United States Department of Agriculture
Final Action Verification—Forest
Service Initiatives to Address
Workplace Misconduct
Report 08026-0001-41
OFFICE OF INSPECTOR GENERAL
June 2020
United States Department of Agriculture
Office of Inspector General
Washington, D.C. 20250
DATE: June 30, 2020
AUDIT
NUMBER: 08026-0001-41
TO: Stanley McMichael
Associate Chief Financial Officer
Office of the Chief Financial Officer
FROM: Gil H. Harden
Assistant Inspector General for Audit
SUBJECT: Final Action Verification—Forest Service Initiatives to Address Workplace
Misconduct
The Office of Inspector General (OIG) completed a final action verification (FAV) of all eight
recommendations in our February 11, 2019, report on Forest Service (FS) Initiatives to Address
Workplace Misconduct (Audit Report 08601-0008-41).1 An FAV determines whether the final
action documentation that the audited agency provided to the Office of the Chief Financial
Officer (OCFO) supports the agency’s management decision reached with OIG. 2, 3 Our
objective was to determine whether the documentation FS provided OCFO was sufficient to
close the recommendations made in Audit Report 08601-0008-41.
As of January 21, 2020, OCFO electronically reported to FS and OIG that final action was
complete for all recommendations in the subject audit report. Based on our review of the
documentation received from OCFO, we concur with this decision for all eight
recommendations.
1
Audit Report 08601-0008-41, Forest Service Initiatives to Address Workplace Misconduct (Feb 11, 2019).
2
Final action is the completion of all actions that management has concluded, in its management decision, are
necessary with respect to the finding and recommendations included in an audit report. DR 1720-001, 6g(1), Audit
Followup and Management Decision (Nov 2, 2011).
3
Management decision is an agreement between agency management and OIG on the action(s) taken or to be taken
to address a finding and recommendation cited in an audit report. The management decision must include the
agreed-upon dollar amount affecting the recommendation and an estimated completion date, unless all corrective
action is completed by the time agreement is reached. DR 1720-001, 6i, Audit Followup and Management Decision
(Nov 2, 2011).
Stanley McMichael 2
Background
Our report, Forest Service Initiatives to Address Workplace Misconduct, made eight
recommendations to help improve FS actions in response to concerns about sexual harassment
and sexual misconduct complaints.
OIG and FS reached management decision on all eight recommendations in a memorandum
dated February 19, 2019. The memorandum detailed corrective actions FS needed to implement
in order to achieve final action on all recommendations.
In accordance with Departmental Regulation 1720-001, OCFO has the responsibility to
determine final action for recommendations where OIG has agreed to management decision.4 As
such, OCFO evaluates agency-provided documentation to support planned corrective actions and
to determine if final action has occurred.
Scope and Methodology
The scope of this FAV was limited to determining whether FS’ plans of action for all
recommendations in the subject report were completed in accordance with the management
decisions reached on February 19, 2019. To accomplish our objective, we reviewed the
documentation of corrective actions FS submitted to OCFO. We did not perform internal control
testing or make site visits to determine whether the underlying deficiencies that were initially
identified have been corrected. In addition, we did not provide an opinion on the results of the
implementation or effectiveness of each recommendation. As a result, this verification was not
conducted in accordance with Government Auditing Standards, issued by the Comptroller
General of the United States, or the Quality Standards for Inspection and Evaluation, issued by
the Council of Inspectors General on Integrity and Efficiency. Instead, this FAV was conducted
in accordance with our internal guidance IG-7710, Non-audit Work5 and Final Action
Verification—Guidance and Procedures.6 Before we performed this non-audit service, we
determined that following our guidance would not impair our independence to perform audits,
inspections, attestation engagements, or any other future or ongoing reviews of the subject.
4
DR 1720-001, 7d(6), Audit Followup and Management Decision (Nov 2, 2011).
5
IG-7710, Non-audit Work (Sep 20, 2018).
6
USDA OIG Final Action Verification Guidance and Procedures (May 2019).
Stanley McMichael 3
Results of Final Action Verification
We determined that FS provided sufficient documentation to OCFO to close the eight
recommendations we made in our February 11, 2019, audit report on Forest Service Initiatives to
Address Workplace Misconduct. The table below summarizes the action FS took with respect to
each recommendation.
We informed FS officials of the results of this FAV.
Rec. No. Recommendation Action Taken
1 Provide additional training and FS provided OCFO with a letter from the
guidance on the MSPB and OPM Office of the Chief to agency supervisory
guidelines regarding their personnel, dated May 30, 2019, which
responsibility to provide complete and emphasized the agency’s responsibility
accurate information to hiring officials to conduct reference checks on
when asked for references on current candidates for positions and to respond
and former FS employees seeking accurately to reference checks. FS also
employment or promotions within FS. prepared an online course titled Checking
The training and guidance should also Employment References—Best Practices
cover privacy and liability concerns for Forest Service Hiring Officials. This
when disclosing employee course covered privacy and liability
information. concerns when disclosing employee
information. All FS managers and
supervisors were required to complete
this training by July 31, 2019.
2 Add, to the standardized list of FS provided OCFO with a reference heck
questions that hiring officials ask the template with questions to be asked of
supervisors of current and former supervisors of current and former
FS employees applying for positions employees applying for positions within
within the agency, questions about the FS. The template now includes
whether applicants have a prior history questions (No. 10) to determine if job
of serious misconduct, the nature of applicants have a history of misconduct,
the misconduct, and their suitability the nature of the misconduct, and their
for the position despite the suitability for the position despite the
misconduct. misconduct.
Stanley McMichael 4
Rec. No. Recommendation Action Taken
3 Add, to the standardized list of FS provided OCFO with an interview
questions that hiring officials ask the template, which contains questions to be
applicants applying for positions asked of persons applying for positions
within FS, questions about whether within the FS. The template now
applicants have a prior history of includes questions (No. 6) about whether
serious misconduct, the nature of the applicants were ever disciplined for
misconduct, and their suitability for misconduct and, if so, the nature of the
the position despite the misconduct. misconduct. The template also contains
questions designed to determine
applicants’ suitability for the position.
4 Establish guidelines for hiring FS provided OCFO with instructions that
officials to contact human resources direct hiring officials contact FS Human
management to determine whether Resources, Employee Relations staff if it
current or former employees is determined that current or former
(including seasonal employees) employees applying for positions within
applying for positions within FS have FS have prior histories of misconduct.
prior histories of serious misconduct This action is to be taken before moving
and the nature of the misconduct. forward with a selection for the subject
position.
5 Require FS supervisors and managers FS provided OCFO with a memo
to formally acknowledge their outlining supervisors’ and managers’
responsibility to report all allegations responsibility to report all allegations of
of sexual harassment and sexual sexual harassment and/or sexual
misconduct within the required misconduct within 24-hours, as required
24-hour timeframe and record this in FSM 1765.08. In addition, FS
acknowledgement. officials created an acknowledgement
and certification in AgLearn that
documents supervisory officials’
understanding of this requirement.
Stanley McMichael 5
Rec. No. Recommendation Action Taken
6 Provide additional training and FS provided OCFO with a copy of FS’
guidance to FS supervisors and Anti-Harassment Leader Guide and
managers on their roles and Quick Reference Sheet, which includes
responsibilities regarding the 24-hour guidance on their roles and
reporting requirement. responsibilities regarding the 24-hour
reporting requirement. FS provided
OCFO with DM 4040-412-002, dated
July 25, 2014, which includes
requirements to complete new supervisor
training. FS also provided a letter, dated
May 21, 2018, in which the FS Chief
required that all FS employees participate
in a day long anti-harassment training
titled Stand Up for Each Other. To
supplement this, FS provided a listing of
44,133 FS employees who certified their
attendance at this training.
7 Establish guidelines to ensure that FS provided OCFO with a memo
those FS supervisors and managers outlining supervisors’ and managers’
who do not timely report sexual responsibility to report all allegations of
harassment and sexual misconduct sexual harassment and/or sexual
allegations within the required misconduct within 24-hours, as required
24-hour timeframe are disciplined, in FSM 1765.08 (guidelines). In
when appropriate. addition, FS officials created an
acknowledgement and certification in
AgLearn that documents supervisory
officials’ understanding of this
requirement. The acknowledgement and
certification contains punitive language
directed at those who do not comply with
the requirement to timely report
allegations of sexual harassment or
sexual misconduct.
Stanley McMichael 6
Rec. No. Recommendation Action Taken
8 Establish internal guidelines that will FS provided OCFO with a letter from the
ensure FS officials document in the Office of the Chief to agency supervisory
case file their justification when personnel, dated May 30, 2019, which
deviating from the recommended cites the USDA Guide for Disciplinary
penalty. Penalties as providing a framework for
consistent application of discipline and
includes a section for sexual misconduct.
This document indicates officials will be
required to submit a written justification
for any deviation from the minimum
recommended penalties, which must be
included in the Human Resources
Management Employee Relations case
file.
cc: Hope Woodward, Forest Service OIG Audit Liaison
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Final Action Verification - Forest Service Initiatives to Address Workplace Misconduct
Published by the Department of Agriculture, Office of Inspector General on 2020-07-15.
Below is a raw (and likely hideous) rendition of the original report. (PDF)