Program Statement 1210.24, Internal Affairs, Office of

Program

Statement

U.S. Department of Justice

Federal Bureau of Prisons

OPI: DIR

NUMBER: 1210.24

DATE: 5/20/2003

SUBJECT: Internal

Affairs,

Office of

1. PURPOSE AND SCOPE. To instruct staff on the procedures for

reporting allegations of staff misconduct to the Office of

Internal Affairs (OIA) and for conducting investigations of

allegations.

It is the Bureau's policy to strive for professionalism,

efficiency, effectiveness, responsiveness, productivity, and

integrity.

 This requires the identification of mismanagement, waste,

fraud, and abuse, as well as the investigation of violations

and allegations of violations per the Standards of Employee

Conduct.

OIA ensures that all allegations of this type are investigated

and will reach its findings based upon clearly established facts.

To maintain its high level of independence and credibility, OIA

is a component of the Director’s Office, Bureau of Prisons.

2. SUMMARY OF CHANGES. The following are highlights of this

revised Program Statement:

 Revised the Summary of Investigation for Classification No.

3 Cases (Internal Affairs) form (BP-S716.012).

 Created a new form entitled, Warning and Assurance To

Contract Employee Required to Provide Information

(BP-S773.012) for use with contract employees.

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 Created a new form for contract employee referrals entitled,

Referral Of Incident For Contract Employees (Internal

Affairs) (BP-S774.012).

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3. PROGRAM OBJECTIVES. The expected results of this program

are:

a. Waste, fraud, abuse, mismanagement, and staff misconduct

will be reduced.

b. The security of Bureau facilities and protection of the

public will be enhanced by sound investigative procedures

practiced by knowledgeable professionals.

c. Evidence will be properly collected, handled, and

preserved. When appropriate, evidence will be provided to other

agencies.

d. Investigations of employee misconduct will be reported to

the appropriate Chief Executive Officer (CEO) and OIA.

e. Criminal acts will be promptly referred to the appropriate

law enforcement agencies having jurisdiction.

f. Reports will be completed accurately and promptly.

g. All cases will be tracked to ensure they are resolved

promptly and data is preserved electronically and in a case file,

both according to National Archives and Record Keeping Standards.

4. DIRECTIVES AFFECTED

a. Directive Rescinded

PS 1210.22 Internal Affairs, Office of (10/1/01)

b. Directives Referenced

PS 1210.21 Boards of Inquiry and Inquiry Teams (3/9/00)

PS 1351.05 Release of Information (9/19/02)

PS 1380.05 Special Investigative Supervisors Manual

(8/1/95)

PS 3420.09 Standards of Employee Conduct (2/5/99)

PS 5110.13 Polygraph Test, Administering (12/15/99)

DOJ 2900.5A Responsibilities for the Prevention,

Detection, and Reporting of Waste, Fraud, and

Abuse in Department of Justice Programs and

Activities

Master Agreement between the Federal Bureau of Prisons and

the Council of Prison Locals

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5. STANDARDS REFERENCED. None.

6. RESPONSIBILITIES. OIA ensures that all violations and

allegations of violations of staff misconduct per the Standards

of Employee Conduct, including criminal matters, are reported to

the U.S. Department of Justice, OIG.

OIA serves as the point of contact so that all employees at all

levels can report instances of:

 mismanagement,

 prohibited personnel practices,

 staff misconduct, and

 other issues covered by the "whistle blower" provisions of

the Civil Service Reform Act (CSRA) of 1978.

OIA will:

a. Conduct special investigations, inquiries, and reviews as

requested by the Director.

b. Monitor investigations conducted at the institution,

regional offices, and Central Office level and provide the

investigators with technical guidance and expertise.

 This technical guidance and expertise will include

instruction on the Master Agreement with respect to the

union’s role during investigations.

 This will include established case law concerning

Weingarten investigatory meetings.

The council president, through the Chief of the Labor

Management Relations Branch, will have the opportunity to provide

input with respect to the above subject.

c. Monitor the Government-Issued Charge Card Program to detect

abuse and to ensure all debts associated with government business

are satisfied in a timely manner.

d. Maintain a secure computer database of all cases and

complaints in order to provide statistical analysis of trends and

ensure accountability.

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7. MISCONDUCT CLASSIFICATIONS

a. Classification 1 cases (formerly A Allegations) are defined

as allegations made against any employee or contractor which, if

substantiated, would constitute a prosecutable offense (except

for Classification 3 cases such as traffic violations, DUI, DWI,

etc.) and any allegation of serious misconduct.

Examples of Classification 1 misconduct include, but are not

limited to, the following:

C Physical or sexual abuse of persons in custody, aliens,

informants, protected persons, undercover operatives,

persons under investigation, or persons seeking

benefits from the Department

C Bribery, graft or conflict of interest including, the

offer or acceptance of anything of value

C Fraud or extortion

C Theft conversion or embezzlement of government funds or

property in an amount greater than $100

C Sale, possession, or trafficking in illegal drugs

C Submission of false claims

C False statements

C Concealment, removal, or mutilation of official

documents

C Smuggling, including alien smuggling

C Trafficking of contraband or providing contraband to

any person in custody

C Discrimination or sexual harassment accompanied by

violence, physical force, or other egregious misconduct

C Use of a firearm in a manner which appears to

constitute a violation of law or Department regulations

C Criminal civil rights violations

C Facilitating the escape of any person in custody

C Unauthorized disclosure of sensitive information,

including information in any electronic system

C Unauthorized interception of wire or oral

conversation(s)

C Falsification of documents

• Workplace violence

• Attempt, conspiracy, obstruction, aiding and abetting,

concealment, or failure to report any matter in

Classification 1

b. Classification 2 cases (formerly B Allegations) are defined

as allegations against any employee or contractor which involve

violations of rules, regulations, or law that, if substantiated,

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would not likely result in criminal prosecution, but constitute

serious misconduct.

Examples of Classification 2 Cases include, but are not limited

to, the following:

C Threatening assault

C Use of government facilities, supplies, equipment,

services, personnel, or identification for other than

official purposes

C Misuse of government computers and computer software to

include the Internet and e-mail

C Off-duty misconduct resulting in felony arrest or

conviction and misdemeanor crimes of domestic violence

(18 U.S.C. § 921)

C Discrimination and sexual harassment not included in

Classification 1

C Breach of security or safety in a DOJ program or

operation resulting in escape or serious injury;

disclosure of confidential informants or other

protected persons; or endangering employees,

contractors, and clients of the DOJ

C Use of a government charge card for other than its

intended purpose in an amount greater than $1,000

C Gambling or promotion of gambling on government

property

C Discharge of a firearm other than by accident

C Destruction of government property

C Inappropriate relationships between employees and

persons in custody, aliens, informants, protected

persons, undercover operatives, persons under

investigation, or persons seeking benefits from the

Department not included in Classification 1

C Unauthorized release of information not included in

Classification 1

C Failure to properly account for funds, valuables, and

personal property of persons in custody

C Falsification of employment documents

C Attempt, conspiracy, obstruction, aiding and abetting,

concealment, or failure to report any matter in

Classification 2

C Workplace violence

C Any allegation against a GS-13 or above management

official (non-bargaining unit) that does not come under

Classification 1

c. Classification 3 cases (formerly C Allegations) are defined

as allegations of misconduct involving employees or contractors

which ordinarily have less impact on institutional operations.

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However, these acts of misconduct may result in severe adverse

or disciplinary action, depending on the severity of the

misconduct, in accordance with the Table of Penalties contained

in the Program Statement on Standards of Employee Conduct.

Examples of Classification 3 Cases include, but are not limited

to:

C Unprofessional conduct (disorderly conduct or abusive

language)

C Conducting personal business during duty hours

C Refusal or failure to follow instructions or

procedures, failure to respond to an emergency, failure

to properly supervise or control persons in custody

C Off-duty misconduct resulting in misdemeanor arrest

excluding misdemeanor crimes of domestic violence

(18 U.S.C. § 921)

C Unauthorized use/misuse of a government vehicle, or

other government property

C Failure to honor just debts

C Accidental discharge of a firearm

C Use of a government credit card for other than its

intended purpose in an amount not exceeding $1,000

C Violations of security regulations

C Intoxication or consumption of alcohol while on duty

Ordinarily, CEOs can proceed with local investigations of

Classification 3 Allegations for staff occupying bargaining unit

or GS-12 and below non-bargaining unit positions without first

obtaining OIA approval.

 CEOs will prepare a monthly report (designed and

formatted by OIA) to include all Classification 3

Allegation investigations they have initiated, complete

with the subject name(s) and a brief summary of the

reported misconduct, and forward it to the OIA BOPNet

GroupWise mailbox “BOP-DIR/Internal Affairs~” by the

fifth of each month so monitoring of these cases may

begin.

Upon concluding the local investigations, a one page case

summary form (BP-S716.012) will be sent to OIA (via fax or

BOPNet GroupWise) to effect closure and to ensure accurate

statistics are maintained. Copies of entire investigative

packets do not need to be sent to OIA for Classification 3 cases.

The investigative packet must be retained locally, in a secure

area, inaccessible to inmates and accessible to authorized staff

only, in accordance with the National Archives and Records

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Administration records schedule. A copy of all investigative and

disciplinary documents on Classification 1 and 2 cases must be

forwarded to OIA.

8. REPORTING INCIDENTS OF STAFF MISCONDUCT

a. Staff Reporting. In accordance with the Bureau’s Standards

of Employee Conduct, staff who become aware of any violation or

alleged violation of the Standards of Employee Conduct must

report them to management (the CEO or OIA) or to the OIG at the

Department of Justice.

 OIG has established a toll-free hotline

(1-800-869-4499) which is available to anyone wishing

to report Department of Justice employees’ misconduct,

as well as fraud, waste, or abuse in government.

 All Bureau staff are encouraged to use the OIG hotline

if they wish to remain anonymous or fear retaliation or

reprisal.

 To report violations directly to OIA, Central Office

call (202-307-3286) or fax (202-514-8625), to OIA,

Denver Field Office, call (303-365-4400) or fax

(303-365-4445).

 If an employee is sued for reporting violations or

alleged violations of the Standards of Employee

Conduct, when notified, an OGC representative will

provide the employee with its understanding of 28 CFR

with regard to legal representation.

 All Bureau staff may also report waste, fraud, abuse,

mismanagement, and prohibited personnel practices

defined in 5 U.S.C. § 2302(b) directly to the Office of

Special Counsel, an independent government agency. The

reporting hotlines are either (1-800-872-9855) or

(202-643-7188). More information about the Office of

Special Counsel and its functions can be found at its

website, www.osc.gov.

b. CEO Reporting. Upon becoming aware of any possible

violation of the Standards of Employee Conduct (either through a

report from staff or through personal knowledge), the CEO at the

institution, Regional Office, or Central Office Division, or his

or her designee, is to report the violation to OIA in accordance

with the following time frames.

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(1) Report Immediately. Classification 1 and 2 cases must

be reported to OIA immediately. OIA is to be notified

of Classification 1 and 2 cases, including:

C the identity of the complainant(s), subject(s),

witness(es), and victim(s);

C the details of the allegation(s); and

C any corroborating evidence.

When a Classification 3 case is complex and would

result in severe disciplinary or adverse action, the

above referenced reporting procedures should be

followed.

Notification to OIA will be made within 24 hours (not

to include weekends and holidays) of the time

management learns of the matter.

(2) Referral to the FBI/Other Law Enforcement Agencies.

When it is suspected that criminal conduct has

occurred, the CEO may refer the matter directly to OIA

and to the local OIG/FBI simultaneously.

(3) Initial Information. An OIA Referral of Incident form

(BP-S715.012), for contract employees use form

(BP-S774.012), is used to organize the information to

be provided in the telephonic reporting of cases listed

in subsection b.(1) of this section.

 The subject of the allegation or complaint must

not be questioned or interviewed prior to OIG

clearance and OIA’s approval. This is to ensure

against procedural error and safeguard the rights

of the subject.

(4) Supporting Documentation. Supporting documentation,

such as victim or witness statements, medical reports,

photos, and related memoranda, must be transmitted via

facsimile to OIA, Central Office at (202-514-8625) or

OIA, Denver Field Office, at (303-365-4445) or by

e-mail via the OIA resource mailbox (BOP-DIR/Internal

Affairs~) and a copy should be forwarded to the case

agent immediately, but not later than 24 hours after

the telephonic report.

 If an inmate alleges physical or sexual abuse by a

staff member and has not received a medical

examination, the CEO must arrange an immediate,

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confidential medical examination and forward a

copy of the results to OIA as soon as possible.)

CEOs must notify OIA before initiating investigations involving

any misconduct alleged against management staff occupying GS-13

or above positions. OIA will coordinate further action with OIG.

 The OIA referral of incident form must be completed on

all management staff in positions GS-13 and above.

Unless the CEO and the Chief of OIA agree to a different

method, ordinarily, investigations involving Classification 3

cases are to be conducted using local resources.

Contact OIA immediately, if there is any question as to the

classification of the misconduct.

It is important to note that while case classifications are

many times based on limited information, as an investigation

unfolds, the severity of misconduct may increase or decrease,

thereby moving it into another classification.

Both fax and e-mail referrals are acceptable. An e-mail

referral should include scanned supporting documentation. The

OIA resource mailbox (BOP-DIR/Internal Affairs~) should be used

and a copy should be forwarded to the case agent.

c. Referral to OIG. OIA will refer Classification 1 and 2

allegations and, when appropriate, Classification 3 allegations

to OIG for review within 48 hours.

 OIG will advise OIA of its decision either to

investigate the matter or defer it to the Bureau for an

administrative investigation

 OIG may refer criminal matters (i.e., physical abuse,

sexual abuse of an inmate) to the Department of

Justice, Civil Rights Division (CRT), for prosecutorial

consideration under the provisions of the Sexual Abuse

Act of 1986 and other applicable statutes.

If OIG or CRT accepts the case, no further action may be taken

at the institution, regional, or Central Office level without

OIG’s or CRT’s approval.

 Normally, OIA will serve as the contact point for all

communication between institution, regional, and

Central Office staff and OIG or CRT in these cases.

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 In cases when field staff are in contact directly with

OIG, status updates will be reported to OIA regularly.

d. Notification to CEOs. OIA will notify the CEO originating

the referral immediately when a case has been deferred back to

the Bureau for investigation.

 The CEO and OIA are to decide jointly whether the case

is to be investigated locally or if OIA is to conduct

an on-site investigation.

 The OIA agent assigned to the case is to advise the CEO

of OIG’s decision.

9. INVESTIGATIONS. OIA is responsible for oversight of all

staff investigations, whether they are conducted by OIA or non-

OIA personnel.

 During the course of these investigations, CEOs and

investigators must follow the Privacy Act.

 OIA will have the authority to monitor and direct those

investigations conducted by non-OIA Bureau personnel.

 Institutions will maintain regular communication with OIA

during the course of the investigation.

 Staff trained in investigative techniques must conduct

administrative investigations of alleged staff misconduct.

 OIA must notify OIG immediately of any additional

allegations of criminal wrongdoing that develop during the

course of an investigation.

To ensure that investigations are as thorough as possible, the

following information should be discussed between the institution

and OIA:

C who will conduct the local investigation;

C possible involvement with outside agencies;

C the sequence used to conduct the investigation; and

C the use of recording devices, surveillance techniques,

polygraphs, etc.

Also, it may become evident during consultation between a CEO and

OIA that OIA on-site involvement is necessary. Therefore,

frequent communication between the respective OIA agent and field

investigator or CEO is vital during the investigation.

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a. Interviewing Bargaining Unit Employees

 Refer to Article 6 of the Master Agreement (Employee

Rights) for representational rights of bargaining unit

employees. For further information, review the labor

statute and consult with the Labor Law Branch (LLB) or

Labor Management Relations (LMR) Branch.

b. Interviewing Subjects. The field investigator or OIA

personnel must exercise extreme care to ensure that all subjects

implicated in wrongdoing are afforded the opportunity to read and

sign the Warning and Assurance to Employee Required to Provide

Information form (BP-S194.012). For contract employees, use form

(BP-S773.012) prior to questioning.

 Victims, witnesses, and other individuals who are

sources of collateral information should not be

required to review and sign a form BP-S194.012. For

contract employees, use form BP-S773.012.

 If, during the course of the investigation, these

sources provide information implicating themselves in

wrongdoing, the investigator will stop the interview

and execute a form BP-S194.012. For contract

employees, use form BP-S773.012.

 Victims, witnesses, collateral sources, and subjects

will be advised at the end of the interview that the

subject matter of the interview and any information

exchanged with the investigator are confidential and

may not be discussed with individuals other than the

employee’s representative.

(1) The Warning and Assurance to Employee Required to

Provide Information form (BP-S194.012), for contract

employees form (BP-S773.012), grants the subject

immunity from criminal prosecution, provided the

subject does not knowingly and willfully provide false

statements or information.

(2) When the interview of a subject or witness reveals

information that may implicate the person criminally,

the investigator will suspend the interview immediately

and refer the matter to the appropriate law enforcement

officials and OIA.

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(3) Normally, the appropriate version of the Warning and

Assurance to be used at the local level is the

BP-S194.012; for contract employees form it is the

BP-S773.012.

c. Staff, Inmate, and Evidence Availability. All Bureau staff

must cooperate fully with all investigative personnel.

 Staff, inmates, and all documents related to the

investigation will be made available to the

investigator.

 Employees who are questioned during the course of an

investigation will cooperate fully, pursuant to the

provisions of the Standards of Employee Conduct.

 Employees who are interviewed may not discuss the

investigation's subject matter with individuals other

than the employee's representative.

d. Affidavits. Ordinarily, affidavits addressing all salient

issues will be obtained during an investigation. Agency

investigators must prepare or accept in total the affidavit.

Title 5, U.S.C., Appendix 3, Section 6, Part 5 authorizes

agency investigators, including OIA and other specifically

designated Bureau employees, to administer oaths.

e. Duration. OIA will be sent a status update every 60 days

on local investigations which staff are unable to complete within

the 60 day time frame. Additionally, employee subject(s) who

were interviewed as part of the investigation will be notified as

to whether their particular cases are still active, upon request,

but no more than every 30 days.

10. APPROVAL AND USE OF POLYGRAPH EXAMINATIONS

a. Circumstances. Occasionally, it may be appropriate to use

a polygraph examination as an investigative tool. Whenever

possible, use the FBI or OIG Polygraph Section. All requests for

polygraph examinations regarding staff misconduct must be

coordinated through OIA.

 Neither staff nor inmates can be compelled to take a

polygraph examination.

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b. Approval. To ensure the judicious use of polygraph

examinations, the Chief, or Acting Chief, OIA, has the sole

authority to approve a polygraph examination during the course of

internal investigations into staff misconduct.

 When use of a polygraph examination is contemplated,

the CEO must discuss the matter with the Chief, OIA,

and must secure his or her approval prior to arranging

for the examination.

 OIA approval for polygraph examinations is not

necessary in cases unrelated to staff misconduct or

when outside authorities are conducting an external

investigation of staff misconduct.

c. Subject Authorization. Prior to participating in a

polygraph examination, a staff member is required to sign a

Polygraph Authorization form (BP-S595.012). Prior to allowing an

inmate to take a polygraph examination, the inmate must sign the

appropriate consent form from the Special Investigative

Supervisors Manual.

11. APPROVAL FOR USE OF BODY WIRES, CONSENSUAL TELEPHONE

MONITORING, AND ELECTRONIC LISTENING/RECORDING DEVICES. The

Chief, OIA, must be consulted whenever the CEO contemplates the

use of body wires or electronic listening devices in the course

of an internal investigation.

 Office of Enforcement Operations (OEO) approval is required

prior to implementation of this course of action. It will

be obtained from OEO by the Chief, OIA.

 Consensual telephone monitoring/recording in an internal

investigation requires the approval of the Chief, OIA.

 OEO approval is also required whenever an outside law

enforcement agency conducting a criminal investigation

contemplates the use of Bureau personnel. As CEOs are

developing investigative strategies which involve Bureau

staff in this manner, they must consult with their

respective Regional Directors and the Assistant Director,

OGC, to ensure all aspects of employee short-term and long-

term safety are considered and to be certain other options

for gathering evidence have been explored thoroughly.

An employee’s willingness to participate should be taken

into consideration prior to covert use of the employee.

The Director will be consulted with a final recommendation.

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 OEO approval is required when an outside law enforcement

agency contemplates using an inmate and consensual

monitoring devices, furloughs, or extraordinary transfers

may be necessary.

12. INVESTIGATIVE REPORTS

a. Preparation. When an internal investigation is concluded,

an investigative report will be prepared.

 If prepared by OIA, ordinarily, a copy is forwarded to

the applicable Assistant Director, Regional

Director(s), CEO(s) involved, and OIG, if necessary.

 Investigative reports prepared by field personnel will

be forwarded to the Chief, OIA, except for

Classification 3 cases which only require a one page

summary form (BP-S716.012). A copy of all

investigative and disciplinary documents on

Classification 1 and 2 cases must be forwarded to OIA.

 OIA will provide a copy to OIG, the Regional Director,

and/or Assistant Director when applicable.

All parties possessing copies of investigative reports must

ensure that the reports are safeguarded from loss or unauthorized

disclosure.

 In making the decision, the Chief, OIA, must approve

disclosure of investigative reports pursuant to either

FOIA requests or information requested pursuant to

5 U.S.C. § 7114(b) (the Labor Statute).

OIA, when appropriate, will consult with the Bureau’s FOIA

Section, LLB Section, or LMR Branch in making its decision.

b. Format and Contents. Investigative reports will be

prepared in narrative form containing findings of fact and

conclusions.

 The investigative report should include the

investigator's conclusions based on a review of the

evidence and state whether the allegation(s) is/are

sustained.

 Reports from the field, including all affidavits and

supporting documentation, will be forwarded to OIA for

review and clearance before any disciplinary action is

proposed (except for Classification 3 Cases).

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 OIA reviews these reports to ensure they address the

pertinent issues and that the conclusions are supported

factually. Any concerns noted will be communicated to

the submitting office.

 Proposing/deciding officials are to consult with the

Bureau’s LLB, LMR Branch, or labor law or personnel

experts as required by the Program Statement on the

Standards of Employee Conduct and to use all other

available appropriate sources of information to support

or mitigate contemplated discipline.

c. Disciplinary/Adverse Action Reporting. When disciplinary

or adverse action results from an investigation, OIA will receive

a copy of the final decision, including proposal and decision

letters, as well as any Notification of Personnel Action (SF-50),

for inclusion in the case file.

d. Closing the Case File. After receiving the final report,

the Chief, OIA, or appropriate designee, is to decide whether to

close the case file. This decision will be based upon the

investigation's findings and other related matters.

OIA must notify CEOs of case closures. Per the Master

Agreement, CEOs must then coordinate notification to the

subject(s) of the investigation.

/s/

Harley G. Lappin

Director