(Appendix 6 added for the November 1997 INSERTS edition)(See May 8, 1997 and July 25, 1997 memorandums)

FINAL DISPOSITION OF A CLASS 4 ALLEGATION

Date:______________________

VIA FACSIMILE (202)514-7244

Director

Office of Internal Audit

425 I St., N.W.

Room 3260

Washington, DC 20536

    Re: Final Disposition of a Class 4 Allegation

Attached is documentation related to the receipt and final disposition of a Class 4 allegation concerning ________________________________________________.

(Employee Name, Title and Duty Station)

The allegation was received on _______________________ from

(Date)

____________________

(Source)

via __________________________________________.

(How allegation was received, i.e., fax, phone)

The allegation was determined to be:

____a.     Unsubstantiated (attached documentation of how this conclusion was reached).

____b.     Substantiated, with the following disciplinary action taken (Attach documentation of how this conclusion was reached):

____________________________________________________________

____________________________________________________________

____________________________________________________________.

________________________________________

Signature and Title of Official Providing Information

Memorandum

Subject:     Date:

Change to O.I. 287.10 in INSERTS     July 25, 1997

To:     Richard Sloane or     From: Office of Internal Audit

Steve Tarragon

Policy Operations &

Instructions Branch

Submitted herewith is a permanent change to O.I. 287.10 for inclusion withing INSERTS. The change was approved by the Commissioner via her memorandum dated May 8, 1998 (attached).

If you have any questions, contact Robert Mellado or Sue Armstrong, both of this office, at 514-5765.

John P. Chase

Director

by:

Stephen w. Schenck

Assistant Director

Memorandum

Subject:     Date:

INS Plan for the Implementations     May 8, 1997

of the Giglio Policy

To:     From:

Management Team     Office of the

Regional Directors     Commissioner

District Directors

Chief Patrol Agents

Administrative Center Directors

Asylum Office Directors

Director of Training

Attached is a memorandum detailing INS' Plan for the Implementation of the Giglio Policy (hereinafter, "the Plan"). The Giglio Policy, which is mandated by DOJ, requires that potential impeachment information related to employee witnesses be provided to prosecutors upon request. Also attached is a permanent amendment to Operating Instruction (OI) 287.10, necessitated by the Giglio Policy, which addresses the requirement for reporting certain allegations of employee misconduct not previously reportable.

The Director of the Office of Internal Audit (OIA) has been designated as the INS Agency Official responsible for coordinating INS' compliance with the Giglio Policy. This designation was made for several reasons, the most compelling of which is that OIA currently maintains a database of information on allegations of the more serious types of misconduct agains INS employees. Because Giglio requires disclosing all allegations of misconduct, the Service must alter the current process of recording minor disciplinary actions only at the local or regional level.

OIA has surveyed the current systems of records and other data existing in the field, and this Plan details the procedures to begin centralizing this information as of June 1,1997. This does not in any way mean that OIA will be taking over the original files or function of any other INS office. Rather, OIA will simploy be collecting data in order to be responsive to the requirements of the Giglio Policy. The Plan also contains specific steps to ensure that any information deemed disclosable to defense co unsel is limited as much as possible in scope to protect an employee's privacy, and is safeguarded from unnecessary disclosure.

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In addition to the short term benefi of compliance with the DOJ Giglio Policy, centralization of employee misconduct data will also provide long term benefits for INS in the form of reliable statistics concerning overall misconduct matters and adverse actions taken within the Service. The information generated from this centralization will also be valuable to managers for makign personnel decisions, developing training programs and identifying systemic issues needing corrective action. In sum, this policy will continue to move the Service ahead as an accountable, self-policing agency.

It is noted that this Plan is the result of a DOJ directive and Supreme Court case law. Compliance with the Giglio Policy is mandatory and INS must meet its requirements. This Plan will be distributed to United States Attorney's Offices in the near future, however, you are free to provide copies of the Plan and the relevant forms for use by prosecuting offices to your local United States Attorney's Office. You should forward all inquiiries or requests regarding the Giglio Policy to OIA.

Addressees will review the attached copy of the Plan and ensure that all employees under their supervision are familiar with its requirements. Thank you for your continued support. Questions may be referred to Assistant Director Stephen W. Schenk or Special Agent Sue Armstrong of the Office of Internal Audit, Internal Investigations Branch at (202) 514-5765.

Doris Meissner

Commissioner

Attachments

OI 289 American Indians born in Canada. [Removed 6/24/97; TM 1] [Moved to M-450 chapter 11]