(a) Investigation. When an organizational unit learns of an incident
that reasonably can be expected to result in an allegation of harm
caused to an individual or organization by an alleged negligent act or
omission by an employee of that organizational unit or when it learns of
an administrative claim or of litigation alleging such harm, it has the
responsibility to fully investigate the incident and to take all actions
necessary to preserve all relevant documents and other evidence. Each
organizational unit should institute appropriate procedures to ensure
that notification of such incidents are reported to the office
responsible for ensuring that evidence is preserved and investigation
undertaken.
(b) Notification. Upon receipt of an administrative claim under the
Act or of notice of litigation seeking damages for an alleged negligent
act or omission of an employee of the Department acting within the scope
of his or her employment, the Office of the Solicitor shall notify the
organizational unit responsible for the activity which gave rise to the
claim or litigation and shall provide a copy of the administrative claim
or the claim filed in the litigation.
(c) Administrative Report. (1) Upon receiving notification of an
administrative claim or litigation, the organizational unit or units
involved in the circumstances of the claim or litigation shall be
responsible for preparing an Administrative Report and forwarding it to
the Office of the Solicitor in a timely manner. The Administrative
Report shall be in the form of a single memorandum in narrative form
with attachments. It should contain all of the following elements,
unless permission is obtained from the Office of the Solicitor to
dispense with a particular element:
(i) a brief explanation of the organization and operation of the
program involved including statutory authority and applicable
regulations;
(ii) a complete description of the events which gave rise to the
claim or litigation, including a specific response to every allegation
in the claim or litigation;
(iii) any information available regarding the questions of whether
the claimant or plaintiff actually suffered the harm alleged in the
claim or litigation and what individual or organization caused any harm
which appears to have occurred;
(iv) any information available regarding the damages claimed;
(v) any policy reasons which the organizational unit wishes to
advance for or against settlement of the claim or litigation; and
(vi) details of any claims the Department may have against the
claimant or plaintiff, whether or not they appear to be related to the
subject matter of the claim or litigation.
(2) A copy of all documents relevant to the issues involved in the
claim or litigation should be attached to each copy of the
Administrative Report. Original records should not be forwarded to the
Office of the Solicitor unless specifically requested. They should be
preserved, however, and remain available for litigation if necessary.
(3) Organizational units should ensure that all Administrative
Reports are either prepared or reviewed by an official of the
organizational unit who was not personally involved in the incident in
question prior to filing of the claim or suit.
(d) Litigation. During the course of any litigation, organizational
units are responsible for providing assistance to the Office of the
Solicitor in responding to discovery requests such as interrogatories
and requests to produce documents, for providing assistance in analyzing
factual and program issues, for providing witnesses for depositions and
trials, and for assistance in producing affidavits and exhibits for use
in the litigation.
