Review of the Bureau of Alcohol, Tobacco, Firearms and Explosives’ Disciplinary System

Evaluation and Inspections Report I-2005-009
September 2005
Office of the Inspector General

On July 15, 2005, the Office of the Inspector General (OIG) sent copies of the draft report to the Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) with a request for written comments. The ATF responded to us in a memorandum dated September 2, 2005. ATF Response The ATF generally concurred with the nine OIG recommendations to help the ATF better ensure that its processing of employee misconduct cases is timely, consistent, and reasonable. The ATF’s response also described the actions it has taken and plans to take to implement the recommendations. OIG Analysis of the ATF Response The actions undertaken and planned by the ATF to better ensure that its processing of employee misconduct cases is timely, consistent, and reasonable are responsive to our recommendations. RECOMMENDATIONS Recommendation 1: Remind all employees on an annual basis, particularly local managers and Employee Labor Relations Team (ELRT) staff, that any allegation or information concerning misconduct must be promptly reported to the ATF Investigations Division or the OIG. Status: Recommendation 1 is Resolved – Open. Summary of ATF Response. The ATF concurred with the recommendation and described present efforts to remind employees of the reporting requirement. As corrective action, the ATF plans to include a reminder of the reporting requirement in required annual online training on the Standards of Ethical Conduct by November 1, 2005. OIG Analysis. The actions planned by the ATF to remind its employees annually that any allegation or information concerning misconduct must be promptly reported to the ATF Investigations Division or the OIG are responsive to our recommendation. Please provide a copy of the revised online training on the Standards of Ethical Conduct by January 31, 2006. Recommendation 2: Require that all investigations of alleged misconduct be conducted or reviewed by the ATF Investigations Division before the misconduct case can be adjudicated. Status: Recommendation 2 is Resolved – Open. Summary of ATF Response. The ATF concurred with the recommendation and will establish a process for the review of ELRT (decentralized process) cases by the Investigations Division before any misconduct case is adjudicated. The ATF expects to develop written procedures for Investigations Division review by September 1, 2005. OIG Analysis. The actions planned by the ATF to establish written procedures for the review of ELRT (decentralized process) cases by the Investigations Division before any misconduct case is adjudicated are responsive to our recommendation. Please provide a copy of the written procedures for Investigations Division review by January 31, 2006. Recommendation 3: Properly categorize misconduct to accurately reflect the underlying misconduct, rather than applying generic charges such as “poor judgment.” Status: Recommendation 3 is Resolved – Open. Summary of ATF Response. The ATF generally concurred with the recommendation and will specifically charge employees with misuse of a government vehicle and other specific underlying misconduct when agency counsel determines that all of the elements of the underlying misconduct can likely be proven. OIG Analysis. The actions planned by the ATF to specifically charge employees with misuse of a government vehicle and other similar charges when agency counsel determines that all of the elements of the underlying misconduct can likely be proven are responsive to our recommendation. So that we may evaluate the ATF’s implementation of this recommendation, please provide copies of the proposal and decision letters for all ATF disciplinary actions during the first quarter of fiscal year (FY) 2006 by January 31, 2006. Recommendation 4: Establish data entry and quality control standards and procedures for all information entered in the ATF’s automated disciplinary database and for all documentation collected and maintained in the disciplinary case files. Status: Recommendation 4 is Resolved – Open. Summary of ATF Response. The ATF concurred with the recommendation and plans to establish standard operating procedures and a checklist by December 31, 2005, for use by the employees who make database entries. As a quality control measure, the Chairman of the Professional Review Board will oversee a review of the records of approximately 500 cases entered into the database over the last 5 years during FY 2006. OIG Analysis. The actions planned by the ATF to establish standard operating procedures and a checklist for use by the employees who make database entries are responsive to our recommendation. Please provide a copy of the standard operating procedures, the checklist, and a status report on the case file review by January 31, 2006. Recommendation 5: Require that each decision letter that reduces the proposed discipline adequately document the reasons for the mitigation. Status: Recommendation 5 is Resolved – Open. Summary of ATF Response. The ATF concurred with the recommendation and, as directed by the Justice Management Division, the ATF will include adequate documentation of the reasons for any mitigation in future decision letters. OIG Analysis. The actions planned by the ATF to include adequate documentation of the reasons for any mitigation in future decision letters are responsive to our recommendation. On January 31, 2006, please provide a copy of each decision letter reducing proposed discipline issued between now and January 31, 2006. Recommendation 6: Establish a time period for how far back prior discipline should be considered. Status: Recommendation 6 is Resolved – Open. Summary of ATF Response. The ATF generally concurred with the recommendation and will establish a period of reckoning for dissimilar prior misconduct and other guidance regarding similar prior misconduct. This action will require approval by the ATF Executive Staff and will not be completed until after December 31, 2005. OIG Analysis. The actions planned by the ATF to establish a period of reckoning for dissimilar prior misconduct and other guidance regarding similar prior misconduct are responsive to our recommendation. Please provide a status report and further documentation of the planned corrective actions by January 31, 2006. Recommendation 7: Prohibit the same individual from serving as the proposing and deciding official for the same misconduct case. Status: Recommendation 7 is Resolved – Open. Summary of ATF Response. The ATF concurred with the recommendation and plans to revise ATF Order 1150.4 prohibiting the same individual from serving as the proposing and deciding official for the same misconduct case. This action will not be completed until after December 31, 2005. OIG Analysis. The actions planned by the ATF to prohibit the same individual from serving as the proposing and deciding official for the same misconduct case are responsive to our recommendation. Please provide a status report and further documentation of the planned corrective actions by January 31, 2006. Recommendation 8: Establish policies and procedures, including management reviews, to ensure that discipline imposed is consistently implemented. Status: Recommendation 8 is Resolved – Open. Summary of ATF Response. The ATF concurred with the recommendation and plans to use the standard operating procedures, checklist, and case file review developed in response to Recommendation 4 to ensure that discipline imposed is consistently implemented. OIG Analysis. The actions planned by the ATF to establish standard operating procedures and a checklist and to conduct a case file review are responsive to our recommendation. Please provide a copy of the standard operating procedures, the checklist, and a status report on the case file review by January 31, 2006. Recommendation 9: Establish time standards and performance measures for the investigation and adjudication phases for the centralized and decentralized disciplinary processes. Status: Recommendation 9 is Resolved – Open. Summary of ATF Response. The ATF concurred with the recommendation and plans to establish time standards and performance measures for the investigation and adjudication phases of the centralized and decentralized disciplinary processes by December 31, 2005. OIG Analysis. The actions planned by the ATF to establish time standards and performance measures for the investigation and adjudication phases of the centralized and decentralized disciplinary processes are responsive to our recommendation. Please provide copies of the time standards and performance measures for the centralized and decentralized disciplinary processes by January 31, 2006.