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FOREST SERVICE MANUAL
ALASKA REGION (REGION 10)
JUNEAU, ALASKA
FSM 6100 – PERSONNEL MANAGEMENT
CHAPTER 6170 – PERSONNEL RELATIONS
Supplement No.: R-10 6100-2006-7
Effective Date: June 9, 2006
Duration: This supplement is effective until superseded or removed.
Approved: /s/ Mary Anne Young (for)
DENNIS E. BSCHOR
Regional Forester
Date Approved: 05/18/2006
Posting Instructions: Supplements are numbered consecutively by title 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. The last supplement to this title was R-10
6100-2660-6 to chapter 6150.
New Document
6170
9 Pages
Superseded Document(s) by
Issuance Number and
Effective Date
6170 (6100-94-1, 2/11/94)
9 Pages
Digest:
6172.1: Renumbers sections.
6174.04: Corrects code to conform with parent text.
6174.04c: Corrects code to conform with parent text.
Updates staff names.
Replaces Personnel and Civil Rights (PCR) with Human Resources (HR).
This supplement converts the format and style of this chapter to the new FSM template using the
agency’s current corporate word processing software.
R-10 SUPPLEMENT 6100-2006-7
EFFECTIVE DATE: 06/09/2006
DURATION: This supplement is effective until superseded or removed.
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6172.1 - Employee Misconduct
6172.11 - Investigations
3. Policy. Conduct investigations of employee misconduct within the standards and
guidelines contained in FSM 1450 and FSH 6109.41, DPM 751, subchapter 3. Maintain
confidentiality about ongoing investigations and their details, limiting information to those who
need to know.
4. Responsibility.
a. Law Enforcement and Investigations.
(1) It is the responsibility of the Special Agent-in-Charge to:
(a) Manage and direct the Regional law enforcement program in accordance with
FSM 5300 and the Region 10 Law Enforcement Management Plan.
(b) Coordinate with the Director of HR on investigations requiring administrative
action.
(c) Act as Regional coordinator with the Office of Inspector General (OIG) and the
contact point with that office for the coordination and conduct of investigations
involving OIG.
(d) Order and conduct all investigations involving allegations of criminal misconduct
by any employee within the Region as authorized by OIG, or in accordance with
other appropriate delegation. If criminal prosecution is declined, any subsequent
fiscal liability investigation will be conducted by the Office of Financial Management
(OFM).
(e) Serve as the Regional "hot line" complaint coordinator. The coordinator is
responsible for receiving and processing all whistleblower complaints. This includes
investigation of complaints under the direction of the RO, and notification to the WO
hotline coordinator.
b. Human Resources.
(1) Staff Director. It is the responsibility of the Director of HR to:
(a) Order all investigations involving allegations of noncriminal misconduct for any
permanent employee in the Region, up through GM-13, and request investigation
from the WO for GM-14 and above.
R-10 SUPPLEMENT 6100-2006-7
EFFECTIVE DATE: 06/09/2006
DURATION: This supplement is effective until superseded or removed.
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(b) Determine needed investigation level for any employee misconduct cases referred
by the Regional Special Agent-in-Charge (RSAIC) and acts accordingly.
(c) Develop and maintain the internal investigating resources needed within the
Region to effectively and efficiently conduct noncriminal misconduct investigations.
(d) Coordinate with Director of OFM, on investigations having potential for fiscal
liabilities.
(e) Provide qualified investigator(s) in response to Forest Supervisor/Staff Director
requests.
c. Supervisory HR Specialist, ER/LMR. It is the responsibility of the Supervisory
HR Specialist, ER/LMR to serve as the Regional Coordinator for Employee
Misconduct Investigations (EMI) for investigations delegated to the Director of HR.
d. Forest Supervisors and RO Staff Directors. It is the responsibility of each Forest
Supervisor and RO Staff Director to:
(1) Conduct inquiries and/or investigations of employee misconduct for temporary
employees.
(2) Refer any case to the Regional Special Agent-in-Charge for determination of
further action when:
(a) There is an allegation of criminal misconduct, or
(b) Referral to OIG is required (FSM 5300).
(3) Refer all allegations of noncriminal misconduct by unit employees to the EMI
Coordinator, or Director of HR for inquiry and investigation.
(4) Refer potential liability to Director of OFM.
e. Supervisors. It is the responsibility of every supervisor, regardless of number or
type of employees supervised, to:
(1) Initiate action to document and correct attendance, conduct, and performance
problems involving employees within their supervision.
(2) Initiate inquiries into misconduct allegations and consult with higher supervisory
levels when appropriate action is not clear.
f. Employees. It is the responsibility of each employee to:
R-10 SUPPLEMENT 6100-2006-7
EFFECTIVE DATE: 06/09/2006
DURATION: This supplement is effective until superseded or removed.
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(1) Provide information to authorized investigators, if an investigation relates to an
official matter, and the information is obtained in the course of employment, or as a
result of relationships incidental to USDA employment. This includes the furnishing
of a signed sworn or affirmed statement.
(2) Report immediately extortion, or offers/acceptances of bribes to OIG (FSM
5321.11).
5. Definitions.
Allegations of High Consequence. Allegations of high consequence include those
that have potential for suspensions of over 14-working days, and removal.
Disciplinary action for a line officer or other management official, pose a direct threat
to the health, safety and welfare of employees, or the public, or have a potential for
significant media attention and/or Congressional interest.
Allegations of Moderate Consequence. Allegations of moderate consequence include
those with potential for suspensions of up to 14 days, or written reprimands for one or
more employees which affect the working environment of employees, or have
potential for local media interest.
Allegations of Minor Consequence. Allegations of minor consequence include
misconduct that could be corrected with a verbal, or written warning to an employee,
or have minimal effect on other employees.
Allegations of Misconduct. These include:
(1) Written or oral allegations known to management.
(2) Allegations made in the absence of a "formal complaint."
(3) Allegations known as a result of a complaint.
(4) Allegations stemming from an anonymous or known source.
Management. Any supervisor, from first line supervisor at a Ranger District through
the Regional Forester.
Inquiry. The preliminary fact-finding process that determines if a full investigation is
required or needed. This includes the gathering of normal business documents such
as travel claim forms, time and attendance reports, discussions with unit employees,
and reviewing other available material. This does not include taking written or sworn
statements from employees or non-employees.
R-10 SUPPLEMENT 6100-2006-7
EFFECTIVE DATE: 06/09/2006
DURATION: This supplement is effective until superseded or removed.
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6. Subject For Noncriminal Misconduct Investigations.
a. Examples of employee misconduct appropriate for these investigations may
include:
(1) Absence without leave or other attendance problems.
(2) Conducting personal business during duty hours.
(3) Fighting, threatening, or using abusive language to coworkers, supervisors, or the
public.
(4) Refusal or failure to follow instructions, procedures, or policy.
(5) Sexual harassment or other types of harassing behavior such as that based on
race, ethnicity, age, religion, disability, and so forth, with the exception of EEO
complaint investigation process.
(6) Neglect of duty.
(7) Misuse of Government vehicles, or other Government property.
(8) Use of Government property for other than official purposes.
(9) Abuse of alcohol or drugs.
(10) Conflict of interest, or the appearance thereof.
(11) Abuse of supervisory authority.
If the investigation indicates misconduct may be criminal in nature, the case shall be
referred to the Regional Special Agent-in-Charge.
b. The following types of investigations shall not be processed under procedures for
noncriminal misconduct investigations:
(1) Violations of Law for Which Criminal Prosecution May Result. Immediately
forward to the Regional Special Agent-in-Charge, all allegations of such misconduct.
Examples of this type of misconduct include:
(a) Theft of Government property.
(b) Misuse or embezzlement of Government funds.
R-10 SUPPLEMENT 6100-2006-7
EFFECTIVE DATE: 06/09/2006
DURATION: This supplement is effective until superseded or removed.
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(c) Possession or sale of controlled substances.
(d) Submission of false claims, or falsification of Time and Attendance Reports, for
purposes of personal gain.
(2) Investigations of EEO Complaints. USDA Office of Personnel, Employee
Appeals Staff has retained authority for these investigations.
(a)Questions regarding the appropriate type of investigations will be directed to the
EMI Coordinator.
7. Assignment of Investigators.
a. Forest Supervisors and Staff Directors shall request an investigation from the EMI
Coordinator via telephone, or electronic mail, within the timeframes contained in
section 6.
b. The EMI Coordinator shall assign employees duly authorized by the USDA and the
OIG, in accordance with FSH 6109.41, DPM 751, subchapter 3, to conduct
investigations into allegations of potential high or moderate consequence misconduct
cases for career-conditional or probationary employees.
(1) Special Agents (Criminal Investigator series GS-1811), are not normally be
assigned to conduct noncriminal misconduct investigations. Agents shall conduct
such investigations only upon the request of the EMI Coordinator with approval of
the Regional Special Agent-in-Charge.
(2) Investigators normally will not be assigned by either the Special Agent-in-Charge,
or the Director of HR, to conduct investigations in their own Unit.
c. The EMI Coordinator shall issue a written authorization to the investigator to
conduct a specific noncriminal misconduct investigation, in advance of any
investigative action. This will normally be through the electronic mail.
d. The unit requesting the investigation shall pay all costs, including travel and per
8. Investigation Timeframes. If investigations are extended beyond normal timeframes,
notify the Director of HR, or the Regional Special Agent-in-Charge, Law Enforcement and
Investigation, as appropriate, who will negotiate the new timeframes. Initiate inquiry and
investigation within the following timeframes.
a. Allegations of Potentially High Consequence. Initiate inquiry and request for
investigation within 24 hours. Investigation will normally be completed within 3
weeks.
R-10 SUPPLEMENT 6100-2006-7
EFFECTIVE DATE: 06/09/2006
DURATION: This supplement is effective until superseded or removed.
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b. Allegations of Potentially Moderate Consequence. Initiate inquiry and request for
investigation within 5 days of receipt. Investigations will normally be completed
within 3 weeks.
c. Allegations of Potentially Minor Consequence. Initiate inquiry within 5 days of
receipt. An investigation, if needed, should be requested within 10 days of
completion of inquiry. Investigation will normally be completed within 30 days.
9. Conduct of Investigation.
a. Conduct investigations in accordance with requirements of FSH 6109.41, DPM
751, subchapter 3, unless otherwise approved.
10. Investigation Reports.
a. Investigation reports shall include:
(1) Title page, listing unit and subunit of investigation location, inclusive dates of
investigation, and name of investigator(s).
(2) Summary page, listing statement of allegation(s) being investigated and a
summary of finding(s) for each allegation.
(3) Index page listing all statements and other documents included in the report.
(4) Legible copies of all statements and relevant documents obtained during the
investigation.
b. Investigation reports should not contain recommendations by the investigator.
c. Investigators shall send the original and one copy of the report directly to the EMI
Coordinator at the conclusion of the investigation. The EMI Coordinator makes
further distribution as appropriate.
R-10 SUPPLEMENT 6100-2006-7
EFFECTIVE DATE: 06/09/2006
DURATION: This supplement is effective until superseded or removed.
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11. Administrative Action Resulting from Employee Misconduct. Forest Supervisors
shall process administrative action, if indicated by the results of the investigation, in a timely
manner in accordance with delegated adverse action authority and FPM/DPM 751 and 752.
Report administrative action to the EMI Coordinator. The EMI Coordinator will review all
investigation reports and clear for Forest action within 10 workdays of receipt. No
administrative action may be taken because of the investigation report until the Forest receives
clearance to do so.
12. Rights of Employees and Consequences of Failure to Cooperate.
a. Employees have the right to representation, if they so request, when questioned
during an official inquiry. Employees in bargaining units have additional
representation rights as defined in the controlling labor agreement.
b. Failure to cooperate with an investigation may constitute the basis for disciplinary
action.
c. Employees have the right to be protected from reprisal for cooperating with
investigators.
6174 – EMPLOYEE RESPONSIBILITIES AND CONDUCT, SUITABILITY, AND
SECURITY
6174.04 - Responsibility
6174.04c - Regional Foresters, Station Directors, and Area Director, Institute
Director, and Washington Office Personnel Management Staff Director
The following positions are required to file form SF-450, Confidential Financial Disclosure
Report, within 30 days of appointment to the position and annually thereafter by September 1:
Deputy Regional Forester
Staff Director of Ecosystem Planning
Staff Director of Acquisition Management
Staff Director of Recreation, Lands, and Minerals
Staff Director of Forest Management
Regional Geologist
Forest Supervisors
Deputy Forest Supervisors
District Rangers
National Monument Managers
Forest Administrative Officers
Contracting Officers GS-11 and above
Budget Analysts GS-12 and above
R-10 SUPPLEMENT 6100-2006-7
EFFECTIVE DATE: 06/09/2006
DURATION: This supplement is effective until superseded or removed.
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This applies to new employees and employees who were assigned to a position requiring a
financial statement. The purpose of this requirement is to aid employees in avoiding conflict of
interest situations and to comply with the law. Complete and submit the SF-450 to the Director
of Human Resources (HR) within 30 days of the employee entering a covered position.
Each SF-450 shall be reviewed by the Director of HR or their designee for possible conflict of
interest, and questionable situations will be addressed immediately.
An annual reminder of this requirement will be issued by HR prior to the September 1 deadline.
Employees are responsible for requesting a determination on financial interests they obtain
between reporting dates.
The agency grievance procedure is available to employees who question the designation of their
position as requiring the submission of a statement.