 Misuse of Weapon - '
Accidental Discharge
Causing the unintentional discharge of a weapon. . .

i '
Mitigated,' N/A . !. Penally: 3 Days Aggravated: 5 - 14 Days
DIA
5.15 Misuse of Weapon -
Intentionil Discharge
Purposefully or willfully discharging a weapon in violation of the deadly force policy.
.
Mitigated: 5-14 Days " ,‘ Penally, 30 Days , ' Aggravated,' 45 Days - Dismissal
5.16 Retaliation
.
Engaging (or threatening to engage) in conduct, directly or indirectly, to "get even" with another
person for taking action that adversely affected the employee or that the employee perceived as having
an adverse effect. '
. . . •
Mitigated: 3 - 5 Day's . . Pena* 7 pays Aggravate':" 10 Days - Dismissal
• 911612004 16 ,
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DOJOIG013068
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To: All Divisions . From Director' s Office
Re: 66F-HQ-21455078, 09/30/2004
5.17 Security Violation - Failure
to Secure Space, Sensitive
Equipment/Materials
. . .
Failing to safeguard or control access to non-public FBI space, to sensitive or classified material, or to
the equipment or location's where such material is inputted, maintained, collected, stored, or preserved.
(This does not'apply to items covered In 1.6 "Investigative Deficiency - Improper Handling of Document(s) or Property
in the Care, Custody, or Confrol of the Government.'?
..
Mitigated: Reprimand - 3 Days
I
. Penalty: 5 Days r Aggravated: 7 -14 Days
DIA/
DIO
5.18 Security Violation - Other
.
. .
Engaging in an activity or conduct in violatfon of a regulation or policy promulgated by the FBI, DA or
another authoritative agency, which has not been specifically delineated in another offense code,
outside the parameters of performance. • .
. ,
Mitigate Reprimand - 3 Days , Penalty: 5 Days .. Aggravated: 7 -14 Days
. .
DIA ,
5.19 Sexual Misconduct -,
Consensual •
Engaging in sexual, intimate, or romantic .activity with a willing partner(s) in an inappropriate location
(such as government spaces, government vehicles), or while on duty. '
. •
Mitigated: Censure - 5 Days . 1 Penally: 7 Days Aggravated,' 10 Days - Dismissal
5.20 Sexual Misconduct -4
Non-consensual

,
Making unwelcome or unwanted sexual adOnces, requesting sexual favors, or engaging in other verbal
or physical conduct of a sexual nature. I ' ' • ,
***See the Civil Rights Act of 1964, Title VII, § 703, for additional information, .
, 1 .
Mitigated: Censure - 5 Days ' Penalty; 7 Days . Aggravated; 10 Days - Dismissal

5.21 Uhprofessional Conduct - •
Off Duty •
. •
,
Engaging in conduct/while off duty, which dishoncos, disgraces; or discredits the FBI; seriously calls '
into question the judgement or character of the employee; or, compromises the standing of the ,
employee among his peers or his community. (This applies to misconduct not otherwise delineated In a specific
offense code.) . •
, • .
Mitigated,' Reprimand - 3 Days , Penalty; 5 Days Aggravated: 7 Days - Ilsmissal

5.22' Unprofessional Conduct -
On Duty • '.

Engaging in conduct,' while on duty, which dishonors, disgraces, or discredits the FBI; seriously calls
into question the judgement or character of the employee; or, compromises the standing of the
employee among his peers or his community. (This applies to misconduct not• delineated In a spec&
offense code.)
NO te Censure - 5 Days ' • ' Penalty 7 Days . Aggravated' 10 Days - Dismissal


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DOJOIG013069
DIA/
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5,23 Violation of Miscellaneous
Rules/Regulations
Failing to enforce or comply with an FBI, D03, Office of Personnel Management, or other federal
administrative or operational guideline or policy not specifically delineated in any offense code, which
falls outside the parameters of performance',
Mitigated: Reprimand - 3 Days , • Penally: 5 Days ' AggraVated: 7- 30 Days
To: A11 Diirisions Director' s Office
Re: 66F-HQ-A1.455078, 09/30/2004
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911612004 18
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DOJOIG013070
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FEDERAL BUREAU OFINVEBTIGATION
PENALTY GUIDELINES
0
O The Penalty Guidelines•are used in assessing'the appoPriate penalties for common types of
td misconduct. •While the Guidelineb.do not specifically name every poSsible offense, they do provide
the general categories of misconduct for which employees may be disciplined. The absence of a • .
H specific regulation covering an act does not mean that suah•an act is condoned,'permissible, or would
4) not result in disciplinary action.' These Guidelines . supercede all previously published tables, '
listings, and applicable policies regarding disciplinary offenses. "
Purpose and Progressive Nature of Discipline: Disciplinary penalties are imposed to correct behavior
and teach the employee and others that certain actions are inappropriate for an employee of the FBI.
Discipline also Serves to enforce the expected high Standards of conduct for the Bureau. Although
not specifically:. reflected in the Guidelines, discip;ine is usually progressive.in nature and, '
therefore, subsequent•misconduct is treated with increasing severity. However, while the concept of
progressive discipline is appropriate for most types of infractions, some offenses (such as theft or
lack of candor) are so egregious that a single instace is sufficient to warrant removal.
Factors Considered When Determining,a Penalty: Many •factors are considered in deteriining the
penalty to impose,. including the nature of the misconduct and its consequences, as well.,as . the
position and record of the employee. Of particular importance are the.mitigatingand/Or aggravating
factors in each case. , Aggravating factors which apply to all offense categories include supervisory
or'hish-grade stAtus,, prior disciplinary record, prior warning/advisement not to commit the
misconduct, media. attention or publid awareness, repetitive misconduCt in a single'dase, and failure
to report. Mitigating factors commOn . to . all categories include self reporting, efforts to remedy
the wrongdoing, acknowledgment, of wrongdoing, :limited employee experience, and a long period of
unblemished service. At times, a consideration that' is mitigating in one case may be aggravating in
another. For example, limited employee experience may tend to ameliorate an °employee's 'conduct in
Many instances, but may aggravate dt,in cases involVing 'multiple instances of Misconduct during a
Ili short tenure. In some cases, the aggravating and mitigating factors will warrant selecting a
10 penalty at the upper or'lower range, or even outside'the range of penalties provided.

O Other matters formally considered by OPR prior to di .sCipiinary action being imposed in serious cases
O of misconduct (those involving a likely penalty of dismissal, demotion, Or suspensionOf more than 14
g days) are the "Douglas Factors." Not all Of these factors are pertinent in every case., Selection of
:a) an appropriate penalty must thus involve a balancing of the relevant considerations. The "Douglas
Factors" 'are:
9t1612004 19
To: All Divisions From Diredtor' s Office
Re: 66F-HQ-A1455078, 09/30/2004
DOJOIG013071
To: P11 Divisions' From ,DirectOr's Office
Re: 66F-HQ-M455078, 09/30/2004
10
o
1. The nature and seriousness of the offense, and its relation to the.employee's duties,
ro position and responsibilities, including whether the offensev intnetnetntiioonnaall or technical or ,
.\ inadvertent, or was committed maliciously or for gain, ,or was frequently repeated;
o
2, the employee's job level and type of employment, including supervisory or fiduciary
kkJJ 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, performanPe on the .job,
ability to get along with fellow workers, and dependability; '
'5. the effect of the offenselliponthe 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.. consistency of the penalty with those . imposed upon other employees for the same or
similar offenses;.
7. consistency of the penalty with any applicable agency table of penalties;
5 8, the notoriety of, the offense or its impact upon the reputation of the agency;.
. ! 9. , the clarity with which the employee was on notice of any rules, that were 'violated in
0m committing the offense, or'had been warned abbut the 'Conduct in question; '
10,potential for the employee's rehabilitation;
11,mitigating circumstances surrounding the offense such as unusual-job tensions,
(personality problems, mental impairment, 'harassment pr bad faith, malice'or provocation on the part
of others involved in the matter; and
tri
H !
O. 12. the adequacy and effectiveness of alternative sanctions to deter such conduct in the
future by. the employee or ,others; .1
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911612004 20
DOJOIG013072
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1-4 Explanation of the Penalty Guidelines
To: All Divisions From Director' s Office
Re: 66F- HQ- A1455078, 09/30/2004
(•)I Offenses: The Penalty Guidelines are (like the Offense Table) arranged'into'five separate categbries
of offenses, which are InveStigative Misconduct;, 'Integrity/Ethical Misconduct; Property Related
Misconduct; Illegal/Criminal Conduct; and General Misconduct. ' Within each category, the offenses'
are listed'in alphabetical order.
O Investigative Misconduct: Misconduct associated with the investigative process, to include
'ndsconduct involving 'assets, informants, and Cooperating Witnesses. Also includes investigative
deficiencies, including the improper handling of documents and propertyi. and misconduct during'
judicial proceedings. '
Ethical/Integrity Misconduct: Includes falsification . and lack of candor/lying. Also includes the
misuse of,position; failure.tb cooperate in, and obstruction of, an OPR inquiry; and the violation
of ethics regulations and guidelines.
Property Related Misconduct: Offenses pertaining to the loss, of 'government property, including
thefts of property due to employee negligence in safeguarding, the property; the damage, destruction,
or improper• disposal of government property; the misuse of government property, such as computers '
and motor vehicle's; and the misuse of government credit 'cards., Also encompasses unauthorized access
to government property, to include databases.
.
Illegal/Criminal Conduct: Offenses typically or frequently 'charged by law enforcement., as violations
of the' criminal code (local, State, or' Federal), to include: 'assault, drug offenses, DWI,'
fraud/theft, indecent/lascivious acts, other felony and misdemeanor of'fenseS, and the unauthorized .
disclosure of information. These types'of offenses fall within this category even . if not charged by
local authorities. For example, a failed drug urinalysis would fall'under this category; even though no criminal charges, are filed. Similarly; domestic violence and assaults are included in this
c ategory, even thbugh'a party may:not be arrested or 'charged. •
1° General Misconduct: The General Mi6conduct offenses Include a broad range of offenses, such as:
O alcohol-related Misconduct (w/the exCeptioil of DWIS)j failure to report; dereliction; Sexual
O misconduct; discrimination; disruptive behavior; failure to honor just debts; improper
0 O relationships; misuse of weapons; insubordination; retaliation; security violations;
O unprofessional conduct; and the violation of miscellaneous rules and regulations.
-01
W=4 21
DOJOIG013073
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0 To: All Divisions From Director's Office
Re: 66F-HQ-A1455078, 09/30/2004
N) Levels of Discipline: The different levels of disdipline are designated as follows: - Mitigated
F.I

Range; Normal Pebalty; and AggraVated Range. Within each category, disciplinary penalties for the
co' specified offenses are provided. Penalties expressed in terms of "days" (e.g., 3 days) refer to
0

calendar days of,suspension, without pay. Although deMotion is not specifically designated as a
el penalty in the Guidelines; demotion may be assessed in appropriate cases involving serious
td, misconduct.
q In adjudicating a case, one would begin at the NormalPenalty and, depending upon an assessment of
the facts and circumstances of the case and whether Mitigating/aggravating factors are present, the
level of discipline could go up or down, Some ofthe'more common aggravating and mitigating factors
for each offense (by no means an exhaustive listing),Are often listed in the grids depicting the
aggravated and mitigated ranges. On certain occasions,' the facts and circumstances of a case may
call for the application of a penalty that is putside of the ranges indicated, and it is possible for
any offense to rise to the level of dismissal under appropriate circumstances. Penalties below the
Mitigated Range 'or above the Aggravated. Range must be'personally approyed, for reasons specified in
writing, by the Assistant Director, OPR,:or the Assistant Director, Inspection Division (for
delegated cases), or the Assistant Director, Administrative Services Division (for cases on appeal).
Moreover, the Director, FBI; retains:the.discretion tet review and correct disciplinary determinations
within his authority, either in favor of or to the disadvantage of an employee, when the Director
considers it necessary . to correct an injustice ,or' to prevent harm , to the FBI. This power of
correction is not intended as an additional. level of appeal and will not be toutinely,exercised.
Combination of Penalties: In cases where more than One offense is substantiated against an
employee, the penalties:for the respective, offenses will, normally be added together. However, in
adjudicating cases, OPR . will exercise 'care in assessing' multiple penalties where the substantiated
charge's are essentially restatements',of the 'same act ofmisconduct. For example, where an Agent
loses both his weapon and his laptop in.one incident, , penalties will'not be separately assessed for.
the loss of the Weapon and the loSs of the,laptOp. .SOilarly, where an employee makes an
unauthorized disclosure of 'classified information, penalties will not be separately assessed for the .
lunauthorized disclosure and a security violation, 'In such cases, the.greater of the two penalties'
III will normally.beapplied, unless the facts of the cas 'otherwise advise.
Senior gxecutive Service ( . ES) Suspensions: By federal regulation,.members of the SES may not
0 receive a disciplinary suspension of less than 15 day's.', Accordingly, where the Guidelines indicate a
0' suspension of less than 15 days for an offense, that sanction cannot be imposed on an SES employee,
.0 When an assessment of a case with reference to the Guidelines concludes that a non-SES employee would .01 have received a punishment of more than a three-day;suspension, but less than a 15-day suspensiOn, an
• SES employee will; receive a minimum of a 15-day suspension. If a non-SES employee would have
received.a threeHday suspension'in a given case, an SES employee may receive either a letter' of
,9116/2004 22
FBIO22382CBT DOJOIG013074
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0 To: All Divisions From .Director's . Office
Re: 66F-HQ-A1455078 1 09/30/2004
10
0
s, censure or a minimum of'a 15-day suspension, as determined by weighing the facts and, circumstances of
the case against , the heightened behavioral and,managerial expectations associated with SES personnel;
03
s,
Revised 9/16/04, 9:25 lin. ,
9t1612004 23 •
DOJOIG013075
To: A1.1 .Divisions' From Director' s Office
Re: 66F-HQ-.1455078, 09/30/2004
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Code Offense Mitigated Range Normal Penalty Aggravated Range
1.1

.
Asset/CW/Informant (Source) - Failure
to Report Criminal Activity ' '

LOC .-. 5 Days '
(no actual knowledge, but should
have known or suspected criminal
,
activity) ,
?Days
'
10 pays - Dismissal
,
(compromise of case; or,
seriousness of criminal activity)
1.2
.
Asset/CW/Informant (Source) -
Improper Financial Relationship
, .
LOC - 5 Days ,
(no personal gaInfor, good faith
attempt to help source) ''
7 Days

10 Days - Dismissal .
(financial benefit to employee)"
1.3 Asset/CW/Informant (Source) - .
Improper Intervention on Behalf Of
•. . • .
LOC - 5 Days . •
• ' .
(no personal gain; or, good faith •:
attempt to help source) . '
7 Days ,
. . .
10 Days - Dismissal
.
, .
1.4 Asset/CW/Informant (Source) -
Improper Personal Relationship '
LOC - 5
.
Days . 7 Days 10 DayS - DismIsSal
. .
(non-disclosure to AUSA) .
1.5
.
:Asset/CW/Informant (SoUrce) - Violation
of Operational Guidelines and Policies,
Other
OR - 3 Days ' ;
. •
(no personal gain; or, good faith
attempt to help source) '
5 Days 7- 30 Days ,
(jeopardizing safety of others)

0
0
0
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OR - Oral Reprimand LOC - Letter of Censure 9/1612004
DOJOIG013076
To: All Divisions' From: Director' s Offide•
Re: 66F- 11Q- A1455078, 09/30/2004
1.6 '
.
Investigative DeficienCy - Improper
Handling of Document(s) or Property in
, thetare, Custody, or Control of the
Government . .
, , . . '
.
. .
, OR - 3 Days, : .
.
(others contributed to Improper • .
handling) . .;
.
. . i .
5 Days .
. .
.
, , . '
7 -30 Days •
(significant loss of
document(s)/property) ,
. . .
. 13 Investigative Deficiency - Misconduct • ,
Related to Judicial Proceedings , -
.. '
. ,
LOC - 5 Days . • . 1
' . .
(act in good/reasonable faith) "
7 Days .
,
10 Days - Dismissal
(judicial criticism)
1.8
.
,
investigative Deficiency- Violationsof
Operational Guidelines and Policies,
Other .
OR - 3 Days ,
. . .
.,
. •
5 Days , ,

7 - 30 Days
. .
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OR - Oral Reprimand LOC - Letter of Censure 9/16/2004
0
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DOJOIG013077
0
To: All Divisions From Director' s Office
Re: 66F-k-A1455078 ., 09/30/2004
10
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. Code Offense Mitigated Range ; . Normal Penalty • . Aggravated Range
2.1 False/Misleading Information,: . LOC - 5 Days
(minor issues) i .
Employment/Security Document(s)
7 Days
i
10 Days - Dismissal . .
(drugs or otherwise material to hiring)
2.2 'False/MISleading Information - Fiscal
Matter(s)
. '
.
'LOC- 7 Days ' ,
(minor Issues; little benefit to
employee)
10 Days . "
i
15 Days - Dismissal
(voucher fraud merits dismissal; serious TM
abuse)
2.3


False/MIsleading Information -
Investigative Activity
.
'

LOC- 21 Days .
(unintentional; minor Issue;
no material effect on
agency/mission)
30 Days .
• ,
ii ii , .
. 45 Days - Dismissal '.
.(intentional and significant issues or m4erial
impact on investigations/case) . .
2.4

False/Misleading Information .- Other
OfficialMatter(s) .
, •
i
LOC .- 5 Days . '1
(unintentional or Immaterial)
7 Days
i

10 Days- Dismissal
.
,.
(intentional and particularly material;
released to another govt. agency or
Congress)
2.5


Lack of Candor/Lying - No Oath
. . .
,
'
• i
OR - 5 Days . . • ,
(relatively Insignificant
matters) •

Mays

, i
10 Days- Dismissal • . '
.•

2.6
,i •
Lackof Candor/Lying , Under Oath N/A.
,
• • Dismissal ' N/A '

FBIO22386CBT
OR- Oral Reprimand LOC - Letter of Censure , 26 9/16/20Q4
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DOJOIG013078
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To: All Divisions From Di'rector' s Office
Re: 66F-HQ-A1455078, 09/30/2004 .
2.7 .
.
Misuse of Position - Abuse of Authority
.
OR - 3 Days
,
'
.
(doing so to prevent harm of
another; or, to ensure safety
of public/others)
5 Days
.
.
.
.
. 7 - 30 Days

(uncooperative; confrontational; display of
weapon; safety hazard; threat/aggressive
behavior; or, a security issues)
2.8
.
Misuse of Position - Exploiting FBI,
Employment
.
OR - 3 Days
.
(doing so to prevent harm of
another; or, to ensure safety ,
of public/others)
5 Days •
,
,
.
.
7 - 30 Days
(financial gain; threatening or aggressive
behavior; or, a security issue)

2.9 Misuse of Position - Impersonating an
Agent
LOC - 5 Days .
(doing so to,prevent harm of
another; or, to ensure safety
of public/others).
,
7 Days
engagingln investigative activity)
10 Days - Dismissal
, .
(financial gain; threatening or aggressive
behavior; security issue; violation of law; or,
.
2.10
.
OPRMatter - Failure to Cooperate , None

Dismissal,'
.
*(Failure to take SOB
polygraph = 5 Days) '
.
.
None •
.
. • ,
2.11
.
.
OPR Matter 'Obstruction
.• ':
,
.
3 ,. 7 Days
;(insignificant comments to'. , persons not associated if
OPtor, no attempt to .
influence)
.
10 Days
.
.
. .
15 Days - Dismissal
.
.(threatening:or aggressive behavior)
.
2.12 Violations of Ethical Guidelines •
. .

.
, .
OR - 3 Days
.
(no personal gain; or, .
genuine attempt to assist
another in,good faith)
5 Days

.
\ ,

.7 - 30 Days
. . . .
(financial gain', duration; direct/obvious
conflict; or, impact on agency/mission)
iq '..'4
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OR - Oral Reprimand LOC- Letter of CensUre 2? •
:
9/16/2004.
DOJOIG013079
H
To: All Divisions From: Director' s Office .
Re: 6F-HQ-A145078; 09/30/204
1
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"
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1.,, . •
Code Offense ' Mitigated Range Normal Penalty Aggravated Range
3.1 Damage, Destruction, or Improper OR :3 Days • ' 5 Days • 7 -14 Days • ,
Disposal of Government Property , •
• (minimal/insignificant value, (significant value of property; or, converted
• • " of property) . to personal use)
3.2 Loss of Badge and/or Credentials None . • . LOC • 3 - 10 Days
. .
• . (repeated loss)
3.3 Loss of Government Property or OR - 3 Days • . •5 Days . 7 - 14 Days . .
. Document(s) of a Sensitive/Valuable ,
Nature (minimal/insignificant value' , • (significant value•of property; or, compromise
'
minimal impact on •
agency/mission; or, pro*
of investigation)
reporting) , •
, .
3.4 Loss'of Weapon • None ' 5 Days 7- 14-Days

. .

.. (repeated loss; or, other violation of law, rule
or regulation)
3.5 Misuse of FBI • . ' OR - 3 Days . 5 Days . 7 - 14 Days .
.
Database(s)/Unauthorized Access
(non-sensitive Information) `
, •
.
(duration/frequency; or, type of information
obtained/accessed)
3.6 Misuse of Government Computer(s) •OR - 3 Days

5 Days 7 - 14 Days "
.

• •
(minimal use) (duration/frequency;'or, type of information
obtained/accessed)
txj
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OR - Oral Reprimand , LOC - Letter of Censure 9/16/2004
DOJOIG013080
To: All Divisions Frcim: Director' s Office '
Re: . 66F-HQ-A1455078; 09/30/2004
33 Misuse of GovernMent Credit Card
(Theft) - Gasoline or Automotive-
Related Expenses
. ,
'15 - 30 Days .
. ..
(expeditious self-reporting of
unintentional/emergency '
use)
Dismissal

-
, .
.
None
'
.
, ,
• •
3.8 • Misuse of Government Credit Card -
Personal Use
,i . ' .

Loc- 5 Days ,
.
,
(expeditious self-reporting of
unintentional/emergency 1 •
use; or, minimal dollar •
amount charged) '
.
7 Days

.
'
10 Days = Dismissal
(duration; frequency; or, high dollar amount
of charges)

3.9

Misuse of Government Vehicle or
Aircraft, Non Title 31
.
OR - 3 Days
, .
5 Days
.
7- 14 Days
. .
(frequency; duration; accident; injury/harm
to persons/property; or, citation/arrest)
3.10 Misuse of Government Vehicle or
Aircraft,.Title 31

.
None
, •
30 Days . 45 Days - Dismissal
,
(frequency; dUration; accident, Injury/harm
to perions/property; or, citation/arrest)
3.11
,
Misuse of Government Property, OR "
(emergency)
Other
LOC
,
.
.
'3 -10 Days
(frequency; duration; or, high value -arnOunt)
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OR - Oral Reprimand LOC - Letter of Censure 9/16/2004
to
DOJOIG013081
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To: All Divisions From: Director's Office '
Re: 66F-11Q-A1455078, 09/30/2004
lf' SIN i "4:‘.+
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Code Offenie Mitigated Range , ' Normal Penalty Aggravated Range
4.1
.
Assault/Battenf
• .
LOe - 5 Days :

.
7 Days 10 Days - D'smissal

(child abuse; extent of injuries; or, alcoholrelated)
.
4.2 Drugs - Use or Possession
'
.
None , • Dismissal , . None •

.
4.3 DUI/DWI - Government Vehicle.
.
None
. . .
.
45 Days
.

Dismissal
(serious injury; death; or, second
occurrence) '
'4.4 DUI/DWI - Privately Owned"Vehicle None . ' .
. •
' . 30 Days
, .
45 Days - Dismissal
(accident; injiiry; or death; second .
occurrence ‘... dismissal) '.
4.5
.,
'F aud/Theft

r 15 - 30 Days
.,
Dismissal
.
': None
4.6 ' ' Indecent/Lasciviais Acts
.
3 - 7 Days . i 10 Days •
.
,
15 Days - DismiSsal . ..
.
(child victim) •
. 4.7 Other FelOnies .

3 - 7 Days
(provoc,atioh by other(s)).
,
14 Days
.
.
30 Days - Dismiseal

(arrest/indictment/
conviction; Injury/harm to
persons/property; or, child, as victim)
OR - Oral Reprimand LOC - Letter of Censure 9116/2004
DOJOIG013082
10
N0
1.4
0
0
0
0
0
To: All Divisions • From Director'.s Office
Re: 66F-HQ-A1455078, 09/30/2004
4.8 Other Misdemeanors

• •
,
OR - 5 Days , •
. .
(provocation by other(s)) •
. ,
.
. ,
7 Days '
.
10 Days-Dismissal
(arrest/conviction; Injury/harm to persons/
property; or, child as victim)
4.9
.
.
Unauthorized Disclosure -
Classified/law Enforcement .
Sensitive/Grand Jury InfOrmation

.
LOC - 7 Days
, . . . '' i
(unintentional/inadvertent;
or, minimal impact on
agency/mission)
10 Days , .

. . ...
15 Days - Dismissal

(compromise of case; jeopardizes safety of
others; sensitivity of information; or,. '
security issues) ' • '
4.10 '
.
Unauthorized Disclosure - Sensitive
Information • .
. .
'
,
LOC - 5 Days •

.(unintentional/Inadvertent;
, or, minimal Impact on
agency/mission) •
.

,IDays
' '
, .
• •
.
. 10 Days - Dismissal •
• •
(compromised case; jeopardizes safety of
others; .sensitivity of information; or,
security Issues) ,
. .
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DOJOIG013083
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Code ' Offense Mitigated Range ' Aggravated Range
5.1 Alcohol/Substance Abuse - Under the
.
Influence While On Duty
OR • 3 Days
,
(consumption of alcohol on ,
duty regardless of effect)

. .
5 Days
, ,
(being under the influence of
alcohol/drugs on duty) •
'
.
7 -14 Days .
, .
(training exercise; weaponns vilvoed;
supervisory position; government involved;
brought alcohol to workplace; or, extent Of
' intoxication; or, Injury/harm to
persons/property) •
5.2

Dereliction of Supervisory
Responsibility
OR -3 Days
, .
.
5 Days
. .
7-14 Days
(jeopardizes safety of others; Injury/harm to
persons/property; or, Impact on '
agency/mission) • ,
5.3
.,
Discrimination
, .
.

.,

,
3 - 5 DcyS
.,
•• •
7 Days

10 Days - Dismissal
(supervisory position; pervasiveness;
duration; frequency; severity; multiple ,
victim; violation of statute; or, previously
warned)
. ,

5.4 ,
.
.
Disruptive Behavior

. .
OR '


WC
.
. • '
3 -10 Days
.
(racial/ethnic slurs; sexual comments; . .
threats; police involvement; or, arrest) .
.
5.5 Failure to Honor Just
Debts/Regulatory Obligations

OR -,3 Days
(steps to resolve matter),
.

5 Days 7 - 30 Days ,
(amount of debt; violation of court order;
pattern; duration; or, frequency)
OR - Oral Reprimand LOC • Letter of Censure 32 9/16/2004
DOJOIG013084
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Re: 66F-HQ-A1455078, 09/30/2004
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5.6 Failure to Perform Piescribed Duties OR
(minimal mission/agency
impact)
LOC 3 - 10 Days, ,
(extent of dereliction; jeopardize safety of
others; duration; frequency; or, , '
consequences of dereliction)
5.7 Failure toiReport - Administrative : OR
(insignificant matters)
LOC '
.
3 - 10 Days
(significant security issues; or, impact on
agency/mission) .
5.8 Failure to Report - Criminal/Serious

LOC - 3 Days 5 Days •
.
. 7 - 14 Days
(seriousness of incident; significant security
issues; or, Impact on agency/mission)
5.9 Improper
,
Relationship - Criminal
Element a
• . .
LOC - 5 Days .
.
. ,
.
. 7 Days
.
10 Days - Dismissal
(impact on agency/mission; or, compromise
of case) .
5.10
.i
' Improper Relationship= •
Superior/Subordinate
LOC - 5 Days
.. •
7 Days
.

. ,
10 Days-Dismissal
(actual favoritism vice perceived; or,
student/instructor relationship)
5.11
.
Insubordination


LOC - 5 Days
(reasonable belief order was: '
unlawful or In violation of rule,
regulation or policy) r .
7 Days

10 Days - Dismissal'
(jeopardize safety to others; injury/harm to
persons/property; impact on'
agency/mission; or, compromise of
investigation)
5,12 Military Reserve Matters ' " OR .••
.
. ,.
LOC
.
3 - 10 Days .
(recalled to active duty; or, impact on
agency/mission)
OR - Oral Reprimand LOC - Letter of Censure 33 9/16/2004
DOJOIG013085
0 To: All Divisions From'' Direc tor's Office.,
Re: 66F-UQ-A1455078, 09/30/20.04
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5.13 Misuse of Weapon - Safety Violation LOC- 5 Days
. •
.

7 Days
.

. •
, .
10 Days - Dismissal
(Intentionality; level of safety risk; use to
intimidate or threaten; or, altered weapon
rendering more unsafe)
5.14
. .
Misuse of Weapon - Accidental .
Discharge ,
.

.
None .
. .
.

3 Days '
.
5.14 Days , , •
. .
(injury/harm to persons/property; or,
violation of weapons law, regulation or
policy) ' •
5.15

Misuse of Weapon - Intentional
Discharge
.
5-14 Days
I
30 Days 45 Days - Dismissal
. ,
(injury/harm to persons/ property; violation
of weapons law, regulation or policy)
5.16 Retaliation
.

3 - 5 Days

7 Days
.
'
.
.
.

10 Days - Dismissal .
,
(retaliation against whistleblowing or other
protected activity) •
.
5.17

Security Violation- Failure to Secure
Space, Equipment/ Materials •
••
- ,
OR - 3 Days .
'
(minimal impact on. •., ,
agency/mission; , 1
insignificant/immaterial .
matter; or, expeditious selfreporting)

5 Days
.

.
• .
,
7.14 Days .
(compromise of case; impact on
agency/mission;.'clurationgrequeney,
severity; injury/harm to persons/property;
or, jeopardizes the safety of others) • '
,
I
5.18

.
.
Security Violation -Other : .
. .
OR -3 Days ..
(minimal impact on, .
aaggyeenncc/y/m ission; insignificant/
matter; or,
expeditious self-reporting),
5. Days
.
.

.
.
. 7 - 14 Days .
(compromise 'crease; impact on '
agency/misim; duration/frequency;
severity; or, injury/harm to persons/others)
.
OR - Oral Reprimand LOC - Letter of Censure 34 9/16/2004
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5.19 Sexual Misconduct - Consensual
)•
. ,
.
LOC- 5 Days •

. .
7 Days
.
10 Days - Dismissal
(pervasiveness; or, impact on
agency/mission) •
5.20
.
Sexual Mitconduct - Non-consensual
.
• ,
LOC - 5 Days
'
•7 Days
.
• .
10 Days :Dismissal
(pervasiveness; impact on agency/mission;
or, impact on victim)
5.21 Unprofessional Conduct - Off Duty OR - 3 Days
(see Common Mitigators In
Preamble) . ' .
5 Days
.


7 Days - Dismissal .
(see Common Aggravators in Preamble)
5,22
.
Unprofessional Conduct - On Duty
.
LOC - 5 Days •
'(see Common Mltigators in
Preamble)
7 Days

10 Days - Dismissal
(see Common Aggravators in Preamble) '
. 5.23
.•
Violation of Miscellaneous ,
Rules/Regulations •
OR - 3 Days , .
(see Common Mitigators in .
Preamble)
5 Days 7 - 30 Days .
(see Common Aggravators in Preamble)
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DOJOIG013087

Doc_nid: 
11610
Doc_type_num: 
63