COMMITTEE OF INVESTIGATION GUIDELINES AND PROCEDURES MANUAL
COMMITTEE OF INVESTIGATIONGUIDELINES ANDPROCEDURES MANUAL109443Prepared by the Office of the General Counselin conjunction with the Legal Rights Committee of the National Executive Council9 29 2004
TABLE OF CONTENTSPageDo and Don't.1Introduction.1The Disciplinary Process .2What a Charge Is and Who Can Bring It .2Role of the Committee of Investigation .3How to Conduct an Investigation .3Time Frame for Investigations.4Rights of the Accused/Charged Party .4What a Committee Does With Its Findings .5Finding Probable CauseCommittee of Investigation Constitutedby a Local .5Committee of Investigation Appointedby the National President .5Finding No Probable CauseCommittee of Investigation Constitutedby a Local .5Committee of Investigation Appointedby the National President .5AttachmentsAttachment A Sample Certified Letters of Charges .6Attachment B Article IX, Section 5(d) and 5 (e).7Attachment C Article XXIII, Sections 2 3.8Attachment D Statutes and Regulations .9
DO and DON'T1.DODON'TDo file charges on disciplinary matters.1. Don't file charges on conduct related toelections (complaints about which must be filedas election protests).2. Do specifically describe the alleged mis conduct.3. Do complete the investigation and dismissor prefer the charges and issue a report within120 days of the filing of the charges.4.Do send the charges by certified mail.5. Do select members for the committee whodo not include: the charged party, the chargingparty, any member of the trial committee, anyExecutive Board member, or anyone directly orindirectly involved in the matter.6. After the committee of investigation prefersthe charges, do select all members of the Execu tive Board (minus involved members) to serveas a trial committee or elect a trial committee atthe next regular membership meeting or at aspecial meeting at least five days later.7. Do send the notice of trial to the chargedparty by certified mail at least two weeks beforethe trial.2. Don't file charges by just using the list inArticle XXIII, Section 2 of the AFGE NationalConstitution (the conduct must be specified indetail).3. Don't ignore time limits (such as those setforth in #3, #6, and #7 above or the requirementfor a prompt trial – within 180 days of thepreferring of the charges).4. Don’t have any member of the ExecutiveBoard on the committee of investigation.5. Don't send charges and notices by regularmail (always send notice of trial by certifiedmail).6. Don't use the same people to both investi gate and adjudicate the case (no member may beon both the committee of investigation and thetrial committee).7. Don't disclose witnesses' names or informa tion obtained during the investigative stage(which should be confidential until trial, exceptinformation and names set out in the notice ofcharges).INTRODUCTIONYou have been appointed to a committee ofinvestigation, by your own local, council, or byAFGE's National President. The Federationrecognizes the seriousness of this process, andhas developed this guide to help you. This guideexplains AFGE's disciplinary procedures, theoperation of the committee, and your responsi bilities as a member of the committee. Throughthe use of this guide we believe you will be ableto conduct the investigation with fairness, con sistency, and justice, dismissing the chargeswhen warranted and preferring charges whennecessary. We thank you for the time and thework you will be committing to this process.
THE DISCIPLINARY PROCESSArticle XXIII of the AFGE National Con stitution sets out the procedures for filing andprocessing disciplinary charges within a local orcouncil. Disciplinary actions should be under taken only as a last resort, and only after theconcerned members have made an honest effortto resolve their differences in other ways, suchas by conflict resolution, by mediation throughan outside party, or with the assistance of theDistrict Office. When other means have failed,this manual is designed to assist in the openingsteps of this process.Article XXIII disciplinary procedures areapplicable to elective officers and to members,not to those holding appointive offices. If theconstitution/bylaws provide that the office isappointive rather than elective, then the author ity to appoint is the authority to remove, andArticle XXIII does not apply.The disciplinary process begins when amember files charges against another member oran officer of his/her local. The member bringingthe charge must file with the local where theaccused/charged party holds membership or thecouncil of which the accused is an officer. Thepresident of that local (or council) will thenappoint the members of the committee of inves tigation. However, if the charges are against thepresident (or if the president brings the chargesor is otherwise directly involved in the circum stances giving rise to the charges), then a major ity of the local's Executive Board appoints thecommittee members. If the charges are against amember of the Executive Board, that ExecutiveBoard member may not vote in the selection ofthe committee. The charging party, the chargedparty, members of the Executive Board, and anyperson directly or indirectly involved in thecircumstances may not be a member of thecommittee. If the charges are against the entireExecutive Board, then the National Vice Presi dent who has jurisdiction over that local mayinvestigate the charges and, if finding probablecause, may prefer the charges. Finally, underthe authority of Article IX, Section 5(d) or 5(e)of the AFGE National Constitution, the NationalPresident may appoint a committee when, based109443upon a showing made by either the charging orthe charged party, and a recommendation ofthe NVP, he determines that the conditionswithin a local are such that it cannot conduct afair and impartial investigation.If the committee of investigation finds suf ficient evidence to support the charges, it preferscharges against the accused, and the union bodyestablishes a trial committee. Neither thecommittee of investigation nor the trial com mittee can include the complainant(s) or thecharged party, or members of the othercommittee, and each committee must beotherwise impartial. The committee of inves tigation cannot include any member of theExecutive Board. The trial committee thenconducts a trial of the charged party, and if itfinds the accused guilty of any of the charges, itpresents its findings to the union membership fora vote. If the membership votes for an adverseaction against the disciplined member, thedisciplined member may appeal to the NationalExecutive Council. If the NEC does not over turn the action of the membership, the disci plined member may appeal further to the nextAFGE National Convention.WHAT A CHARGE ISAND WHO CAN BRING ITUnder the AFGE National Constitution(Article XXIII), any member may bring chargesagainst a fellow member or officer. However,members should undertake charges againstmembers or officers of the union at any level ofthe organization only as a serious and deliberateact for the purpose of righting willful miscon duct or gross negligence.No particular words are necessary in ex pressing any particular charge, but the membermust state the allegation and its relationship toany specified offense so that a committee ofinvestigation reasonably may understand thewords as used in their ordinary meaning. Thecommittee will not infer charges from merePage 2 of 119 29 2004
conclusions or allegations of wrongdoing whichof themselves do not state the essence of atriable offense. The list of trial offenses is setforth at Article XXIII, Section 2 (AttachmentA).Charges against officers must relate directlyto the official duties and responsibilities of theposition of the officer in his/her capacity as anofficial of AFGE. The charges must containallegations of fact which, if true, constitute actsor omissions of a serious nature that exceed orare contrary to the authority of the officer. Actsor omissions which fall within the area ofjudgment and discretion in the performanceof official duties cannot constitute a legalbasis for triable charges, unless the officerundertakes those acts or omissions with suchrecklessness and disregard of authority as toconstitute a clear abuse of discretion.means some credible evidence to support thecharges against the charged party. Constitu tional offenses are listed in Article XXIII, Sec tion 2 of the AFGE National Constitution (seeAttachment B). The committee shall investigatethe actual charges as filed, and may not gobeyond the scope of those charges. That is, itcannot go on a "fishing expedition" to find newimproprieties not included in the charges asfiled.HOW TO CONDUCT AN INVESTIGATIONROLE OF THE COMMITTEEThe committee may investigate the chargesby initially interviewing orally or in writing eachcomplainant, each charged party if appropriate,and such other persons as it deems necessary todetermine if good and sufficient grounds existfor finding probable cause on each charge. Thecommittee may inform the charged parties of thecharges against them, if appropriate, and advisethat the committee will seek interviews withthem at the proper time. The committee haswide discretion in scheduling witnesses forinterviews and in reviewing material. Obvi ously, the committee should schedule the com plainants first so they may clarify their chargesand present supporting evidence. In turn, thecommittee usually should provide an opportu nity for each of the charged parties to provideevidence to refute the charges. In this regard,the committee's role is one of fact finding, andno party has a right to representation during theinvestigation. At the same time, the committeeshould not take the refusal of a charged party toappear or to produce documents as an admissionof guilt. The committee should include with itsreport a recording or transcript of the testimonyof each witness, for the use of any subsequenttrial committee and prosecutor.The committee of investigation is a fact finding body charged with the responsibility toelicit and review evidence relevant to the writtencharges. It conducts oral interviews and reviewssworn written statements, records, minutes,documents, reports, and all related evidence inthe course of the investigation. It determineswhether there is probable cause that the chargedparty committed an offense. Probable causeIf the committee finds probable cause, itthen should attempt to settle the matter infor mally. That is, it tries to reach a written settle ment with the charged party, in which thecharged party agrees to take actions that satisfythe committee in exchange for its dropping thecharges. This may include changes in conduct,resignation from office, restitution to the local,or even resignation from membership. If theAdditionally, non criminal acts or omis sions of officers or members which take placeduring an election campaign are not actionable(cannot be brought) as disciplinary offenses.Therefore, if it is believed that a non criminalconstitutional offense has taken place during anelection campaign, the sole mechanism forredress is an election appeal. Violations ofeither the AFGE Rules of Conduct for an Elec tion (Appendix A of the AFGE National Consti tution) or constitutional provisions governingelections are only considered in the context ofelection protests and appeals pursuant to Appen dix A, Part III, rather than Article XXIII.Charges against national officers are proc essed in accordance with Article XIII, Section 7of the AFGE National Constitution.109443Page 3 of 119 29 2004
parties settle the matter, then the disciplinaryprocess ends there. Of course, failure on the partof the charged party to abide by the agreementwould be a basis for new charges.Especially in investigations involving al leged financial mismanagement, it is vital thatthe committee of investigation obtain all bankand credit union records, the minutes of allregular and Executive Board meetings, and theannual budget, in order to determine whether,and to what extent, evidence exists in support ofthe allegations.Department of Labor Standards of ConductRegulations, incorporating by reference theLabor Management Reporting and DisclosureAct of 1959, are clear on the fiduciary responsi bility of officers of labor organizations. If thecommittee of investigation determines that therehas been a theft or similar criminal conduct, thecommittee must report the information in writ ing to the nearest field office of the Office ofLabor Management Standards, U.S. Departmentof Labor; to the National Vice President of theDistrict within which the local belongs; and toAFGE's Office of the General Counsel.Those who contemplate bringing charges,as well as those who serve on a committeeinvestigating the charges, should bear in mindthat all members have certain statutory andregulatory rights, including rights of free speechand dissent. The mere exercise of the right todissent cannot be the basis of charges.While the investigation is ongoing, thecommittee should not reply to any questionsabout its findings or how the investigation isproceeding. If the committee itself has ques tions regarding any aspect of its investigation, itmay contact AFGE's Office of the GeneralCounsel. If the committee makes a finding ofprobable cause on any charge, the committeeshall seek, if warranted, any proposed informalsettlement.Finally, if finding probable cause, thecommittee should prepare a report for the trialcommittee and prosecutor, outlining the evi 109443dence and testimony of witnesses and the rela tionship of each to the specific charge(s).TIME FRAME FOR INVESTIGATIONBy constitutional mandate, the local orcouncil committee of investigation shall com plete the investigation within 120 days of thefiling of the charges. Only extraordinary cir cumstances justify an exception to this timelimit, such as when the charged party challengesthe composition of the investigation committee,and a new committee is selected with a newdeadline. If the investigation is not completedwithin 120 days of the filing of charges, underArticle XXIII, Section 3, the charging partyshould contact the National Vice President,because the local or council committee of inves tigation loses jurisdiction on the 121st day.The deadlines set forth in Article XXIII ap ply to local and council committees of investiga tion and trial committees. They do not apply toindependent committees appointed by the Na tional President under Article IX, Section 5.RIGHTS OF THE ACCUSED/CHARGEDPARTYThe accused/charged party has the right,during the conduct of the investigation, to a copyof the charges being investigated (but the com mittee has it within its discretion to sanitize thename of the charging party). After the investiga tion ends, if the committee of investigationprefers charges, the accused has the right to, andmust receive, a copy of those charges as well.The charges must be sufficiently specific toallow a defense. The charged party has the rightto a minimum of two weeks from the mailing ofthe preferred charges to the beginning of thetrial.The charged party does not have the right toa copy of any other information gathered by thecommittee during the course of the investigation,particularly a list of witnesses and their state ments, because such information often is confi dential, and because the committee often doesnot rely upon it. Of course, the accused willreceive at the trial a copy of any documentation,Page 4 of 119 29 2004
such as witness statements, introduced at thetrial to support the charges. In addition, if awitness testifies, the charged party has a right toreceive and review in advance a copy of all ofthe witness' previous statements.WHAT A COMMITTEE DOES WITH ITS FINDINGScalled upon to prosecute the charges against theaccused at trial.1. FINDING PROBABLE CAUSE(a) COMMITTEE OF INVESTIGATIONCONSTITUTED BY A LOCAL:When the local has constituted the commit tee, and the committee has not been able to settlethe matter informally, the committee shall servethe charges upon the accused, in writing, byregistered or certified mail to the chargedparty's last known address, and the committeealso shall serve the local at its office or addressof its highest ranking officer. Such charges shallcontain an allegation of the facts describing thenature of the offenses charged. It is then theresponsibility of the local to conduct a trialpursuant to Article XXIII, Section 4 of theAFGE National Constitution.(b) COMMITTEE OF INVESTIGATIONAPPOINTED BY THE NATIONALPRESIDENT:When the National President appoints thecommittee, the committee shall refer to theOffice of the General Counsel its investigativefile, including all relevant evidence, its detailedfactual finding of whether probable cause existson each charge, and any proposed settlements.The General Counsel will review the findings ofthe committee and all supporting documents.The General Counsel then will advise the Na tional President as to whether legally sufficientgrounds exist for a finding of probable cause oneach charge, as to the legal sufficiency of anyproposed settlement agreement, and as to theneed for a trial.After a finding of probable cause, it is notuncommon, when the matter goes to trial, that amember of the committee of investigation is1094432. FINDING NO PROBABLECAUSE(a) COMMITTEE OF INVESTIGATIONCONSTITUTED BY A LOCAL:When the committee of investigation doesnot find probable cause, it dismisses the chargeswith notice to the charged party's last knownaddress, and the committee also serves the localExecutive Board and the charging party.(b) COMMITTEE OF INVESTIGATIONAPPOINTED BY THE NATIONALPRESIDENT:When the committee of investigation doesnot find probable cause, the committee shallrefer to the Office of the General Counsel itsinvestigative file, including all relevant evi dence, and its detailed factual finding regardingprobable cause. The National President willdismiss the charges with notice to the chargedparty's last known address, and also serves thelocal at its office or address of its highest rank ing officer and the charging party.A committee of investigation's finding of noprobable cause or a trial committee's decisionexonerating the charged party shall not besubjec
PROCEDURES MANUAL Prepared by the Office of the General Counsel . investigation, by your own local, council, or by . Additionally, non criminal acts or omis sions of officers or members which take place during an election campaign are not actionable (cannot be brought) as disciplinary offenses. Therefore, if it is believed that a non criminal constitutional offense has taken place .
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