Administrative Investigations
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Description: This class principally concerns investigations of misconduct – to often include claims of sexual harassment – by supervisors, managers and local Employee Relations staff. The emphasis is on group discussions, and role play, based on actual federal sector scenarios and practical guidance. The subject matter includes federal sector and agency circumstances under which the agency will conduct a fact-finding, authority to conduct a fact-finding inquiry, constraints on authority to conduct a fact-finding (e.g., representation issues, matters that could result in potential criminal charges, Privacy Act), preparation for the fact-finding, the fact-finding inquiry 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: 2 or 3 days.
Administrative Investigations
Table of Content
Page
I. Introduction 5
The Federal Sector And Forest Service
Complaint Processes 7
III. The Overall Forest Service Process For Responding to
Complaints Of Sexual Harassment and Reprisal 9
IV. Authority to Conduct an Inquiry Or Investigation
And Obligation of Employees to Cooperate 12
V. Constraints on Authority to Conduct an Inquiry
Or Investigation 13
VI. Taking Interim Action 14
VII. A Brief Look at Kinds of Misconduct 15
VIII. A Closer Look At The Inquiry Process 17
A. Typical Situations 17
B. Understanding the ìIssueî 17
C. Donít Ignore The Standard And Burden Of Proof 17
D. Preparation for the Inquiry 17
E. Interviewing Witnesses 17
1. Determining who to interview 17
2. The location of the interviews 18
3. The order of the interviewees 18
4. Notices to interviewees
prior to scheduled interview 18
5. Alerting the Union
(e.g., to avoid delays in a Weingarten situation) 18
6. Anticipating problems 18
7. Understanding relevant legal or evidentiary concepts 18
8. The Typical Stages of an investigative interview 19
9. Questioning Techniques 19
10. Using A Checklist 20
11. The Kinds Of Questions In A Harassment Case 20
12. Note Taking 20
13. Disclosure issues during the interview 20
14. Representatives and their roles 20
15. Site views 20
16. Getting diagrams or illustrations 20
17. Preserving and documenting receipt of the evidence 20
18. Donít forget to ask the complainant about remedy 21
F. Summarizing Interviews 21
G. Collecting and Requesting documents 21
H. Writing the Reports: Summarizing and Analyzing the Information
And Writing the Recommendation 21
I. Deciding On The Penalty, If Any 21
J. Post Penalty Activity 21
K. Pitfalls 21
IX. Factors to Consider When Making A
Recommendation As To Whether An Inquiry
Or Formal Investigation Is Warranted 23
X. Conclusion 23
ATTACHMENTS:
1. MSPB Jurisdiction 25
2. EEOC: Bases Of Discrimination 26
3. Office Of Special Counsel Jurisdiction 28
4. Department of Agriculture, Guide for Disciplinary Penalties, Chapter 751 30
5. Letters Concerning Sexual Harassment 31
6. Sample Kalkines Notice 32
7. Department of Agriculture, Privacy Act Impact on Agency Investigations 34
8. Cardamone Case 35
9. Privacy Act provision Summary Of Interview 37
10. Prompt and Appropriate Exercise Sample
Checklist For Conducting Interview 39
11. Sample Supervisor's Cease And Desist Order 41
12. A Primer on Charges and Penalties 42
13. Investigative Plan 51
14. A Primer On Evidence 54
15. A Primer On Credibility and Credibility Factors 58
16. Questioning Techniques 62
17. Checklist for Interviews 66
18. Sexual Harassment / Questions to ask 68
19. EEO Based Harassment / Questions to ask 75
20. Discipline / Questions to ask 84
21. Summary of interview 89
22. Sample Memorandum Report 91
23. Douglas Penalty Factors 95
24. Exercise on Troubleshooting 97
25. Glossary Of Terms 101
X. 26. Exercises and Problems 116
