FOREST SERVICE HANDBOOK
PACIFIC SOUTHWEST REGION (R5)
VALLEJO, CALIFORNIA
FSM 1700 - CIVIL RIGHTS
CHAPTER 1760 - EMPLOYMENT OPPORTUNITY
Supplement No.: R5 1700-2015-1
Effective Date: 6/19/2015
Duration: This supplement expires 5 years from the effective date unless superseded or
removed earlier.
Approved: Randy Moore, Regional Forester
Date Approved: 6/19/2015
Posting Instructions: Manual supplements are numbered consecutively by Manual number
and calendar year. Post by document; remove the entire document and replace it with this
supplement. Retain this transmittal as the first page(s) of this document.
Last Change: 1700-2009-2, to Chapter 40, 1/28/2009
New Document: 1760, 25 Pages
Superseded Document(s): 1700-2009-1, 1/28/2009, 14 Pages
Digest:
1765.06 Exhibit 02 Item 3.31 - Reporting process has been streamlined with use of a one-page
standard notification sheet; and identification to alert the appropriate addressees have been
simplified through the use of a public distribution list (PDL).
1765.06 Exhibit 02 Item 3.4.1.1 - Management provides the specific party with written
notification that (1) acknowledges receipt of the allegation; (2) apprises the party of his/her
various rights and the associated timeframes and (3) informs the party of the Region’s operating
procedures.
1765.06 Exhibit 02 Item 4.5 - Stricter timeframes for completion of inquiry and implementation
of corrective actions have been identified and tightened.
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The entire document was reformatted to be 508 compliant.
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Contents
1765 - SEXUAL HARASSMENT .................................................................................... 4
1765.03 - Policy ........................................................................................................... 4
1765.04 - Responsibility .............................................................................................. 4
1765.06 - Reporting an Incident .................................................................................. 5
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1765 - SEXUAL HARASSMENT
This policy document informs members of the Region 5 community about sexual harassment,
sexual misconduct, including sexual violence, and explains what actions all Region 5 employees
must do if they encounter or observe sexual harassment in connection with any Forest Service
program or activity.
1765.03 - Policy
1. Region 5 has zero tolerance for failing to act on allegations of sexual harassment or
sexual misconduct, and does not tolerate or condone any form of sexual
harassment, sexual misconduct, or retaliation towards any employee for reporting
sexual harassment, sexual misconduct, or participating in an investigation of these
allegations. This policy protects and applies to every employee (permanent,
detailed, temporary, and seasonal), Pathways Student Program participants,
volunteers, and contractors at all Region 5 work locations.
2. All supervisors and managers are required to report all allegations or incidents of
sexual harassment, sexual misconduct, or allegations of reprisal (retaliation for
reporting sexual harassment-related civil rights activity) within 24-hours of becoming
aware of those allegations or incidents and to take prompt and appropriate action to
address such conduct. Failing to meet this requirement may result in corrective
action, up to and including removal and referral to appropriate law enforcement, if
warranted.
4. All employees are required to report sexual harassment, sexual misconduct, or
reprisal (retaliation for reporting sexual harassment-related civil rights activity) in
accordance with the procedures listed within this document. Failing to meet this
requirement may result in corrective action, up to and including removal and referral
to appropriate law enforcement, if warranted.
5. All employees will be held accountable for substantiated misconduct, including
failure to report sexual harassment, with appropriate corrective action. Any
employee who engages in acts of sexual harassment, sexual misconduct, retaliation
for sexual harassment-related civil rights activity, may receive corrective action, up
to and including removal from federal service, and referral to appropriate law
enforcement, if warranted.
6. All Region 5 permanent and temporary employees, Pathways Student Program
participants, and contractors shall receive annual mandatory prevention of sexual
harassment training and must receive a copy of this policy; and new employees
must receive an overview of the Region’s prevention of sexual harassment policy as
part of their initial new employee orientation. Use of exhibits in this document is
mandatory.
1765.04 - Responsibility
2. Work Supervisors. It is the responsibility of all supervisors and managers:
a.
To report all allegations or incidents of sexual harassment, sexual misconduct,
and/or reprisal for sexual harassment-related civil rights activity within 24-hours
of becoming aware of those allegations or incidents. This is a mandatory
reporting requirement.
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b.
To consult with Employee Relations and take prompt and appropriate interim
measures to ensure a safe and nondiscriminatory environment pending
inquiry, investigation and resolution of a sexual harassment allegation.
c.
To address conflicts of interest or the appearance of a conflict of interest at all
stages to ensure fairness, integrity, and trust in the processing of sexual
harassment allegations. Additionally, when an employee alleges a conflict of
interest (for example, due to the position or grade level of the alleged harasser,
or concerning the individual assigned to look into the matter), management
shall immediately place the employee in contact with a neutral party
empowered to address the allegation of conflict in a prompt and fair manner.
3. All Employees. All employees have the responsibility:
a.
To create and maintain a positive work environment free of sexual harassment,
sexual misconduct, and discrimination;
c.
To report all incidents that are, or that they reasonably believe to be, sexual
harassment, sexual misconduct, and/or reprisal for sexual harassment-related
civil rights activity after becoming aware of those incidents. Reporting sexual
harassment is mandatory in accordance with the Departmental Regulations
4070-735-001, “Employees Responsibilities and Conduct” dated October 4,
2007. Reporting of allegations is confidential as the identity of the reporting
party will be shared strictly on a need-to-know basis in connection with official
duties.
d.
To treat everyone fairly, equitably and with dignity and respect; and
e.
To cooperate with investigations into allegations of sexual harassment, sexual
misconduct, or reprisal (retaliation for reporting sexual harassment-related civil
rights activity) that they have witnessed in accordance with the Departmental
Regulations 4070-735-001, “Employees Responsibilities and Conduct” dated
October 4, 2007.
1765.06 - Reporting an Incident
All non-supervisory employees shall report incidents of sexual harassment, sexual misconduct,
or reprisal for sexual harassment-related civil rights activity by notifying their first-or second-line
supervisor, Unit Forest Civil Rights Officer (FCRO), or the Sexual Harassment Hotline listed in
Exhibit 1765.06-01 (Avenues for Reporting Incidents of Sexual Harassment).
If on an emergency incident or a fire assignment in Region 5, employees may also report sexual
harassment, sexual misconduct, and/or reprisal for sexual harassment-related civil rights activity
to the Human Resource Specialist (HRSP) or the Incident Commander (IC).
Supervisors and managers shall report incidents of sexual harassment, sexual misconduct, and
reprisal related to allegations of sexual harassment in accordance with the procedures outlined
in Exhibit 1765.06-02.
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1765.06 - Exhibit 01
Avenues for Reporting Incidents of Sexual Harassment
Office
First-or Second-line Supervisor
Unit Forest Civil Rights Officer (FCRO)
Sexual Harassment Hotline
(Only for Emergency Incidents and/or Fire
Assignments in R5)
Contact Information
http://fsweb.r5.fs.fed.us/unit/cr/forest/
(707) 562-9228
Human Resource Specialist (HRSP) or the Incident
Commander (IC)
Employees who believe that they have been subjected to unlawful discrimination including
sexual harassment or reprisal for sexual harassment-related civil rights activity may also file a
complaint of discrimination by contacting an Equal Employment Opportunity (EEO) Counselor at
(404) 347-1908. Employees have forty five (45) calendar days after becoming aware of such
unlawful discrimination to contact an EEO Counselor. The Regional inquiry process outlined in
this SOP is not part of the discrimination complaint process and participating in the Regional
inquiry process does not suspend or extend the regulatory 45-day timeframe for filing a
discrimination complaint.
A survivor of sexual violence has the right to simultaneously file and pursue a criminal complaint
with law enforcement if he or she chooses and to be assisted by the Agency in notifying law
enforcement authorities if he or she chooses, or to decline to notify such authorities. The
Agency may need to temporarily delay its investigation while law enforcement conducts its
investigation.
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1765.06 - Exhibit 02
REGION 5 STANDARD OPERATING PROCEDURE FOR HANDLING ALLEGATIONS OF
SEXUAL HARASSMENT, SEXUAL MISCONDUCT, AND REPRISAL FOR SEXUAL
HARASSMENT-RELATED CIVIL RIGHTS ACTIVITY
1. Purpose.
1.1. This Standard Operating Procedure (SOP) outlines Region 5’s process for reporting,
investigating, and taking corrective action on allegations of sexual harassment, sexual
misconduct, and/or subsequent reprisal for sexual harassment-related civil rights
activity. These corrective actions must include an initial assessment of employees’
safety and well-being, interim provisions for immediate protection and support for the
party who is subjected to the alleged inappropriate behavior, and disciplinary action
against a respondent, when appropriate.
2. Definitions.
2.1. Reprisal (Retaliation): Retaliation has occurred when an employee suffers a negative
action because he or she has made a report of sexual harassment, assisted someone
else with a report or complaint, participated in discrimination-prevention activities or
opposed discrimination, including sexual harassment. Negative actions can include
termination, demotion, suspension, denial of promotion, poor evaluation, unfavorable
job reassignment, or any adverse employment decision or treatment that would be
likely to dissuade a “reasonable person” from making or supporting a charge of
discrimination, including harassment. Retaliation is as illegal as the sexual harassment
itself. Also, retaliation is illegal even if the original charge of sexual harassment was not
proven.
2.2. Sexual harassment-related civil rights activity: reporting of sexual harassment, assisting
someone else with a report or complaint, participating in discrimination- prevention
activities or opposing discrimination, including sexual harassment.
2.3. Sexual Harassment:
2.3.1. Unwelcome sexual advances, requests for sexual favors, and other verbal or
physical conduct of a sexual nature when:
2.3.1.1. Submission to such conduct is made, either explicitly or implicitly, a term or
condition of an individual’s employment;
2.3.1.2. Submission to, or rejection of, such conduct by an individual is used as the
basis for employment decisions affecting such individual; or
2.3.1.3. Such conduct has the purpose or effect of unreasonably interfering with an
individual’s work performance or creating an intimidating, hostile, or
offensive work environment (29 Code of Federal Regulations 1604.11)
2.3.2. Sexual harassment may consist of such behavior as inappropriate touching,
grabbing, lewd gestures, jokes of a sexual connotation, computer screen savers
or photographs of a sexual nature, and any behavior with sexual overtones, which
is intimidating or offensive to the recipient, or to one who observes such behavior
or other displays.
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2.3.3. Sexual harassment can occur at any time and any location, regardless of whether
the acts occur on or off the workplace or federal property, and whether they occur
during or after work hours.
2.4. Inappropriate Conduct of a Sexual Nature (referred to herein as sexual misconduct):
May consist of an isolated incident of behavior with a sexual connotation or could
include repeated unwelcomed flirtations; repeated unwanted requests for dates; or
repeated suggestive comments about or references to someone’s anatomy; or ridicule
or teasing regarding an employee’s gender identity, gender expression, or sexual
orientation. Inappropriate conduct of a sexual nature can create or be the basis of
sexual harassment.
2.5. Interim Measures: Interim steps the Agency may take or remedies to an individual
raising allegations of harassment to ensure a safe and nondiscriminatory environment
pending investigation and resolution of a report of sexual harassment. Examples of
interim protective measures include, but are not limited to: an order of no contact, safespace zones, temporary relocation, adjustment of schedules, or reassignment to a
different supervisor or position. However, an employee who alleges harassment should
not be moved, placed on leave, reassigned or transferred, unless he or she requests or
agrees that such action be taken.
3. Roles and Responsibilities.
3.1. Employees who experience sexual harassment, sexual misconduct, and/or reprisal
based on sexual harassment-related civil rights activities:
3.1.1. Are encouraged to report the incident to their immediate supervisor or a higherlevel supervisor immediately.
3.1.2. May also report incidents of sexual harassment, sexual misconduct or reprisal by
calling the Sexual Harassment Hotline at (707) 562-9228 or their Regional Civil
Rights Office. Callers may elect to remain anonymous to the extent possible.
3.1.3. May also file a complaint of discrimination by contacting an Equal Employment
Opportunity (EEO) Counselor at (404) 347-1908 if they believe they have been
subjected to unlawful discrimination. Employees have forty five (45) calendar days
after becoming aware of such unlawful discrimination to contact an EEO
Counselor. The Regional inquiry process outlined in this SOP is not part of the
discrimination complaint process and participating in the Regional inquiry process
does not suspend or extend the regulatory 45-day timeframe for filing a
discrimination complaint.
3.1.4. A survivor of sexual violence has the right to simultaneously file and pursue a
criminal complaint with law enforcement if he or she chooses and to be assisted
by the Agency in notifying law enforcement authorities if he or she chooses, or to
decline to notify such authorities. The Agency may need to temporarily delay its
investigation while law enforcement conducts its investigation.
3.2. Employees who witness, are aware of, or have reason to believe sexual harassment or
sexual misconduct has occurred:
3.2.1. Shall report incidents of sexual harassment, sexual misconduct, and reprisal
related to allegations of sexual harassment by notifying their first-or second-line
supervisor, Unit Forest Civil Rights Officer (FCRO), or the Sexual Harassment
Hotline listed in Exhibit 1765.06-01 (Avenues for Reporting).
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3.3. Supervisors and Managers (all levels) who witness or are aware of sexual harassment
or sexual misconduct, or otherwise have reason to believe sexual harassment or
sexual misconduct has occurred, including when an employee has reported to them an
allegation of sexual harassment or sexual misconduct:
3.3.1. Shall within 24 hours of becoming aware of incidents or allegations of sexual
harassment, sexual misconduct, or reprisal related to allegations of sexual
harassment report all such incidents or allegations by completing the 24-Hour
Notification Sheet referenced in Exhibit 1765.06-03 and submitting it via email to
the designated Public Distribution List (PDL) at: FS-pdl r5 ro 24-Hour Notification
Team as well as to the appropriate individuals listed below.
3.3.1.1. Forest Supervisor or Deputy Forest Supervisor (Forest Units);
3.3.1.2. Staff Director or Deputy Staff Director (RO Unit); and
3.3.1.3. Forest Civil Rights Officer (Forest Units)
3.3.2. If it is not possible for the Supervisor or Manager to report electronically, a
telephonic report must be made to one of the following:
3.3.2.1. Forest Supervisor or Deputy Forest Supervisor (Forest Units);
3.3.2.2. Staff Director or Deputy Staff Director (RO Unit); and
3.3.2.3. Forest Civil Rights Officer (Forest Units)
3.4. Forest Supervisor, Deputy Forest Supervisor, Staff Director, or Deputy Staff Director:
3.4.1. Forest Supervisor, Deputy Forest Supervisor, Staff Director, or Deputy Staff
Director shall:
3.4.1.1. Within 48 hours of the initial report to management by any individual alleging
sexual harassment/misconduct and/or reprisal related to sexual
misconduct/harassment, if the SHIC determines that the allegation(s) meet
the definition of sexual harassment, sexual misconduct, or reprisal for sexual
harassment-related civil rights activity, provide a written acknowledgement to
the individual reporting the incident and notification to the survivor that: (1)
acknowledges receipt of the allegations; (2) identifies next steps in the
process; and (3) outlines employee rights and associated timeframes as
outlined in Exhibit 04.
3.4.1.2. Consult with Employee Relations and the Regional Civil Rights Staff to
determine what if any interim measures should be taken. Ensure that
appropriate interim measures are taken when necessary.
3.4.1.3. After receipt of the 24-hour notification, but not later than two (2) business
days following, designate an objective, qualified and trained individual to
serve as the Designated Inquiry Official to conduct a management inquiry
into the allegation(s) identified in the notification.
3.4.1.3.1. The Designated Inquiry Official must be at a grade level and position
equal to or greater than the subject of the inquiry and must have
completed training on how to conduct management inquiries involving
sexual harassment.
3.4.1.3.2. Designated Inquiry Official cannot be a bargaining unit member.
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3.4.1.3.3. If the Designated Inquiry Official is a Forest Civil Rights Officer,
Employee Relations Specialist, or Misconduct Investigator, the grade
level provisions in section 3.4.1.4.1 do not apply.
3.4.1.3.4. Notify Sexual Harassment Inquiry Coordinator (SHIC) by email of the
identity of the Designated Inquiry Official.
3.4.1.4. If warranted by the circumstances, such as significant physical contact,
sexual assault, or other severe circumstances, a formal misconduct
investigation or law enforcement investigation will be requested in lieu of a
management inquiry.
3.4.1.5. Shall in consultation with the SHIC take appropriate steps to address
conflicts of interest or the appearance of a conflict of interest at all stages to
ensure fairness, integrity, and trust in the processing of sexual harassment
allegations.
3.4.2. If a formal misconduct investigation is requested, provide the SHIC with the
identity of the Misconduct Investigator, the assigned misconduct investigation
number, and a copy of the misconduct investigation report with any related
attachments.
3.5. Regional Forester:
3.5.1. The Regional Forester will promptly report receipt of any and all sexual
harassment, sexual misconduct, or allegations, including allegations of reprisal for
sexual harassment-related civil rights activity, to the FS National Civil Rights
Director by ensuring the FS National Civil Rights Director is included in the
Regional Office, Civil Rights and Employee Relations distribution list address: FSpdl r5 ro 24-Hour Notification Team public distribution list, used to inform
management officials of sexual harassment reports.
3.6. Human Resource Specialist (HRSP)/Incident Commander (IC):
3.6.1. If an incident of sexual harassment, sexual misconduct, or reprisal for sexual
harassment-related civil rights activity occurs during a fire or other emergency
incident where a Human Resource Specialist (HRSP) is assigned, they are to
notify the Human Resource Specialist Geographic Area Coordinator (HRSP
GAC), the Agency Administrator, the Incident Commander (IC), and the
designated Sexual Harassment PDL within 24 hours of the incident and provide
them with a completed Contact Information Sheet.
3.6.2. The Incident Commander (IC) will concurrently ensure the home units of the
employee raising the incident and accused employee(s) is/are notified regarding
the incident.
3.7. Sexual Harassment Inquiry Coordinator (SHIC): Upon receipt of a 24-hour notification of
allegation(s) the SHIC shall:
3.7.1. Confirm receipt of the notification and assign a SHIC inquiry case tracking
number.
3.7.2. Determine whether the allegation(s) meets the definition of “sexual harassment,
sexual misconduct, or reprisal for sexual harassment-related civil rights activity.”
3.7.3. If the allegation does not meet the definition of sexual harassment, sexual
misconduct, or reprisal for sexual harassment-related civil rights activity, or
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inappropriate conduct of a sexual nature, the SHIC case will be closed and
annotated as non-sexual harassment misconduct, and SHIC will refer the
management official to Employee Relations; Employee Relations should be
copied on the referral.
3.7.3.1. Transmit within 48 hours an email notification to the reporting party that
outlines the timeframes and procedures for contacting an EEO counselor as
referenced in Exhibit 4 if the allegations do not meet the definition of sexual
harassment, sexual misconduct, or reprisal for sexual harassment-related
civil rights activity.
3.7.4. Monitor and track the inquiry file for completion of the inquiry and grant additional
time to the inquiry official if requested, in writing, and identify a valid reason for
any extension of time, subject to the approval process in Section 4.5
3.7.5. Determine, when circumstances necessitate, interim corrective measures in
collaboration with the ER Supervisor (e.g., remove offensive material, separate
employees in conflict, direct that inappropriate conduct desist). A survivor should
not be the recipient of any remedial action, including being moved or put on leave
unless he or she requests the action.
3.7.6. Inform the survivor if a formal misconduct investigation is requested.
3.7.7. Address objections to Designated Inquiry Official or investigator, if any.
3.7.8. Address conflict of interest issues under Section 3.11 of this SOP.
3.8. Designated Inquiry Official:
3.8.1. With the advice and guidance of Employee Relations, gather and record
information including: (a) the inquiry number assigned to the allegation; (b) who
made the allegation; (c) who the allegation is against; (d) when it happened; (e)
where it happened; (f) any witnesses; (g) any physical evidence; (h) signed
statements from the individual raising allegations of harassment, the accused,
and any witnesses. In general, the Designated Inquiry Official should initially
interview the primary witness/accusing party first, then the subject of the
investigation, and then other witnesses, if any, unless the Designated Inquiry
Official has reason to believe that the subject will interfere with the investigative
process. In addition, one or more witnesses may on occasion need to be reinterviewed to respond to or verify/refute additional evidence or testimony.
3.8.2. Ensure each subject and witness receives a notification letter (Exhibit 05) prior to
their meeting. A bargaining unit employee has the right to be represented by the
Union upon request. Additionally, bargaining units, if applicable, must be notified
and provided an opportunity to be represented in meetings. Non-bargaining unit
employees may be represented by an attorney or other representative of their
choice, providing their choice does not present a conflict of interest. Employees
are required to cooperate in a management inquiry and respond to all questions
asked of them; however, they may consult with their representative prior to
answering. A representative may not answer for the employee.
3.8.3. Submit a report of findings, including original signed statements, to the SHIC with
a copy to the Forest Supervisor or Staff Director as appropriate within ten (10)
business days of being designated to conduct a management inquiry. The
Designated Inquiry Official’s report shall follow the Regional report template for
sexual harassment allegations (see Exhibit 06); provide the background; describe
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the incident, the specific allegations, and the findings on each allegation; and
other relevant information. The report will not contain recommendations for action.
3.8.4. If at any point in the inquiry the Designated Inquiry Official develops information
that suggests a more formal investigation is warranted (see Exhibit 07) he/she will
inform the management official who requested the inquiry who will after
consultation with their servicing Employee Relations Specialist determine whether
to request a formal misconduct investigation. If a formal misconduct investigation
is subsequently requested, the SHIC will be promptly notified so that the inquiry
record can be appropriately annotated. The SHIC shall inform the individual
raising the allegations of sexual harassment if a formal misconduct is requested.
3.8.5. Designated Inquiry Official may request additional time to complete the inquiry by
contacting the SHIC, in writing, prior to the due date and identifying the reasons
more time is needed.
3.8.6. Designated Inquiry Official must conduct the inquiry in an objective manner.
3.9. Employee Relations Personnel:
3.9.1. Provide advice to management regarding the appropriate method of management
inquiry based on the allegations raised and identification of an appropriate
designated inquiry official.
3.9.2. Provide recommendations on interim corrective measures in collaboration with the
SHIC.
3.9.3. Provide advice and guidance to the individual assigned to conduct the
management inquiry or misconduct investigation.
3.9.4. Review the management inquiry for quality control.
3.9.5. Review the misconduct investigation for quality control.
3.9.6. Provide case assessment and recommendations for corrective action within
fourteen (14) days of receiving the inquiry report.
3.9.7. Initiate corrective action within thirty (30) calendar days of receiving action plan.
3.9.8. Notify SHIC regarding the final disposition of the matter.
3.10. Forest Civil Rights Officer (FCRO):
3.10.1. Upon receipt of telephonic notification, be responsible for reporting electronically
by notifying the designated PDL as outlined in Section 3.3.1 and 3.3.2.
3.10.2. Assist and provide guidance to survivors of sexual harassment, sexual
misconduct or related reprisal.
3.10.3. Maintain a log of sexual harassment inquiry allegations for their Forest.
3.10.4. Provide the Forest Supervisor with a monthly report regarding the status of unit
SHIC activity.
3.10.5. Serve as the point of contact for the Regional Office regarding the status of
sexual harassment/sexual misconduct inquiries.
3.10.6. Work with the Federal Women’s Program Manager and National Civil Rights
Office to arrange Specialized One-on-One POSH Training.
3.11. Conflicts of Interest:
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3.11.1. With respect to an allegation of sexual harassment, sexual misconduct, or
reprisal related to an allegation of sexual harassment made against an individual
employed at the GS-13 level or higher, all responsibilities that individual would
normally have under this SOP shall be carried out by an individual more senior
than the individual subject to the allegation. The person who is the subject of the
allegations shall be limited to responding to questions and cooperating with the
inquiry or investigation and shall have no role in designating a Designated Inquiry
Official or evaluating the sufficiency of an inquiry report. The individual making the
designation will ensure that the Designated Inquiry Official will report neither
directly nor indirectly to the subject of the allegation.
3.11.2. To the extent not otherwise identified by the Agency, any participant in an inquiry
or investigation who believes the Designated Inquiry Official or Investigator has a
conflict of interest, or that there is a conflict of interest based on the position or
grade level of the alleged harasser, should contact the SHIC, who shall take
appropriate actions to address the issue in a prompt and appropriate manner. No
Designated Inquiry Official or Investigator shall investigate a matter in which he or
she has been determined to have a conflict of interest.
4. Evaluation of Inquiry Report and Action Plan:
4.1. The Forest Supervisor or Staff Director will evaluate the sufficiency of the inquiry report
and review it to determine whether a formal investigation is warranted. The individual
that designated the Designated Inquiry Official may request the Designated Inquiry
Official to obtain more evidence if needed.
4.2. The Forest Supervisor or Staff Director shall review the report and case assessment
and develop and finalize an action plan within ten (10) business days of receiving the
report and case assessment. A copy of the action plan shall be provided to the SHIC
for monitoring and inclusion in the SHIC case file.
4.3. If the Forest Supervisor or Staff Director determines that misconduct is substantiated,
action may include the following:
4.3.1. (1) Identification of corrective/curative actions; (2) a proposal for disciplinary
action; (3) a request for a formal misconduct investigation; or (4) a determination
that no action is needed. The action plan will include a timeframe for
implementation of each proposed action. Curative actions may include informal
and/or formal disciplinary actions.
4.3.2. At a minimum, the action plan must include Specialized One-on-One Prevention of
Sexual Harassment Training for individuals or groups found to have engaged in
substantiated inappropriate conduct of a sexual nature and/or sexual harassment
or reprisal for sexual harassment-related civil rights activity, and for management
officials who fail to take prompt and appropriate action in accordance with the
Region 5 Prevention of Sexual Harassment Specialized One-on-One Training
Protocol including the mandatory 24-hour reporting requirement. The Forest Civil
Rights Officer (FCRO) or designee will work with the Federal Women’s Program
Manager (FWPM) and the National Civil Rights Office to coordinate training dates,
times, and location of training to schedule identified employee(s) and/or
managers.
4.4. Forest Supervisor or Staff Director will ensure timely implementation of the approved
action plan, and provide the SHIC documentation that the plan was implemented within
five (5) business days of the last approved action being completed.
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4.5. Fact-finding, investigations and decisions to proceed with further action, including those
regarding proposed corrective or disciplinary action, with respect to all allegations of
sexual misconduct/harassment and reprisal relating to sexual misconduct/harassment
should be completed within sixty (60) calendar days of receipt of the initial allegation.
Any deviation from this 60-day timeline, must be justified in writing and approved by the
Regional Forester, with review and concurrence by the FS National Civil Rights
Director
5. Formal Misconduct Investigation:
5.1. When it is determined by the Forest Supervisor or the Staff Director that a formal
misconduct investigation should take place as outlined in paragraph 4.1 above, or
under paragraph 3.4.1.4, the Misconduct Investigation Program Manager (MIPM) will
open a formal misconduct investigation file and assign a misconduct investigation
number to the case. The Forest Supervisor or Staff Director will provide valid job and
override codes for the MIPM to use when requesting an investigator.
5.2. Forest Supervisor or Staff Director will provide, in writing, the assigned sexual
harassment inquiry number; specific issues to be investigated; documents, relevant to
the investigation; a list of potential witnesses by name, job title, grade level, and phone
number; and the phone number for an individual, who will act as the central point-ofcontact. The MIPM may add, remove, or modify issues, as appropriate.
5.3. Misconduct investigation should begin within ten (10) business days from the date the
MIPM requests the misconduct investigation. The original and one copy of the final
report should be completed and forwarded to the MIPM within thirty (30) calendar days
after commencement. Time limits may be extended by request to the MIPM when
exigent or emergency factors exist, such as unavailability of witnesses, problems
caused by weather, etc., subject to the approval process in Section 4.5.
5.4. MIPM will evaluate the sufficiency of the investigative report and review it to determine
whether any additional information is needed. The MIPM may direct the investigator to
obtain more evidence, if needed.
5.5. MIPM will forward a copy of the final report to the Forest Supervisor or Staff Director,
and to the appropriate Employee Relations Specialist. The National Civil Rights
Director may also be consulted.
5.6. Forest Supervisor or Staff Director and Employee Relations Specialist shall review the
report and develop an action plan within ten (10) business days. The National Civil
Rights Director and/or their designee may be consulted. A copy of the action plan shall
be provided to the SHIC for monitoring and inclusion in the case file.
5.7. If the Forest Supervisor or Staff Director determines that misconduct is substantiated,
action may include the following:
5.7.1. (a) identification of corrective/curative actions; (b) a proposal for disciplinary
action; or (c) a determination that no action is needed. The action plan will include
a timeframe for implementation of each proposed action. Curative actions may
include informal and formal disciplinary actions.
5.7.2. At a minimum, the action plan must include Specialized One-on-One Prevention of
Sexual Harassment (POSH) training for individuals found to have engaged in
sexual harassment, sexual misconduct, or reprisal for sexual harassment-related
civil rights activity, and management officials who fail to take prompt and
appropriate action in accordance with the Region 5 Prevention of Sexual
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Harassment Specialized One-on-One POSH Training Protocol (see Exhibit 08).
The Forest Civil Rights Officer or designee will work with the Federal Women’s
Program Manager and the National Civil Rights Office to coordinate training
dates, times, and location of training to schedule identified employee(s) and/or
manager(s). Forest Supervisor or Staff Director will ensure timely implementation
of the approved action plan, and promptly provide the SHIC with copies of the
action taken or other documentation that the plan was implemented.
6. Recordkeeping and reporting:
6.1. SHIC and the MIPM shall retain original inquiry and investigation files for a period of 4
years.
6.2. SHIC shall provide monthly reports of process results to the Region 5 Civil Rights
Director and the Deputy Regional Forester for Administrative Programs. At a minimum,
the reports will include:
6.2.1. Number of cases opened.
6.2.2. Number of cases closed.
6.2.3. Number of cases sexual harassment or reprisal for sexual harassment-related civil
rights activity was substantiated.
6.2.4. Numbers of employees, by gender, reporting incidents.
6.2.5. Type and number of corrective actions taken (including Specialized POSH
training).
6.2.6. Number of cases where 24-hour reporting requirement was or was not met.
6.2.7. Number of supervisors afforded Specialized POSH for failing to meet 24-hour
reporting requirement.
6.2.8. Numbers of days cases remain open, and how long it takes to close each case.
6.2.9. Significant emergent trend or program management issues, if any.
6.2.10. Recommendations for change, if any.
End - 1765.06 - Exhibit 02
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Supplement No.:R5 1700-2015-1 - Effective Date: 6/19/2015
1765.06 - Exhibit 03
24-Hour Notification Sheet for Reporting Allegations of Inappropriate Conduct of a
Sexual Nature
1. The Notification Sheet is to be completed by a supervisor or manager, not by the
employee who has raised the allegation or who experienced the alleged
misconduct. Each block of the Notification Sheet should be completed with a
narrative response or an explanation of why a response is not applicable. Additional
relevant information may be attached as a supplement to the Notification Sheet.
However, it is not sufficient to exclude a narrative response and simply refer the
reader to the attachments provided. An electronic copy of the 24-hour Notification
Sheet can be obtained through the Prevention of Sexual Harassment link located on
the Civil Rights intranet webpage at http://fsweb.r5.fs.fed.us/unit/cr/.
2. Upon receipt of the Notification Sheet, the Sexual Harassment Inquiry Coordinator
(SHIC) will provide the supervisor or manager who submitted the notification with a
sexual harassment inquiry number for their records.
3. The completed Notification Sheet should be transmitted by electronic mail to the 24-
Hour Notification Team at FS-pdl r5 ro 24-Hour Notification Team. Use of this public
distribution list (pdl) will ensure appropriate notification to the required Regional
Office, Civil Rights, and Employee Relations personnel. The notification email
should also be addressed to the Forest Supervisor or Staff Director for your unit and
your Forest Civil Rights Officer, if applicable. Again, the pdl only includes the
Regional Office, Civil Rights, and Employee Relations personnel that comprise the
24-Hour Notification Team.
QUESTION
1. Date(s) on which the inappropriate conduct allegedly occurred.
2. First and last names and position titles of the primary parties
involved. (i.e., the accuser(s); the accused).
3. Description of the alleged inappropriate conduct. (Identify who,
what, where, when, how?)
4. Date(s) management initially became aware of the alleged
inappropriate conduct.
5. Date(s) management made 24-hour notification to the RO
regarding the alleged inappropriate conduct.
6. First and last name and position title of the manager(s) who was
first made aware of the alleged inappropriate conduct.
7. Unit identification (include the name of the Forest, District, or Staff,
where the alleged inappropriate conduct took place).
8. Time and location of the alleged inappropriate conduct. (Indicate
where the alleged inappropriate conduct occurred and if it occurred
during or outside of working hours; at or away from the workplace).
9. Name, position title, and work unit of witness(es) to the alleged
inappropriate conduct (if any).
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RESPONSE
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1765.06 - Exhibit 04
Acknowledgement Letter Example
Subject: Acknowledgement of Receipt of Notification Letter (INSERT ASSIGNED SHI NO.)
To: Party Who Raised the Allegation(s)
This letter is in response to your allegations or the allegations you brought to management’s
attention regarding another individual related to : (1) sexual harassment; (2) sexual misconduct;
(3) reprisal for prior sexual harassment-related civil rights activities; or (4) inappropriate conduct
of a sexual nature. Region 5 has zero tolerance for sexual harassment and does not condone
such behavior. Region 5 has standard operating procedures for handling such allegations. Your
allegation or the allegation you brought to management’s attention was reported to the 24-Hour
Notification Team on (INSERT DATE) and has been assigned sexual harassment inquiry
number (INSERT ASSIGNED SHI NO.). Please reference this number in any future
communications regarding this matter.
I will promptly authorize an inquiry into the allegation(s). You will be contacted by the assigned
inquiry official and afforded an opportunity to provide information regarding your/the
allegation(s). At the conclusion of the inquiry, I will be advised of the information obtained during
the inquiry.
If misconduct is substantiated, I will consult with the Employee Relations staff and a
determination will be made regarding appropriate corrective measures. At the conclusion of the
inquiry, you will be notified regarding three things. You will be notified in writing that the inquiry
has concluded; whether or not misconduct was substantiated; and if corrective measures or
disciplinary action will be taken. However, because of Privacy Act provisions, you will not be
notified of the nature of the corrective action or disciplinary action to be taken, if any. The
Regional Office Civil Rights staff will monitor and track the processing of the inquiry from start to
finish.
The Region’s inquiry process is designed to assist the Region in monitoring and deterring
unwanted workplace behavior, and ensuring and promoting a safe workplace for everyone. The
Regional inquiry process is not part of the discrimination complaint process and participating in
the Regional inquiry process does not suspend or extend the regulatory 45-day timeframe for
filing a discrimination complaint.
If you believe that you have been subjected to unlawful discrimination including sexual
harassment or reprisal for sexual harassment related civil rights activity, you may file a
complaint of discrimination by contacting an Equal Employment Opportunity Counselor at (404)
347-1908. Employees must file their complaint within 45 days of becoming aware of such
unlawful discrimination.
The Employee Assistance Program (EAP) is a confidential counseling and referral service that
can help you with addressing stressful situations and the related emotional challenges that
occur in the workplace. EAP services are accessible 24 hours a day, seven days a week to
provide confidential help with work, family or personal matters at no cost. Visit the EAP website
for further information at www.foh4you.com.
If you are an employee who is covered by the bargaining unit, you may elect to pursue a
negotiated grievance. Information concerning the negotiated grievance process can be found in
the Master Agreement between the Forest Service and the National Federation of Federal
Employees (NFFE) effective October 10, 2010, which applies to all members of the bargaining
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unit. The Master Agreement requires that the grievant and/or representative file the Step 1
Grievance with the appropriate Step 1 Receiving Official in writing with a carbon copy to the
appropriate Labor Relations staff member within 30 days of the incident resulting in the
complaint or the date the grievant first became aware of the matter.
If you are an employee who is not covered by the bargaining unit, you may elect to pursue an
administrative grievance. Information concerning the administrative grievance process can be
found in Department Regulation, 4070-771, on the Administrative Grievance System dated
October 6, 2010, which requires that an employee must present an informal grievance within 15
days of the act or occurrence that is the basis for the grievance or within 15 days of the date the
employee learned of the act or occurrence.
If you feel unsafe in your work environment due to the allegations that you have raised, please
contact the Federal Women’s Program Manager, Gwen Bryant, at (707) 562-8730 or
gbyrant@fs.fed.us.
Finally, If you would like to engage in alternative dispute resolution through the Conflict
Management and Prevention (CMP) Program to address a workplace conflict or repair a
working relationship, you may contact the Conflict Management and Prevention Program
Manager, Markette Drone, at (707) 562-8993 or markettedrone@fs.fed.us to request CMP
program services. You may also contact Ms. Drone if you have questions regarding this
correspondence, the inquiry process, the status of your inquiry, or if you have any concerns
regarding conflict of interest related to the inquiry process.
/s/ Signature
INSERT SIGNATURE BLOCK FOR THE
FOREST SUPERVISOR; STAFF DIRECTOR; OR
DEPUTY REGIONAL FORESTER WHO ISSUES THIS LETTER.
End - 1765.06 - Exhibit 04
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Supplement No.:R5 1700-2015-1 - Effective Date: 6/19/2015
1765.06 - Exhibit 05
Sample Notification for Fact-Finding Interviews (Use appropriate letterhead)
Subject: Notification of Official Fact-Finding Inquiry
To:
This letter is to inform you that an official fact-finding inquiry of possible misconduct involving
violations of rules, regulations, or law has been initiated by the Agency. You have been
identified as the subject of the fact-finding. [Alternative sentence for letters sent to witnesses You have been identified as a witness in this fact-finding.] An appointment has been scheduled
for you to meet with a fact-finder on [please state date, time, and location of the interview here].
In accordance with Departmental Regulation 4070-735-001, “Employee Responsibilities and
Conduct” dated October 4, 2007, you have an obligation to participate and cooperate in this
official administrative fact-finding. Agency employees are obligated to give information to
authorized representatives of the Department when called upon, if the inquiry relates to official
matters and the information is obtained in the course of employment or as a result of
relationships incident to Agency employment. This includes furnishing of a signed, sworn, or
affirmed statement. Failure to cooperate with an investigation may constitute the basis for
disciplinary action. Please be advised that you are not to discuss your statements outside the
actual interview. Statements made during your discussions with the fact-finder will be shared
strictly on a need to know basis in connection with official duties.
If you are a bargaining unit employee, you have the right to be represented by the Union at any
investigative examination, including this impending interview, which is conducted by a
representative of the Agency in connection with this fact-finding, if you request representation
and you reasonably believe that the examination may result in disciplinary action against you.
You may make this request at any time prior to the interview. If you appear for the interview
without representation and prior to or during the interview you reasonably believe that
disciplinary action may occur against you, you may request Union representation. If requested,
the Agency may opt to suspend questioning; grant your request and proceed with the interview
with your representative; discontinue the interview; or offer you the choices of proceeding
without a Union representative, or forgoing the interview.
If you have any questions regarding the contents of this correspondence, please contact me at
the phone number or email address provided below.
Date
RANDY MOORE
Regional Forester
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1765.06 - Exhibit 06
Regional Report Template For Sexual Harassment Allegations
Assigned Sexual Harassment Inquiry No.
Date When the Allegation(s) Were Brought
to the Attention of a Management Official:
Date When the 24-hour Notification Was Made
to the Required Regional Office Personnel:
Identify Where the Alleged Conduct Occurred:
Identity the Accuser (the Person Who Made the Allegation
(include name, job title, series, grade and the
person’s work unit)):
Identity of the Accused (the Person Who the Allegation is Against
(include name, job title, series, grade and the
person’s work unit)):
Identity of Designated Inquiry Official:
Relevant Additional Information (if any):
See Examples Below:
1.
The accused employee is currently on detail to Region 20 during the period
11/01/2013 through 01/31/2014.
2.
The accused employee was a seasonal employee when the alleged misconduct
occurred and his current appointment expired on 01/01/2014.
3.
The accusing employee is not a Region 5 employee. She works for the Bureau of
Land Management and shares a common workplace with the accused.
Allegation(s) of Inappropriate Conduct:
See Examples Below:
1.
Did acting supervisor, Mr. Billy Gruff, send an email to a subordinate employee, Ms.
Red Riding-Hood, requesting that she meet him away from the workplace on her
personal time?
2.
Did acting supervisor, Mr. Billy Gruff, repeatedly send Ms. Riding-Hood text
messages requesting that she go out with him?
3.
Did acting supervisor, Mr. Billy Gruff, approach Ms. Riding-Hood in the workplace
and question her about failing to respond to his text messages requesting that she
go out with him?
4.
Did acting supervisor, Mr. Billy Gruff, whistle at Ms. Riding-Hood and lift his
eyebrows at her suggestively in the workplace?
Relevant Background About the Allegation(s) (if any):
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List of Witnesses Interviewed (include job title, series, grade, and the employee’s work
unit):
See Examples Below:
1.
Mr. Rhett Butler, job title, series, grade, and work unit
2.
Ms. Scarlett O’Hara, job title, series, grade, and work unit
3.
Mr. Ashley Wilks, job title, series, grade, and work unit
4.
Ms. Millie Wilks, job title, series, grade, and work unit
List of Documents Reviewed (include description and date of document, if any):
See Examples Below:
1.
Region 5 Policy on the Prevention of Sexual Harassment dated June 17, 2010
2.
Email from Mr. Butler to Ms. O’Hara dated May 2, 2011, Subject: Possible Changes
in Duty Assignments
3.
Statement from R. Butler dated May 7, 2011
4.
Statement from A. Wilks dated May 7, 2011
5.
Statement from M. Wilks-Hood dated May 7, 2011
Summary of Statements:
Findings:
_____________________________________ ____________________
(SIGNATURE OF DESIGNATED INQUIRY OFFICIAL (DATE)
End - 1765.06 - Exhibit 06
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1765.06 - Exhibit 07
Guidelines for Determining Whether to Conduct a Management Inquiry or a Misconduct
Investigation
NATURE OF ALLEGED MISCONDUCT
Isolated incident - Use of comments or jokes that
denigrate, or show insensitivity to an individual’s
sex, including remarks of a sexual nature
INVESTIGATION TYPE
Inquiry only
*Multiple instances and alleged perpetrator
admits allegations - Use of comments or jokes that
denigrate, or show insensitivity to an individual’s
sex, including remarks of a sexual nature
Inquiry only
*Multiple instances and alleged perpetrator denies
allegations - Use of comments or jokes that
denigrate, or show insensitivity to an individual’s
sex, including remarks of a sexual nature
Investigation
Inappropriate and/or unwelcome actions,
gestures, or display of visual material of a sexual
nature
* Isolated incident of short duration involving few
perpetrators
*Severe circumstances, multiple perpetrators, or
multiple instances
Inquiry only for isolated incidents. Investigation for
severe circumstances.
Inappropriate and/or unwelcome touching or
other physical contact
* Mild, isolated incident having minimal impact on
survivor
*Significant impact on survivor or multiple
instances
Inquiry only for mild, isolated incidents.
Investigation for significant impact.
Pressure for sexual favors, or official action based
on the granting of, or failure to grant, sexual favors
(includes sexual favoritism)
Investigation
Note: A charge of misconduct may be substantiated based on the results of an informal inquiry
or a formal investigation. Corrective/disciplinary action may be taken in response to either.
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1765.06 - Exhibit 08
REVISED PREVENTION OF SEXUAL HARASSMENT (POSH) ONE-ON-ONE SPECIALIZED
TRAINING PROTOCOL
OBJECTIVE
To develop and provide tailored consistent specialized training for employee(s) who have
engaged in acts of sexual harassment, reprisal/retaliation, or any manager or supervisor failing
to take prompt and appropriate action to address reports or knowledge of sexual harassment in
accordance with United States Department of Agriculture (USDA) Forest Service (FS)
regulation. The training is intended to educate employees and managers to make them aware of
behavior which is unwelcome in the workplace, and to reinforce their knowledge regarding their
rights, roles and responsibilities.
PROGRAM DEVELOPMENT
Logistics (Staffing/Location):
Specialized training will be conducted in a neutral location within a reasonable commute
distance of the employee(s) unit or the Regional Office.
The Forest Service will contract with vendors whose training programs were previewed by the
Regional Federal Women’s Program Manager (FWPM) and the Deputy Director, Civil Rights
(DDCR), to provide consistent specialized training to Region 5 employees. The training will be
based upon the information contained in the report of investigation resulting from either an EEO
investigation, a management inquiry, or a misconduct investigation.
The unit Forest Civil Rights Officer (FCRO) or designee will work with the Federal Women’s
Program Manager (FWPM) and National Civil Rights Director to coordinate training dates, times
and location of training to schedule identified employee(s) and/or manager(s).
The vendor will provide a session syllabus for Regional Office review and approval by the
FWPM and the DDCR for each session.
TRAINING
Employees will receive tailored specialized training that explains why the exhibited unwelcome
behavior could constitute sexual harassment, and its impact on the receiver, workplace, and the
Agency.
When applicable, the vendor will explain to managers the impact of not taking immediate action,
and the effects it has on employees, and the Agency.
Employee must receive no less than 2 hours of training, unless determined otherwise by
responsible official(s) based upon information received on a particular case. The training will
occur within 30 calendar days of the receipt of the final decision letter or other formal
notification. The decision letter or other formal notification will include the following statement,
“As a preventive and educational tool, you will also be required to participate in
specialized one-on-one prevention of sexual harassment training.”
Employees receiving Letters of Warning will receive training. The training will be individualized
meaning one employee per session or a group session when necessary.
The following menu of training will be provided by contractors:
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1.
Review and issuance of Federal regulations and Agency policies that address the
prevention of sexual harassment.
2.
Clarification of the definition of sexual harassment.
3.
Explanation of the difference between harassment based on sex v. sexual
harassment.
4.
Discussion of the two types of sexual harassment
a.
Tangible Employment Action (Quid pro quo)
b.
Hostile work environment
5.
Identification of the behavior that constitutes sexual harassment (provide examples).
6.
Discussions designed to prevent and stop behavior that could potentially constitute
sexually harassing behavior.
7.
Discussion and explanation of the Region’s Prevention of Sexual Harassment Policy
and its zero tolerance for reprisal/retaliation.
8.
Discussion of supervisor/employee individual responsibility and potential liability.
9.
Discussion of conduct unbecoming a Government employee (on and off duty).
10. Discussion of the Region’s Prevention of Sexual Harassment Policy and its zero
tolerance for sexual harassment- (Sexual harassment in any form will not be
tolerated).
11. Explanation of the consequences resulting from unwelcome behavior in accordance
with the disciplinary guidelines.
12. Review of official roles, responsibilities and liabilities of supervisors will be detailed.
TRAINING EVALUATION
The contractor will advise the FWPM and/or designee of the employee(s) response to the
information provided during the training session. The FWPM or designee will follow up with
employee(s) to discuss training information and determine whether or not the training was
successful based on whether or not employee has a clear understanding of why the exhibited
behavior could constitute sexual harassment.
The FWPM or designee will also report to the employee(s) manager or those with a need to
know regarding the success or failure of the specialized training.
The FWPM or designee will monitor reports of sexual harassment, and specifically will note any
employee with recurring behavior of sexual harassment and provide information to those with a
need to know for action.
PROGRAM EVALUATION
The specialized one-on-one POSH training will be considered effective if the employee
demonstrates modified behavior following the training and there is no reoccurrence
REPORTING REQUIREMENTS
Annual reports in the area of specialized one-on-one POSH training will be provided to the
Regional Civil Rights Director. The information will include name and gender of employee,
status as supervisor or non-supervisor, series, grade, adverse action, date of final decision, type
of misconduct, and date of training, length of training and course outline, and employee unit.
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The syllabus for each individual session will he maintained in the Regional Office CR files.
PROGRAM COSTS
Each unit will be responsible for the payment of the costs for the specialized one-on-one POSH
training for their employee(s) and manager(s).
End - 1765.06 - Exhibit 08
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