Management Inquiries

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Description: This class is for managers or supervisors or Employee Relations staff who conduct threshold investigations of alleged misconduct – to often include claims of sexual harassment. The purpose of these inquiries is typically to address minor misconduct or to determine if something more serious may have occurred, necessitating an administrative (i.e., more formal and lengthy) investigation. The emphasis is on group discussions, and role play, based on actual federal sector scenarios and practical guidance. The topics include representation issues, preparation for the inquiry, the inquiry process itself, to include taking statements, collecting documents and interviewing witnesses, analyzing the information, writing any report, making recommendations, and taking prompt and appropriate action, if warranted.

Length: 1 to 2 days

 

Table of Contents
Page

I. Introduction 5

A. Scope 5

B. Objectives 5

Exercise 7

The Federal Sector Complaint Processes: A Brief Review 9

A. The Complaint Processes
1. The Merit Systems Protection Board (MSPB) 9
2. The Equal Employment Opportunity Commission 9
3. The Negotiated Grievance Process 9
4. The Administrative Grievance Process 10
5. Other 10

III. The ________ Management Inquiry and Administration
Investigation Policies 11

IV. Obligation to Cooperate and Authority to Conduct
a Management Inquiry 18

A. Authorities 18

B. Conveying that authority to the interviewees 18

V. The Privacy Act 19

VI. A Brief Look at Kinds of Misconduct that Come Up 21

VII. The Steps in a Typical Management Inquiry 25

A. Preliminary 25

B. Beginning the Inquiry: Normally within 2 days,
supervisor will begin management inquiry 25

C. Interview the complaining employee and the subject
separately to obtain their signed statements of the
alleged misconduct 25

D. Interview the participants and witnesses to collect
Information and have them sign their statements 25
E. Obtain and consider physical evidence, as applicable 26

F. Complete and assemble the Report 26

VIII. Focusing on Some Aspects of the Management Inquiry 27

A. Preparation for the Management Inquiry 27

B. Interviewing 29

C. The Interview Itself 33

D. Analyzing the Information 40

IX. Conclusion 41

ATTACHMENTS:

1. Initial Letters

a. Introductory Letter from the Inquiry Supervisor to Subject 42 b. Letter to Other Witnesses 45

2. Management Inquiry Investigative Plan 47
3. Sample Chronology Form (i.e., a stand alone log) 53

4. Sample Checklist For Conducting an Interview 55

5. Sample Statement 57

6. Sample Summary of Interview 59

7. Sample Report of Management Inquiry 62

8. Glossary Of Terms 67

9. A Primer On Evidence 78

10. A Primer on Credibility and Credibility Factors 83

11. Exercise On Troubleshooting 86

12. Union Representation 89

13. Factors to Consider 93

14. Additional Exercises and Problems 95

15. Office Of Special Counsel Jurisdiction 98

16. EEOC: Bases Of Discrimination 100

17. MSPB Jurisdiction 102