Initiating an Inquiry
The Independent Investigations Officer may initiate an inquiry based on information received from a broad range of sources. The most important sources of information are the members themselves. The IIO maintains a toll-free hotline that allows any member to provide information‒anonymously, if he or she so chooses.
The Rules provide two major information-gathering tools to investigate misconduct: Books and Records Exams, where IIO staff audit and examine the books and records of the IBT, locals and affiliates, and Sworn Exams, where members and employees are questioned under oath.
Books and Records Exams
The IIO’s authority to review the records of an IBT affiliate is broad and includes any investigative authority that could be exercised by the General President, the General-Secretary-Treasurer, or the General Executive Board pursuant to the IBT Constitution.
In many cases, the IIO provides advance notice of on-site Books and Records Exams and makes every effort to work with the affiliate to minimize disruption. Most Books and Records Exams can be accomplished by the affiliate’s production of documents without the need for an on-site visit, especially when the documents requested are well-organized and stored in electronic form.
Notice of a Books and Records Exam Notice does not mean that the IIO is considering disciplinary charges against the affiliate entity, its officers, or its members or staff.
Sworn Examinations
The IIO also has the authority to take and require sworn statements or sworn examinations of any officer, member, employee, representative, or agent of the IBT. These Sworn Exams are similar to a deposition in a civil court case. Anyone providing sworn testimony to the IIO has the right to be represented by an IBT member or legal counsel of his or her choosing.
The IIO is required to provide at least 10 days written notice of a sworn exam.
Like a Books and Records Notice, a Notice of Sworn Examination does not mean that the IIO is considering disciplinary charges against the recipient.
Participation in a Sworn Examination is an obligation of all Teamsters, and failure to appear and provide truthful responses to the IIO’s questions may result in disciplinary action up to and including the members’ permanent expulsion.
Charge Reports and Trusteeship Recommendations
At the conclusion of an investigation, if the IIO determines that the evidence collected establishes a violation of law or the IBT Constitution, the IIO prepares a report outlining recommended charges and the evidence supporting them. In appropriate cases, the IIO may recommend an affiliate be placed in trusteeship.
The IIO may refer the report and recommendation to any appropriate IBT entity with authority to take the actions recommended, including executive board of a charged party’s affiliate or the Joint Council of which the affiliate is a member. The IIO may also designate a matter as being within the original jurisdiction of the General President.
The IBT entity to which the IIO’s recommendation has been referred must take appropriate action. Frequently, the IBT entity conducts hearings, issues written findings, and imposes sanctions (if any) according to the same rules and procedures as other IBT disciplinary proceedings, except that a charged party has the right to be represented by an attorney. However, where the IIO’s charges allege association with organized crime, the IBT has traditionally referred the matter to the IRO for adjudication in the first instance.
IRO Review
The Independent Review Officer has the authority to approve, modify, or reverse any disciplinary findings or sanctions issued by the IBT arising out of charges referred by the IIO, whether upon her own initiative or on appeal by a party. This authority includes the authority to approve any proposed settlement agreement to resolve the referred charges.
If the IRO finds that action taken in response to an IIO referral was inadequate, the IBT entity will be given twenty days to take additional action to address any defects identified by the IRO.
If after notice of inadequacy and the opportunity to cure, the IRO continues to find that the actions taken are inadequate, the IRO shall convene and preside over a de novo hearing on the matter, according to the Rules set forth in the Final Agreement and Order.
At a de novo hearing, the IRO serves as the trier of fact, and the IIO serves as the charging party.
The written decision of the IRO following a de novo hearing is final and binding, and not subject to further review under the IBT Constitution.