U.S. Office of Special Counsel's Procedures for Assigning	 
Incoming Cases to and within Organizational Units (12-JAN-07,	 
GAO-07-263R).							 
                                                                 
The U.S. Office of Special Counsel (OSC) is an independent	 
federal investigative and prosecutorial agency. Its primary	 
mission is to safeguard the merit system in federal employment by
protecting employees and applicants for federal employment from  
prohibited personnel practices, especially reprisal from	 
whistleblowing. Individuals who believe that a prohibited	 
personnel practice, such as nepotism or obstruction of the right 
to compete for employment, has been committed may file complaints
with OSC. In addition, the agency operates a secure channel for  
federal whistleblowing disclosures of violations of law, rule, or
regulation; gross mismanagement; gross waste of funds; abuse of  
authority; and substantial and specific dangers to public health 
or safety. OSC's handling of cases has been publicized in the	 
media and concerns were raised about the assignment of two cases 
that involved alleged violations of the Hatch Act that OSC	 
officials appeared to handle differently from other such cases.  
This report responds to the request to provide information on	 
OSC's policies and procedures for assigning incoming cases to and
within its organizational units.				 
-------------------------Indexing Terms------------------------- 
REPORTNUM:   GAO-07-263R					        
    ACCNO:   A64844						        
  TITLE:     U.S. Office of Special Counsel's Procedures for Assigning
Incoming Cases to and within Organizational Units		 
     DATE:   01/12/2007 
  SUBJECT:   Federal employees					 
	     Federal legislation				 
	     Independent counsels				 
	     Information disclosure				 
	     Legal aid						 
	     Legal rights					 
	     Policy evaluation					 
	     Whistleblowers					 
	     Policies and procedures				 

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GAO-07-263R

   

     * [1]Results in Brief
     * [2]Background
     * [3]OSC Units Have Procedures for Assigning Cases
     * [4]Agency Comments
     * [5]Priority System for Prohibited Personnel Practice Cases
     * [6]Priority System for Whistleblower Disclosure Cases
     * [7]Priority System for Hatch Act Cases
     * [8]GAO's Mission
     * [9]Obtaining Copies of GAO Reports and Testimony

          * [10]Order by Mail or Phone

     * [11]To Report Fraud, Waste, and Abuse in Federal Programs
     * [12]Congressional Relations
     * [13]Public Affairs

United States Government Accountability Office

Washington, DC 20548

January 12, 2007 January 12, 2007

The Honorable John Conyers, Jr.
Chairman, Committee on the Judiciary
House of Representatives

The Honorable Barney Frank
House of Representatives

Subject: U.S. Office of Special Counsel's Procedures for Assigning
Incoming Cases to and within Organizational Units Subject: U.S. Office of
Special Counsel's Procedures for Assigning Incoming Cases to and within
Organizational Units

The U.S. Office of Special Counsel (OSC) is an independent federal
investigative and prosecutorial agency. Its primary mission is to
safeguard the merit system in federal employment by protecting employees
and applicants for federal employment from prohibited personnel practices,
especially reprisal from whistleblowing. Individuals who believe that a
prohibited personnel practice, such as nepotism or obstruction of the
right to compete for employment, has been committed may file complaints
with OSC. In addition, the agency operates a secure channel for federal
whistleblowing disclosures of violations of law, rule, or regulation;
gross mismanagement; gross waste of funds; abuse of authority; and
substantial and specific dangers to public health or safety. OSC also
provides advisory opinions and enforces Hatch Act restrictions on
political activities of individuals employed by the federal and District
of Columbia governments as well as certain state and local government
employees employed in connection with programs financed by federal funds.
Additionally, the agency enforces the rights of federal employees and
applicants for federal employment under the Uniformed Services Employment
and Reemployment Rights Act (USERRA) of 1994. A Special Counsel, appointed
by the President and confirmed by the Senate, heads the agency; the
current Special Counsel took office in January 2004. The U.S. Office of
Special Counsel (OSC) is an independent federal investigative and
prosecutorial agency. Its primary mission is to safeguard the merit system
in federal employment by protecting employees and applicants for federal
employment from prohibited personnel practices, especially reprisal from
whistleblowing. Individuals who believe that a prohibited personnel
practice, such as nepotism or obstruction of the right to compete for
employment, has been committed may file complaints with OSC. In addition,
the agency operates a secure channel for federal whistleblowing
disclosures of violations of law, rule, or regulation; gross
mismanagement; gross waste of funds; abuse of authority; and substantial
and specific dangers to public health or safety. OSC also provides
advisory opinions and enforces Hatch Act restrictions on political
activities of individuals employed by the federal and District of Columbia
governments as well as certain state and local government employees
employed in connection with programs financed by federal funds.
Additionally, the agency enforces the rights of federal employees and
applicants for federal employment under the Uniformed Services Employment
and Reemployment Rights Act (USERRA) of 1994. A Special Counsel, appointed
by the President and confirmed by the Senate, heads the agency; the
current Special Counsel took office in January 2004.

OSC's handling of cases has been publicized in the media and you raised
concerns about the assignment of two cases that involved alleged
violations of the Hatch Act that OSC officials appeared to handle
differently from other such cases. This report responds to your request to
provide information on OSC's policies and procedures for assigning
incoming cases to and within its organizational units. To meet this
objective, we reviewed OSC's written policies and procedures for
processing cases, which include procedures for assigning cases, and met
OSC's handling of cases has been publicized in the media and you raised
concerns about the assignment of two cases that involved alleged
violations of the Hatch Act that OSC officials appeared to handle
differently from other such cases. This report responds to your request to
provide information on OSC's policies and procedures for assigning
incoming cases to and within its organizational units. To meet this
objective, we reviewed OSC's written policies and procedures for
processing cases, which include procedures for assigning cases, and met
with OSC officials knowledgeable about these procedures. We describe the
assignment procedures for the four major types of cases but, because of
long-standing GAO precedent and policy, we do not highlight specific
cases. We conducted our review in Washington, D.C., from December 2005 to
November 2006 in accordance with generally accepted government auditing
standards.

Results in Brief

Under OSC's procedures, the agency receives complaints, matters,
disclosures, and requests for opinions through electronic media, by mail,
or by fax. These generally come to the Document Control Branch before
being sent to one of four units--Complaints Examining, Disclosure, Hatch
Act, and USERRA--for further review and assignment. For complaints
alleging prohibited personnel practices, the Document Control Branch
typically screens the information to identify such information as type of
complaint and complainant's name and opens a case file before forwarding
the case to the Complaints Examining Unit. For disclosure matters that are
filed electronically, the Document Control Branch is to open a case file
in OSC's data tracking system but is to refer disclosure matters that are
received via mail or fax to the Disclosure Unit before creating a case
profile. For alleged violations of Hatch Act and requests for opinions on
applicability of the act as well as USERRA complaints, OSC procedures call
for the Document Control Branch to forward information directly to the
respective unit chief who is responsible for reviewing the information,
opening a case file, and assigning the case. The Special Counsel, as head
of the agency, has authority and discretion to assign cases, but according
to OSC, in most cases, the Special Counsel delegates this authority to
unit chiefs, who are career staff. Within individual units, specific
procedures for assigning cases to individuals vary. Generally, the unit
chief makes an initial determination, among other things, as to whether
OSC has jurisdiction over the complaint or disclosure and assigns those
cases that fall within OSC's jurisdiction to a specific staff member or to
a supporting division for review after considering such factors as the
nature of the allegation and staff experience and workload. Cases that are
outside of OSC's jurisdiction are to be closed with a letter of
declination to the complainant.

Background

OSC derives its authority under the following federal statutes: the Civil
Service Reform Act of 1978,^1 the Whistleblower Protection Act of 1989,^2
the Hatch Act,^3 the Office of Special Counsel Reauthorization Act of
1994,^4 the USERRA Act of 1994,^5 and the Veterans Benefits Improvement
Act of 2004 (VBIA).^6 See enclosure I for a description of the applicable
provisions of the statutes.

OSC carries out its mission pursuant to these statutes by conducting
investigations of alleged prohibited personnel practices, attempting
informal resolution through discussion with the agency (or by offering
mediation), and when necessary, taking corrective or disciplinary action,
or both, before the Merit Systems Protection Board (MSPB).^7 OSC also
handles whistleblower disclosures, investigates and prosecutes alleged
Hatch Act violations and renders advisory opinions, and handles alleged
USERRA violations including representing claimants before the MSPB. In
fiscal year 2005, OSC reported receiving 1,771 prohibited personnel
practice complaints, 485 whistleblower disclosures, 245 Hatch Act
complaints, 30 USERRA referrals from the Department of Labor, and 111
USERRA complaints under the VBIA demonstration project.

OSC's current organizational structure includes the Immediate Office of
the Special Counsel, five operating units/division--the Complaints
Examining Unit, Hatch Act Unit, Disclosure Unit, USERRA/Special Projects
Unit, and the Investigation and Prosecution Division--and four supporting
offices--Alternative Dispute Resolution Program, Legal Counsel and Policy
Division, Management and Budget Division, and Training Office. OSC
maintains its headquarters office in Washington, D.C., and has four field
offices located in Dallas, Oakland (the San Francisco Bay Area Field
Office), Detroit (the Midwest Field Office), and Washington, D.C. Figure 1
outlines OSC's current organizational structure.

^1Pub. L. No. 95-454.

^2Pub. L. No. 101-12.

^3The provisions commonly referred to as the Hatch Act are found under
chapter 15 and subchapter III of chapter 73 of title 5.

^4Pub. L. No. 103-424.

^5Pub. L. No. 103-353.

^6Pub. L. No. 108-454.

^7MSPB is an independent, quasi-judicial agency in the executive branch
that serves as the guardian of federal merit systems.

Figure 1: OSC Organizational Chart

OSC tracks its workload across different case types through its
computerized system, known as "OSC 2000." This system is designed to
capture and record data on all case types from the initial filing of the
complaint, disclosure, or request for advisory opinion, until closure and
archiving of the file.

The current Special Counsel took office in January 2004 and announced a
reorganization on January 6, 2005, which implemented recommendations from
internal and external evaluations related to the agency's operations. The
Special Counsel noted that the reorganization was intended to address the
backlog of cases in all units and the cumbersome structure of three
separate Investigative and Prosecution Divisions.^8 Under the
reorganization, the Special Counsel directed the heads of most units to
draft standard operating procedures, which according to OSC officials are
expected to be incorporated into the agency's formal directive system by
the end of January 2007.

OSC Units Have Procedures for Assigning Cases

OSC units have procedures for processing cases, which includes assigning
complaints alleging violations of laws or disclosures of wrongdoing for
review or investigation or both. These procedures cover matters received
through the mail, by fax, and by electronic media and outline steps for
preliminary screening, creating a case file in OSC 2000, and initial
review of cases. The Special Counsel, as head of the agency, has authority
and discretion to assign cases, but according to OSC, in most cases, the
Special Counsel delegates this authority to unit chiefs, who are career
staff. In line with the reorganization as directed by the Special Counsel
in January 2005, the Disclosure Unit, the Hatch Act Unit, and the
Investigation and Prosecution Division developed new standard operating
procedures that included steps on assigning cases. According to OSC
officials, these new procedures are intended to provide guidance to staff
on case processing procedures based on recommendations from internal and
external evaluations of the agency's organization and operations.

Prohibited Personnel Practice Cases: The Complaints Examining Unit (CEU)
receives and conducts preliminary inquiries into allegations of prohibited
personnel practices. Complainants alleging prohibited personnel practices
are required to complete and submit either an electronic or paper copy of
OSC Form 11, "Complaint of Possible Prohibited Personnel Practice or Other
Prohibited Activity." Procedures call for the Document Control Branch to
receive electronic and paper filings of OSC Form 11 and to review the
information to ensure that it is not a duplicate of a previously received
complaint (i.e., electronic and paper copy of the same complaint). For new
complaints, information is entered into OSC 2000 and assigned a case
number, and the file containing the original documentation submitted by
the complainant and an OSC-generated case profile is forwarded to the
Chief, CEU, for review and further processing. OSC procedures for handling
duplicate complaints require the Document Control Branch to update OSC
2000 using the "additional information" code, prepare an updated profile,
attach it to the complaint, and send the file to the CEU.

^8For a discussion of OSC case backlog, see GAO, U.S. Office of Special
Counsel: Strategy for Reducing Persistent Backlog of Cases Should Be
Provided to Congress, [14]GAO-04-36 (Washington, D.C.: Mar. 8, 2004).

The CEU is to screen prohibited personnel practice complaints to determine
first that jurisdictional requirements are met. For example, among other
requirements, the complaint must concern a personnel action involving a
covered agency and must involve a covered position. The unit chief
determines the priority of the case, generally based on the seriousness of
the allegation, and assigns the case to a team leader for further review.
As a result of this review, those cases that are determined to have merit
are then referred to the Investigation and Prosecution Division, which
investigates and analyzes such cases to determine whether they warrant
seeking corrective and disciplinary action. (See enc. II for a description
of the priority system and enc. III on the procedures for assigning
prohibited personnel practice complaints.) The unit chief indicated that
the procedures for assigning cases have not changed substantially over the
years. Moreover, OSC officials indicated that the unit was already
implementing new procedures prior to the reorganization; therefore, major
changes in operating procedures were not necessary as a result of the
January 2005 reorganization.

Whistleblower Disclosure Cases: OSC's Disclosure Unit (DU) receives
whistleblower disclosure claims. As described by law, these consist of (1)
violations of law, rule, or regulation; (2) gross mismanagement; (3) gross
waste of funds; (4) an abuse of authority; or (5) a substantial and
specific danger to public health or safety. OSC reviews the information
within 15 days and determines whether there is a substantial likelihood
that the information discloses one or more of the above categories of
wrongdoing.^9 According to DU's standard operating procedures, disclosures
may be filed electronically, by mail, or by fax using either
correspondence or an OSC Form 12, "Disclosure of Information." Electronic
versions of OSC Form 12 would go directly to the Document Control Branch
where a case profile is to be prepared. Disclosures received by mail or by
fax are to be referred by the Document Control Branch to the DU before any
action is taken, such as creating a case profile in OSC 2000.

^9OSC defines substantial likelihood as the determination that the agency
is more likely than not to find the allegation substantiated at the
conclusion of its investigation.

Files received by the DU are reviewed by the unit chief to determine
whether the allegations constitute disclosures under the applicable
statutes and whether OSC has jurisdiction over the whistleblower, the
agency, or both. The unit chief prepares a worksheet, including such case
information as type of allegation, file number, and agency; this worksheet
is updated as the case moves through the process. The unit chief also
prepares a brief synopsis of the allegation and assigns a priority to the
case; this information is entered into OSC 2000. The case priority depends
on the nature of the allegation. For example, cases that appear to meet
the definition of substantial likelihood that a violation has occurred and
disclose substantial and specific dangers to public health or safety would
be identified as Priority 1A. Others appearing to meet the substantial
likelihood definition but not involving allegations of public health or
safety dangers would be identified as Priority 1B. Both types of cases
would be reviewed before other disclosure cases. After assigning a
priority, the chief assigns the case to an attorney within the DU for
further review, to contact the whistleblower, and make a recommendation
regarding the substantial likelihood determination for the Special
Counsel's consideration. (See enc. II for a description of the priority
system for disclosure cases.)

Hatch Act Cases: The Hatch Act Unit handles requests for advisory opinions
about applicability of the Hatch Act as well as complaints alleging
violation of the act using OSC Form 13, "Complaint of Possible Prohibited
Political Activity," although the use of the OSC Form 13 is not required
to file a written complaint. Under the Hatch Act Unit's draft standard
operating procedures, the unit chief assigns Hatch Act advisories to Hatch
Act unit attorneys and law clerks. All Hatch Act complaints, according to
these procedures, will be reviewed by the unit chief and he/she will
assign a priority to cases before assigning them to unit attorneys and law
clerks for a preliminary inquiry and recommendation. After the preliminary
inquiry, several options are available, including closure, referral for
investigation, or prosecution. If staffing within the Hatch Act Unit
becomes an issue, the unit chief can refer complaints to the Investigation
and Prosecution Division for preliminary inquiry, investigation, and
prosecution. (See enc. II for a description of the priority system.)

USERRA Cases: According to the USERRA Unit's standard operating
procedures, the unit is responsible for receiving, investigating,
resolving, and prosecuting all matters that directly concern or relate to
federal employment issues affecting veterans and members of the Reserve
and National Guard components of the Armed Forces. Under the directive
implementing the January 2005 reorganization, the Special Counsel directed
the head of the Special Projects Unit to establish a USERRA Unit, stating
that OSC had in essence been assigned a special project under a
demonstration project authorized by the VBIA where OSC would be handling a
much larger number of cases under USERRA.^10 Complainants may file OSC
Form 14, "Complaint of Possible Violation of USERRA," but the form is not
required to file a complaint. According to the unit's procedures, the unit
chief receives and reviews each claim and enters information into a case
file in OSC 2000. The unit chief assigns the file to an investigator or
attorney, depending on factors such as work load, the type of allegation,
and the complexity of the case.

Agency Comments

We provided a draft of this report to the Special Counsel for his review
and comment. In responding, the Special Counsel noted and thanked GAO for
taking the time to fully understand how OSC assigns and processes incoming
cases within its organizational units. OSC's written response is included
in enclosure IV. In addition, OSC provided technical comments which we
have incorporated where appropriate.

We will send copies of this report to the Special Counsel, Office of
Special Counsel; interested congressional committees; and other interested
parties. Copies will be made available to others upon request. This report
will also be available at no charge on GAO's Web site at
http://www.gao.gov .

^10Under USERRA, OSC is not authorized to receive claims directly from
federal sector claimants. Instead, claimants file with the Department of
Labor's Veterans' Employment and Training Service (VETS), which attempts
to resolve the claim. If VETS efforts do not resolve the claim, the
individual can have the case referred to OSC for possible prosecution
before MSPB. However, under the VBIA demonstration project, OSC shares the
responsibility with VETS to receive and resolve federal sector USERRA
claims. The demonstration project began on February 8, 2005, and ends on
September 30, 2007.

If you or your staff have questions about this report, please contact me
on (202) 512-9490 or by e-mail at [email protected] . Contact points
for our Office of Congressional Relations and Public Affairs may be found
on the last page of this report. Key contributors to this report were
Belva Martin, Assistant Director; Sharon Hogan; Karin Fangman; David Fox;
and Greg Wilmoth.

George H. Stalcup
Director, Strategic Issues

Enclosures

Enclosure I: Statutes That Govern Office of Special Counsel (OSC)
Authority

Statute                    Applicable provisions                           
Civil Service Reform Act   OSC was created under the Reauthorization Plan  
of 1978                    Number 2 of 1978. The Reform Act established    
                              OSC as a part of the Merit Systems Protection   
                              Board (MSPB) and introduced statutory           
                              protection for whistleblowers.                  
Whistleblower Protection   The act strengthens protection for              
Act of 1989                whistleblowers and, thus, encourages            
                              whistleblowing. It also separated OSC from      
                              MSPB, establishing OSC as an independent        
                              federal investigative and prosecuting agency.   
Office of Special Counsel  The act gives OSC 240 days from the time it     
Reauthorization Act of     receives a complaint involving a prohibited     
1994                       personnel practice to determine whether there   
                              are reasonable grounds for believing that such  
                              a practice has been committed. If OSC is unable 
                              to process cases within this time, the agency   
                              is required to receive the complainant's        
                              consent to keep the case open. The act also     
                              makes federal agencies explicitly responsible   
                              for informing their employees of available      
                              rights and remedies under the Whistleblower     
                              Protection Act and related laws and directs     
                              that OSC play a consultant role in the process. 
Hatch Act                  The act limits the political activities of      
                              federal employees, employees of the District of 
                              Columbia government, and certain employees of   
                              state and local governments who work in         
                              connection with programs, such as public        
                              health, housing, urban renewal, and area        
                              redevelopment programs, financed in whole or in 
                              part by federal loans or grants. The Hatch Act  
                              Reform Amendments of 1993 (Pub. L. No. 103-94)  
                              allow most employees of the federal government  
                              and District of Columbia government to take a   
                              more active part in political management or in  
                              political campaigns outside of the workplace,   
                              but their activities are still restricted.      
Uniformed Services         The act prohibits discrimination against        
Employment and             persons because of their service in the Armed   
Reemployment Rights Act of Forces Reserve, the National Guard, or other    
1994                       uniformed services. The act also protects the   
                              reemployment rights and benefits of persons who 
                              were absent due to military service or          
                              training. OSC is not authorized to handle a     
                              Uniformed Services Employment and Reemployment  
                              Rights Act (USERRA) claim before a claimant     
                              obtains assistance from Department of Labor's   
                              Veterans' Employment and Training Service       
                              (VETS). Upon the claimant's request, VETS       
                              refers the matter to OSC, which is authorized   
                              to initiate an action on behalf of a federal    
                              employee before the MSPB to enforce the act's   
                              provisions. OSC may appeal an MSPB decision on  
                              behalf of the employee before the U.S. Court of 
                              Appeals for the Federal Circuit.                
Veterans Benefits          Pursuant to a demonstration project established 
Improvement Act of 2004    by the act, OSC has the authority to receive    
                              and investigate federal sector USERRA claims    
                              brought by persons whose social security        
                              numbers end in an odd-numbered digit. Such      
                              claims would not go through VETS. Under the     
                              demonstration project, OSC will also receive    
                              and investigate all federal sector USERRA       
                              claims containing a related prohibited          
                              personnel practice allegation over which OSC    
                              has jurisdiction regardless of the person's     
                              social security number. OSC is administering    
                              the demonstration project, which began on       
                              February 8, 2005, and ends on September 30,     
                              2007.                                           

Source: GAO.

Enclosure II: Priority Procedures for Prohibited Personnel Practice Cases,
Whistleblower Disclosures, and Hatch Act Cases

The U.S. Office of Special Counsel (OSC) has a priority system for
processing prohibited personnel practice cases, whistleblower disclosures,
and Hatch Act complaints to allow more important cases to be handled more
expeditiously.

Priority System for Prohibited Personnel Practice Cases

In November 2001, OSC issued a policy directive that adopted a priority
case processing system that classifies all its prohibited personnel
practice cases into one of three categories. Under this approach, cases
are investigated and analyzed for a determination of violation based on
the category to which they have been assigned, while also taking into
consideration the statutory time limits that apply to all cases. Category
1 prohibited personnel practice cases consist of the most serious
personnel actions, involving employees who are removed, suspended for more
than 14 days, geographically reassigned, or reduced in grade, or more than
one of the above. Category 2 cases are less severe, including cases where
suspensions are 14 days or fewer, performance appraisal ratings are below
"fully successful," and denials of within-pay grade increases are being
challenged. Category 3 cases involve the least serious adverse personnel
actions, such as lower performance ratings that are still "fully
successful," nongeographical reassignments or details, failure to promote,
reprimands, and nonselections. For category 3 cases, investigators may use
streamlined procedures that may require less time and staff resources to
complete and may thus be investigated before some other cases. According
to OSC officials, cases may be moved from one category to another as
evidence is gathered supporting or refuting the allegation and a priority
designation may be cancelled and the timing and level of resources to be
dedicated to the case may be reevaluated on a case-by-case basis.

In addition, within each of these categories, prohibited personnel
practice cases may be designated "priority"--meaning they will receive the
most prompt attention--based on the following factors: (1) meet OSC's
criteria for seeking a stay of the personnel action or already have a stay
in effect; (2) be a case in which OSC believes, on the basis of the
evidence, that there is a substantial likelihood that the complaint is
meritorious and in which OSC will seek corrective or disciplinary action;
or (3) there is a public interest in prompt resolution of the case. Within
each category, whistleblower reprisal complaints are given top priority.

Priority System for Whistleblower Disclosure Cases

We have reported that OSC has used a priority system for Disclosure Unit
cases since 2002. These cases are classified into three major categories,
including two subcategories:

           o Priority 1 cases are those that appear to be referrals to the
           head of the agency. Within Priority 1, there are two
           subcategories: Priority 1A matters are disclosures of substantial
           and specific dangers to public health or safety that appear to be
           referrals and Priority 1B are disclosures of violations of the
           law, rule, or regulation; gross mismanagement; a gross waste of
           funds; and an abuse of authority that appear to be referrals. Upon
           receipt of Priority 1A and 1B matters, the attorney assigned must
           immediately review the file and contact the whistleblower within 2
           business days of receipt.

           o Priority 2 cases are those that appear to be referrals to the
           Office of Inspector General. These cases include all disclosures
           of violations of law, rule, or regulation; gross mismanagement; a
           gross waste of funds; and an abuse of authority that appear to be
           referrals to the Inspector General. Generally, OSC refers
           disclosures involving substantial and specific dangers to public
           health or safety directly to the head of the agency, and not the
           Inspector General. Therefore, there is no need for a separate
           subcategory for public health and safety allegations under this
           priority. Upon receipt of Priority 2 matters, the attorney
           assigned must immediately review the file and contact the
           whistleblower within 3 business days of receipt.

           o Priority 3 cases are those that appear to be closures and are
           reviewed last. Within this priority, there are also two
           subcategories, 3A and 3B. Disclosures that are classified as 3A
           are of a substantial and specific danger to public health or
           safety that appear to be closures. The 3B disclosures are
           disclosures of violations of a law, rule, or regulation; gross
           mismanagement; a gross waste of funds; and an abuse of authority
           that appear to be closures. Upon receipt of Priority 3A and 3B
           matters, the attorney assigned must immediately review the file
           and contact the whistleblower within 4 business days of receipt.
			  
			  Priority System for Hatch Act Cases

           Pursuant to the January 2005 draft standard operating procedures,
           the priority system for Hatch Act complaints primarily involves
           first processing those complaints that demonstrate that a serious
           and existing violation has occurred, which may require corrective
           or disciplinary action or is in the public's interest to quickly
           resolve. Hatch Act complaints are designated as Category I, II, or
           III. According to OSC, significant congressional, executive
           branch, or media interest may affect the level at which a case is
           categorized. Moreover, within a category, cases receiving such
           interest would be assigned greater priority. Category I complaints
           are designated high priority and involve the most serious
           violations, where the subject is presently engaged in the
           prohibited activity or where there is evidence that the violation
           was knowing and willful. Examples of Category I complaints include
           misuse of official authority/coercion cases, candidacy cases, and
           solicitation cases.

           Category II complaints are of a midlevel priority and involve past
           serious violations, less serious ongoing violations, and less
           serious violations where there is evidence that the violation is
           knowing and willful. Examples of less serious violations include
           (1) posting or displaying partisan posters and photographs, (2)
           use of official title while engaged in political activity, and (3)
           writing a speech for a candidate while on duty.

           Category III or low-level priority complaints consist of
           complaints involving no apparent Hatch Act prohibited activity, or
           past violations which do not appear to be knowing and willful.

           Note:

           CEU Complaints Examining Unit

           DCB Document Control Branch

           HR Human Resource

           IPD Investigation and Prosecution Division

           OSC Office of Special Counsel

           OSC 2000 OSC Data Tracking System

           PPP Prohibited Personnel Practice
			  
			  Enclosure IV: Comments from the Office of Special Counsel
			  
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