# Presentation: 079418

**The Accountability Board**

- Management Inquiry Briefing

- Supervisory Skills Training Session
- Maria C. Fernandez-Greczmiel, Director, Accountability Board
- Andrew L. Robinson, Jr., Consultant, The Accountability Board
- Holly Cole, Human Resource Point of Contact for the Aeronautical Center
- August 11, 2005

## Overview

**Rights of Employees and Confidentiality.**
**Conducting Investigations in a Bargaining            Unit Environment.**
**Preparing and Planning for Investigations.**
**Types of Information.**
**Interviewing Witnesses and Techniques.**
**Organizing and Analyzing Information. **

**Overview**

## It is intended to provide valuable information            while outlining the steps and process of inquiries.

- This portion of the presentation was developed to    assist supervisors and managers in conducting           inquiries related to employee conduct issues.
- It is intended to provide valuable information            while outlining the steps and process of inquiries.

**Purpose and Obligations Regarding Fact Finding**

## The gathering of evidence, documents and witness statements is crucial when determining what management action should be pursued. 

- A good inquiry might show that the appropriate action to take is:
-  No Action
-  Training or Referral
-  Discipline
-  Criminal Charges
- The **quality** of the inquiry
- - especially in it’s early stages -
- will determine the success of the case.

## The Supervisor Conducting Inquiry:

-  Is a “fact finder”
-  Is objective
-  Focuses on facts
-  Maintains control of the time-line
-  Is thorough and resolves contradictions
-  Is well organized
-  Is a good listener & asks pertinent 		    questions
-  Is professional and businesslike** **

## Rights of Employees and Confidentiality

- Allegations usually involve sensitive issues and are almost always derogatory in nature.
- The impact and mere existence of an investigation or inquiry may harm the reputation and careers of possibly innocent individuals and potentially taint the image of the agency.

**Rights of Employees and Confidentiality**

## The management official must do everything possible to prevent or minimize the spread of information. 

- The management official is responsible for the security of the files and statements and is expected to keep them safe and confidential.
- Some employees may wish to remain anonymous, but there is no right to confidentiality.
- The management official should also be prepared to discuss the obligation of employees to tell the truth and cooperate with management while conducting investigations.

## A good fact finder needs to be prepared to deal with all types of witnesses.

- False answers or
- 	misrepresentations can be
- 	the basis for disciplinary
- 	action, up to removal.
- Falsification involves                                                an affirmative                                             misrepresentation and requires
- 	intent to deceive vs. lack of candor

## The Douglas Factors

*What must be considered before determining the penalty?*

- Contained in FAPM 2635, Chapter 4, Paragraph 401 and FAA PMS
- Criteria to be used by supervisors when deciding                  what penalty to impose for misconduct.
- Must consider both mitigating and enhancing factors.
- Nature and seriousness of the offense, and relation           to the employee’s duties.
- Employee’s job level (supervisor, labor/employee            relations specialist, etc.)

## Determine whether or not the employee is a                                                                                member of a bargaining unit. 

- Determine whether or not the employee is a                                                                                member of a bargaining unit.

**Conducting Inquiries in a **
**Bargaining Unit Environment**

## A bargaining unit employee is being questioned.

- The law gives bargaining unit employees the right to have a union representative present during any discussion that could lead to discipline.
- In Investigative/**Weingarten** situations, the following specific elements or conditions must be met:
**A bargaining unit employee is being questioned.**
**The nature of the discussion is, or will be, investigative.**

## The employee doing the questioning is a supervisor/manager or representative of agency management.

**The employee being questioned has a reasonable belief that the discussion will or could lead to disciplinary or adverse action.**

**The employee involved asks for a union representative.**

## Question

**Should the manager consider this a request for representation?**
***	******Yes******	******	******               No***

**Question**

## During the course of the interview they may change their minds and recognize they now want to be represented.

- The investigator has several choices contingent on the availability of a union representative.  They can simply end the interview and it can be reconvened at a later time or re-scheduled contingent on availability of the parties and representation.
- It is also important to recognize that under Weingarten, the right to union representation does not extend to a personal representative or a personal attorney.

## Question

**During an official management inquiry**
**with a bargaining unit employee, the union representative has a clarifying question.  **
**Should the supervisor respond to the **
**question?**
***Yes*****                                        *****No***

##  Preparing and Planning for a 

- How many witnesses?
- What is their availability?
- What shifts do they work?
- Where are they located?
- Where will the interviews                                                       be held?

** ****Preparing and Planning for a **
**Management Inquiry**

## How long will the interviews be?

- The type of allegation or complaint will drive and guide the type of inquiry that you will conduct.
- Carefully review any allegation, statements and details.
- Before you interview witnesses, determine what evidence or documents will be most relevant.
- Focus on the unknown details of a case that must be resolved in order to prove or disprove the elements of the case.

## Prepare a list of topics with general and specific written questions to be asked during the interview.

- Some managers use an outline format – just don’t forget to be comprehensive.
- Keep an open mind and ask follow-up questions in response to the answers you receive - questions that you may not have considered during the planning process.
- It is the responsibility of the manager to get “all the facts” and do so in a timely manner.
- Management inquiries conducted by supervisors may be distinguished between those investigations conducted by the Aviation Security Investigations Division.

## Interview Strategy

- They should always be conducted in private and kept low key, in order to avoid adding to the rumor mill at the workplace.
- Try to hold the interview off the workroom floor and in a neutral setting.
- Hold the interview in person if possible – telephone interviews are only as a last resort.
- Interview the reporting party first, before the other interviewees.

## Basic Interview Outline

- Identify yourself and your authority to conduct the interview.
- Explain the nature of the investigation and advise the employee that participation is mandatory and that a record of the interview will be prepared.
- Start with free narrative.
- Next, ask a general “open ended” question.
- Follow-up with specific questions to develop ideas.

## The order of questions should start by determining what before why or how.  Use the 5 W’s (and one H) as a guideline:

- What actually happened?  What actually was done or said?
- When (specific date and time or approximate, if necessary) did it happen?
- Where did it happen?
- Who else was involved?  Who witnessed the incident?
- Why did it happen?
- How did it happen?

## Characteristics of Bad Questions

- Avoid complex questions.
- Avoid compound questions or those calling for more than one answer, i.e. “Where did you send the report and when did you call the supervisor?”
- Do not lead the witness, i.e. “It was sunny outside, right?”
- Avoid descriptive terms such as “frightening” or “threatening”.

## Resources

- Statutes (Laws)
- Agency Regulations
- FAPM 2635, Conduct & Discipline
- PRIB 17
- HRPM, ER 4.1, Standards of Conduct and                    HROI Table of Penalties
- Contact your local labor relations specialist

## Inquiries 

**Conducting**
**Management**
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**Inquiries**
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