EFTA00028723.pdf
403 KB
Extraction Summary
7
People
6
Organizations
0
Locations
0
Events
2
Relationships
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Quotes
Document Information
Type:
Federal bureau of prisons program statement
File Size:
403 KB
Summary
This document is U.S. Department of Justice Federal Bureau of Prisons Program Statement 1210.21, dated March 9, 2000, signed by Director Kathleen Hawk Sawyer. It establishes the policies and procedures for creating and operating Boards of Inquiry and Inquiry Teams to investigate incidents, specifically those involving employee misconduct or significant policy breaches. The document details the hierarchy for appointing these teams, the role of the Office of Internal Affairs, legal rights of employees during questioning (including Miranda and union rights), and the protocols for reporting and releasing findings.
People (7)
| Name | Role | Context |
|---|---|---|
| Kathleen Hawk Sawyer | Director, Federal Bureau of Prisons |
Signatory of the Program Statement
|
| Director | BOP Director |
Only authority who may create a Board of Inquiry; authorizes release of findings
|
| Regional Director | Regional Director |
May appoint Regional Inquiry Teams; approves Local Inquiry Teams
|
| Warden | Warden |
May appoint Local Inquiry Teams with Regional Director approval
|
| Chief, Office of Internal Affairs | Chief, OIA |
Must provide clearance for Inquiry Teams involving employee misconduct
|
| General Counsel | Legal Counsel |
Consulted on Boards of Inquiry; reviews reports prepared in anticipation of litigation
|
| Inspector General | OIG |
Referral point for allegations of violations of law
|
Organizations (6)
| Name | Type | Context |
|---|---|---|
| U.S. Department of Justice |
Parent agency
|
|
| Federal Bureau of Prisons |
Issuing agency
|
|
| Office of Internal Affairs (OIA) |
Investigates employee misconduct; coordinates with Boards of Inquiry
|
|
| Office of the Inspector General (OIG) |
Receives reports of violations of law
|
|
| American Correctional Association |
Referenced standards body
|
|
| Civil Rights Division |
Referral point for serious criminal or administrative misconduct
|
Relationships (2)
Wardens must have approval of Regional Director to appoint local Inquiry Teams.
OIA
→
Oversight/Investigation
→
Board of Inquiry
An OIA staff member is to serve as a member of a Board of Inquiry when staff misconduct may be involved.
Key Quotes (4)
"Only the Director may create a Board of Inquiry, and only a Regional Director or Warden (with Regional Director approval) may create an Inquiry Team."Source
EFTA00028723.pdf
Quote #1
"When employee misconduct may have occurred, clearance must be received from the Chief, Office of Internal Affairs (OIA), prior to the appointment of any regional or local Inquiry Team."Source
EFTA00028723.pdf
Quote #2
"Findings or reports of all Boards of Inquiry or Inquiry Teams will be released only upon the Director's authorization in consultation with the General Counsel."Source
EFTA00028723.pdf
Quote #3
"I hereby declare (or certify, verify, or state) under penalty of perjury that the foregoing is true and correct."Source
EFTA00028723.pdf
Quote #4
Full Extracted Text
Complete text extracted from the document (12,914 characters)
U.S. Department of Justice
Federal Bureau of Prisons
Program
Statement
OPI: OGC
NUMBER: 1210.21
DATE: 3/9/2000
SUBJECT: Boards of Inquiry and
Inquiry Teams
Federal Bureau of Prisons
Program
Statement
OPI: OGC
NUMBER: 1210.21
DATE: 3/9/2000
SUBJECT: Boards of Inquiry and
Inquiry Teams
1. PURPOSE AND SCOPE. To establish procedures for the creation
and operations of Boards of Inquiry and Inquiry Teams to
investigate the facts and circumstances of any incident or
situation for such purposes as:
and operations of Boards of Inquiry and Inquiry Teams to
investigate the facts and circumstances of any incident or
situation for such purposes as:
# ascertaining and reporting facts and circumstances,
# gathering and preserving evidence and records,
# determining the cause or causes, and
# recommending corrective steps as may be indicated in policy,
regulation, and practice.
# gathering and preserving evidence and records,
# determining the cause or causes, and
# recommending corrective steps as may be indicated in policy,
regulation, and practice.
Only the Director may create a Board of Inquiry, and only a
Regional Director or Warden (with Regional Director approval) may
create an Inquiry Team. The focus of a Board of Inquiry is to
determine the facts of an incident the Director deems significant
or unusual enough to warrant a special and higher level of
review.
Regional Director or Warden (with Regional Director approval) may
create an Inquiry Team. The focus of a Board of Inquiry is to
determine the facts of an incident the Director deems significant
or unusual enough to warrant a special and higher level of
review.
When employee misconduct may have occurred, clearance must be
received from the Chief, Office of Internal Affairs (OIA), prior
to the appointment of any regional or local Inquiry Team. OIA
must investigate any incident when employee misconduct may have
occurred to ensure protection of employee rights and preservation
of evidence. To accomplish this objective, an OIA staff member
is to serve as a member of a Board of Inquiry when staff
misconduct may be involved.
received from the Chief, Office of Internal Affairs (OIA), prior
to the appointment of any regional or local Inquiry Team. OIA
must investigate any incident when employee misconduct may have
occurred to ensure protection of employee rights and preservation
of evidence. To accomplish this objective, an OIA staff member
is to serve as a member of a Board of Inquiry when staff
misconduct may be involved.
Any allegations of violations of law must be reported by the
Bureau's Office of Internal Affairs, to the Department of
Justice, Office of the Inspector General (OIG) prior to the
creation of a Board of Inquiry or Inquiry Team.
EFTA00028723
Bureau's Office of Internal Affairs, to the Department of
Justice, Office of the Inspector General (OIG) prior to the
creation of a Board of Inquiry or Inquiry Team.
EFTA00028723
PS 1210.21
3/9/2000
Page 2
3/9/2000
Page 2
2. SUMMARY OF CHANGES. To include the requirement that Board of
Inquiry reports, or portions thereof, may have to be released
pursuant to a Freedom of Information Act (FOIA) request or
subpoena or produced in litigation.
Inquiry reports, or portions thereof, may have to be released
pursuant to a Freedom of Information Act (FOIA) request or
subpoena or produced in litigation.
3. PROGRAM OBJECTIVES. The expected results of this program
are:
are:
a. Serious incidents, allegations of significant and far-
reaching breaches of policy, and allegations of misconduct will
be formally investigated.
reaching breaches of policy, and allegations of misconduct will
be formally investigated.
b. Recommendations for corrective measures to improve
operations or avoid future incidents will be made.
operations or avoid future incidents will be made.
c. The purpose, scope, and duration of each Board or Team will
be defined by the appointing authority.
be defined by the appointing authority.
d. A written report containing all pertinent findings and
recommendations will be made.
recommendations will be made.
e. Appropriate records from each Board or Team will be
preserved.
preserved.
4. STANDARDS REFERENCED
a. American Correctional Association 3rd Edition Standards for
Adult Correctional Institutions: None.
Adult Correctional Institutions: None.
b. American Correctional Association 3rd Edition Standards for
Adult Local Detention Facilities: None.
Adult Local Detention Facilities: None.
c. American Correctional Association 2nd Edition Standards for
Administration of Correctional Agencies: None.
Administration of Correctional Agencies: None.
d. American Correctional Association Standards for Adult
Correctional Boot Camp Programs: None.
Correctional Boot Camp Programs: None.
5. DIRECTIVES AFFECTED
a. Directive Rescinded
PS 1210.16 Boards of Inquiry and Inquiry Teams
(5/7/97)
EFTA00028724
PS 1210.16 Boards of Inquiry and Inquiry Teams
(5/7/97)
EFTA00028724
PS 1210.21
3/9/2000
Page 3
3/9/2000
Page 3
b. Directives Referenced
PS 1210.17 Internal Affairs, Office of (8/4/97)
PS 1380.05 Special Investigative Supervisors Manual
(8/1/95)
PS 1600.08 Occupational Safety and Environmental Health
Manual (8/16/99)
PS 1210.17 Internal Affairs, Office of (8/4/97)
PS 1380.05 Special Investigative Supervisors Manual
(8/1/95)
PS 1600.08 Occupational Safety and Environmental Health
Manual (8/16/99)
6. RESPONSIBILITIES
a. Boards of Inquiry. The Director may appoint Boards of
Inquiry to investigate appropriate significant incidents in the
Bureau including, but not limited to:
Inquiry to investigate appropriate significant incidents in the
Bureau including, but not limited to:
# allegations of significant breaches of policy, or
# any other matter which reflects in a significant way
upon the Bureau's ability to carry out its mission.
# any other matter which reflects in a significant way
upon the Bureau's ability to carry out its mission.
The General Counsel may request that the Director appoint a
Board of Inquiry to investigate incidents or allegations that are
likely to result in litigation against the United States, the
Bureau, or one of its employees.
Board of Inquiry to investigate incidents or allegations that are
likely to result in litigation against the United States, the
Bureau, or one of its employees.
b. Regional Inquiry Teams. Regional Directors may appoint
Inquiry Teams to investigate incidents or allegations of
significant departure from policy or regulation within their
jurisdictions, or in any other instance when it would be in the
Bureau's best interest. An exception is a matter which is to be
investigated by a Board or Team appointed at a higher level.
Inquiry Teams to investigate incidents or allegations of
significant departure from policy or regulation within their
jurisdictions, or in any other instance when it would be in the
Bureau's best interest. An exception is a matter which is to be
investigated by a Board or Team appointed at a higher level.
Regional Counsel may request that the Regional Director appoint
an Inquiry Team to investigate incidents or allegations that are
likely to result in litigation against a Bureau institution or
employee under regional jurisdiction.
an Inquiry Team to investigate incidents or allegations that are
likely to result in litigation against a Bureau institution or
employee under regional jurisdiction.
c. Local Inquiry Teams. Wardens, with the approval of the
Regional Director, may appoint a local Inquiry Team to
investigate incidents or allegations of significant departure
from policy or regulation at only that institution. For more
routine incidents requiring investigation, the Warden may not
appoint an Inquiry Team, but should assign staff such as an
Associate Warden, appropriate department head, or investigative
officer to investigate routine matters.
Regional Director, may appoint a local Inquiry Team to
investigate incidents or allegations of significant departure
from policy or regulation at only that institution. For more
routine incidents requiring investigation, the Warden may not
appoint an Inquiry Team, but should assign staff such as an
Associate Warden, appropriate department head, or investigative
officer to investigate routine matters.
7. APPOINTMENT OF BOARDS AND TEAMS. The Director, Regional
Director, or Warden will notify in writing each person appointed
to serve as a member of the Board or Team as to:
EFTA00028725
Director, or Warden will notify in writing each person appointed
to serve as a member of the Board or Team as to:
EFTA00028725
PS 1210.21
3/9/2000
Page 4
3/9/2000
Page 4
# the purpose and scope of the inquiry,
# the date the inquiry is to begin, and
# if appropriate, the date that a completed report is to be
furnished to the appointing official.
# the date the inquiry is to begin, and
# if appropriate, the date that a completed report is to be
furnished to the appointing official.
The written notification will indicate which member is to chair
the Board or Team.
the Board or Team.
The General Counsel or Regional Counsel will be consulted prior
to the creation of a Board or Team to determine whether the
appropriate legal office should initiate a request that a Board
or Team be appointed. Boards and Teams appointed at the request
of the General Counsel or Regional Counsel will include at least
one legal staff member.
to the creation of a Board or Team to determine whether the
appropriate legal office should initiate a request that a Board
or Team be appointed. Boards and Teams appointed at the request
of the General Counsel or Regional Counsel will include at least
one legal staff member.
a. Boards of Inquiry. In addition to Bureau staff, a Board of
Inquiry may also include non-Bureau personnel with expertise
relevant to the scope and purpose of the inquiry. An OIA staff
member is to serve as a member of a Board of Inquiry when staff
misconduct may be involved. The OIA will pay all expenses
incidental and necessary to the work of a Board of Inquiry.
Inquiry may also include non-Bureau personnel with expertise
relevant to the scope and purpose of the inquiry. An OIA staff
member is to serve as a member of a Board of Inquiry when staff
misconduct may be involved. The OIA will pay all expenses
incidental and necessary to the work of a Board of Inquiry.
b. Regional Inquiry Teams. To ensure objectivity, a regional
Inquiry Team should not consist of staff from only one
institution. The Team must be composed of personnel at the
department head level or above from any institution, any regional
office, or the Central Office. The regional office will bear all
expenses incurred (such as for travel).
Inquiry Team should not consist of staff from only one
institution. The Team must be composed of personnel at the
department head level or above from any institution, any regional
office, or the Central Office. The regional office will bear all
expenses incurred (such as for travel).
c. Local Teams. A local Inquiry Team may consist of staff of
that institution at the Associate Warden and/or department head
levels. The institution will bear any expenses incurred.
that institution at the Associate Warden and/or department head
levels. The institution will bear any expenses incurred.
d. OIA Assistance. When requested by a Regional Director,
Warden, or Inquiry Team Chair, the OIA will provide consultation
and other assistance to Boards and Teams as is necessary.
Warden, or Inquiry Team Chair, the OIA will provide consultation
and other assistance to Boards and Teams as is necessary.
8. INSTRUCTIONS FOR ALL BOARDS AND TEAMS
a. Members must become familiar with Bureau directives
applicable to the matter being reviewed.
applicable to the matter being reviewed.
b. Members must review all written records, including
investigative reports, medical records, or other records
pertaining to the subject of the inquiry.
EFTA00028726
investigative reports, medical records, or other records
pertaining to the subject of the inquiry.
EFTA00028726
PS 1210.21
3/9/2000
Page 5
3/9/2000
Page 5
c. Members must visit the scene of an incident, reconstruct
the chain of events, and record their observations by notes,
photographs, audio or visual recordings, or other appropriate
means.
the chain of events, and record their observations by notes,
photographs, audio or visual recordings, or other appropriate
means.
d. If, at any point during the inquiry, it becomes apparent
that serious criminal or administrative misconduct is involved,
OIA will be consulted to determine whether a referral to the
Office of the Inspector General or Civil Rights Division is
appropriate. If an OIA representative is not present, members
will contact the Chief, OIA, for advice before proceeding
further.
that serious criminal or administrative misconduct is involved,
OIA will be consulted to determine whether a referral to the
Office of the Inspector General or Civil Rights Division is
appropriate. If an OIA representative is not present, members
will contact the Chief, OIA, for advice before proceeding
further.
e. Members must interview witnesses or other persons having
knowledge of the incident, using the following procedures:
knowledge of the incident, using the following procedures:
(1) Advise any person being interviewed of the purpose of
the interview, including the nature of the inquiry, and fully
identify all members present. An individual's right to
representation, if any, must be determined prior to the
interview. For bargaining unit members, union representational
rights will apply (see Employee Rights Article of Master
Agreement).
the interview, including the nature of the inquiry, and fully
identify all members present. An individual's right to
representation, if any, must be determined prior to the
interview. For bargaining unit members, union representational
rights will apply (see Employee Rights Article of Master
Agreement).
During the inquiry, witnesses or other persons having
knowledge of the incident must be instructed to keep all
information strictly confidential and instructed not to disclose
any information concerning the nature of the inquiry or the
information he or she has provided to anyone other than the Board
or Team, or to an appropriate union representative.
knowledge of the incident must be instructed to keep all
information strictly confidential and instructed not to disclose
any information concerning the nature of the inquiry or the
information he or she has provided to anyone other than the Board
or Team, or to an appropriate union representative.
(2) If the inquiry develops information which focuses on
the person being questioned, or about to be questioned, as a
suspect in possible criminal misconduct, questioning of that
person may not proceed until the local U.S. Attorney:
the person being questioned, or about to be questioned, as a
suspect in possible criminal misconduct, questioning of that
person may not proceed until the local U.S. Attorney:
# declines prosecution,
# grants use immunity, or
# recommends the interviewee be advised of his or her
Miranda Rights.
# grants use immunity, or
# recommends the interviewee be advised of his or her
Miranda Rights.
One of these conditions must be satisfied before questioning
a person suspected of possible criminal misconduct. These
contacts with the local U.S. Attorney will be coordinated through
OIA.
EFTA00028727
a person suspected of possible criminal misconduct. These
contacts with the local U.S. Attorney will be coordinated through
OIA.
EFTA00028727
PS 1210.21
3/9/2000
Page 6
3/9/2000
Page 6
c. Members must visit the scene of an incident, reconstruct
statement. The witness will be permitted a reasonable
opportunity to prepare and review the statement before swearing
or affirming the truth of the statement. The Chair and members
will have authority to administer oaths or affirmations to
witnesses in accordance with 5 U.S.C. 303.
statement. The witness will be permitted a reasonable
opportunity to prepare and review the statement before swearing
or affirming the truth of the statement. The Chair and members
will have authority to administer oaths or affirmations to
witnesses in accordance with 5 U.S.C. 303.
# For a written statement.
"I hereby declare (or certify, verify, or state) under
penalty of perjury that the foregoing is true and
correct."
"I hereby declare (or certify, verify, or state) under
penalty of perjury that the foregoing is true and
correct."
# For an oral statement:
"I swear (or affirm) under penalty of perjury that the
statement I am about to make is true and correct."
"I swear (or affirm) under penalty of perjury that the
statement I am about to make is true and correct."
(4) All employees may be required by Boards of Inquiry,
Regional Inquiry Teams, and local Inquiry Teams to answer
questions regarding their employment, even though their answers
may lead to disciplinary action up to and including removal;
however, in criminal cases, employees retain their constitutional
rights regarding avoidance of self-incrimination and may not be
disciplined for properly exercising these rights.
Regional Inquiry Teams, and local Inquiry Teams to answer
questions regarding their employment, even though their answers
may lead to disciplinary action up to and including removal;
however, in criminal cases, employees retain their constitutional
rights regarding avoidance of self-incrimination and may not be
disciplined for properly exercising these rights.
(5) Any visual or oral recordings made of interviews and
other proceedings will be preserved to allow a reasonable
opportunity for the resolution of any administrative review or
appeal related to the inquiry.
other proceedings will be preserved to allow a reasonable
opportunity for the resolution of any administrative review or
appeal related to the inquiry.
9. REPORTS
a. General. The Board or Team will prepare a detailed report
of its findings, including, if appropriate, recommendations. The
report must include all documents or records (or copies of them)
pertinent to the findings and recommendations. Any member of a
Board or Team may submit a separate or dissenting report.
of its findings, including, if appropriate, recommendations. The
report must include all documents or records (or copies of them)
pertinent to the findings and recommendations. Any member of a
Board or Team may submit a separate or dissenting report.
b. Submission. The completed report, along with all working
notes and other personal records created by members as a result
of the inquiry, will be submitted to the official who appointed
the Board or Team, unless the appointing official had done so at
the request of the General Counsel or Regional Counsel. If the
Board or Team was appointed at the request of the General Counsel
or Regional Counsel, the completed report will be submitted
directly to the requesting Counsel.
EFTA00028728
notes and other personal records created by members as a result
of the inquiry, will be submitted to the official who appointed
the Board or Team, unless the appointing official had done so at
the request of the General Counsel or Regional Counsel. If the
Board or Team was appointed at the request of the General Counsel
or Regional Counsel, the completed report will be submitted
directly to the requesting Counsel.
EFTA00028728
PS 1210.21
3/9/2000
Page 7
3/9/2000
Page 7
If a report is submitted to an appointing official (rather than
to a requesting Counsel), three copies of the report will be
submitted through OIA for filing in the Director's Office, in the
Office of General Counsel, and in OIA.
to a requesting Counsel), three copies of the report will be
submitted through OIA for filing in the Director's Office, in the
Office of General Counsel, and in OIA.
c. Release of Findings or Reports. Findings or reports of all
Boards of Inquiry or Inquiry Teams will be released only upon the
Director's authorization in consultation with the General
Counsel. A Board of Inquiry report may be required to be
produced in connection with civil or criminal proceedings or a
FOIA request. A Board of Inquiry report may also be released in
connection with a Congressional inquiry.
Boards of Inquiry or Inquiry Teams will be released only upon the
Director's authorization in consultation with the General
Counsel. A Board of Inquiry report may be required to be
produced in connection with civil or criminal proceedings or a
FOIA request. A Board of Inquiry report may also be released in
connection with a Congressional inquiry.
If a subpoena or request for discovery is received in
connection with any civil or criminal proceeding that demands, or
reasonably could be construed as to demand, the production of a
Board of Inquiry report, and/or any working notes or personal
records created by members as a result of an inquiry, the
subpoena should be forwarded to the Regional Counsel who, after
consultation with the General Counsel and the Director, as
necessary, will coordinate the production of the documents or
assertion of any evidentiary privilege as appropriate with the
local U.S. Attorney's Office.
connection with any civil or criminal proceeding that demands, or
reasonably could be construed as to demand, the production of a
Board of Inquiry report, and/or any working notes or personal
records created by members as a result of an inquiry, the
subpoena should be forwarded to the Regional Counsel who, after
consultation with the General Counsel and the Director, as
necessary, will coordinate the production of the documents or
assertion of any evidentiary privilege as appropriate with the
local U.S. Attorney's Office.
Findings or reports from Boards of Inquiry or Inquiry Teams
appointed at the request of the General Counsel or a Regional
Counsel prepared in anticipation of litigation or trial are to be
reviewed by the General Counsel before any release, since these
documents may be privileged documents protected from disclosure
by the attorney work-product privilege. The General Counsel will
make the determination of whether to assert this privilege.
appointed at the request of the General Counsel or a Regional
Counsel prepared in anticipation of litigation or trial are to be
reviewed by the General Counsel before any release, since these
documents may be privileged documents protected from disclosure
by the attorney work-product privilege. The General Counsel will
make the determination of whether to assert this privilege.
/s/
Kathleen Hawk Sawyer
Director
EFTA00028729
Kathleen Hawk Sawyer
Director
EFTA00028729
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