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(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
VIA FACSIMILE (202)514-7244
Office of Internal Audit
425 I St., N.W.
Washington, DC 20536
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
(How allegation was received, i.e., fax, phone)
The allegation was determined to be:
Unsubstantiated (attached documentation of how this conclusion was reached).
Substantiated, with the following disciplinary action taken (Attach documentation of how this conclusion was reached):
Signature and Title of Official Providing Information
Change to O.I. 287.10 in INSERTS
July 25, 1997
Richard Sloane or
From: Office of Internal Audit
Policy Operations &
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
Stephen w. Schenck
INS Plan for the Implementations
May 8, 1997
of the Giglio Policy
Office of the
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
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.
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.
OI 289 American Indians born in Canada. [Removed 6/24/97; TM 1] [Moved to M-450 chapter 11]