Understanding the Accountability Board Process.

 

Welcome.

Welcome to the Frontline Manager’s Course, Phase 1.  This lesson covers the Accountability Board process.

What would you do?

“The jokes and innuendo are getting out of hand.  They are offensive and I shouldn’t have to deal with this.  I should report it to somebody, but nobody would do anything.  In fact, I would probably end up getting into trouble. I’ll just ignore it the best I can.”

What would happen if this actually occurred at your facility?

This lesson will look at a process that will help you respond appropriately if this ever happened at your workplace.

The Accountability Board.

On July 1, 1998, the FAA established the Accountability Board to standardize procedures to ensure management's uniform and effective handling of sexual harassment allegations and related misconduct of a sexual nature.  In July 2000, the scope of the Accountability Board was expanded to include harassment and other misconduct that creates or may create an intimidating, hostile, or offensive work environment based on race, color, religion, gender, sexual orientation, national origin, age, and disability.

As a manager, you are responsible for creating a workplace free from harassment and intimidation.  This includes the responsibility to ensure that all employees in your organization are briefed on the functions of the Accountability Board and how the process works.

There are several publications with more detail on the Accountability Board.  To view the Accountability Board Brochures, click on the images.

Click to open the Cornerstone of Organizational Excellence

Click to open the Accountability Board Brochure:  What Should I do when...?

Lesson Objectives.

As a manager, you have several responsibilities when dealing with Accountability Board Issues.  Upon completion of this lesson you will be able to:  

• Explain the purpose of the Accountability Board,

• List the types of complaints handled by the Accountability Board,

• Describe the process of investigating a complaint,

• State management’s role in the Accountability Board process.

Main Menu.

This lesson has four topics:

1. The Accountability Board,

2. Test Your Knowledge of the Accountability Board Order,

3. The Accountability Board Process, and

4. Accountability Board Resources.  Let's begin by looking at the Accountability Board.

The Accountability Board

Who is on the Board?  The Accountability Board is represented by a team of senior FAA executives, including the Accountability Board Director, the Assistant Administrator for Human Resource Management, the Assistant Administrator for Civil Rights, the Assistant Administrator for Security and Hazardous Materials, a senior representative of the Office of the Chief Counsel, who provides legal guidance, the DOT Director of Human Resource Management or a designee, and the Associate or Assistant Administrator employing the individual against whom an allegation is made.

Accountability Board - Purpose.  The Accountability Board is laying a vital role in helping the FAA achieve its ambitious Flight Plan goal of organizational excellence, by ensuring timely, consistent, and appropriate responses to allegations of harassment.  

Accountability Board - Scope.  The Accountability Board’s Scope includes:

• Allegations of Sexual Harassment

• Allegations or incidents of misconduct of a sexual nature

• Allegations or incidents of verbal, written, graphic, or physical harassment and other

• Misconduct that create an intimidating, hostile, or offensive work environment based on Race, Sexual Orientation, Color, National Origin, Religion, Age, Gender, and Disability.

In 1998, the scope of the Accountability Board  broadened to include reprisal for reporting allegations to the Accountability Board or for cooperating in any official inquiry or investigation of such allegations. It was put in place to ensure that our workplace remains free from sexual harassment, offensive behavior, intimidation, hostility, and inappropriate conduct.

Accountability Board - Other.  There are a lot of other cases and a lot of allegations that are reported to the Accountability Board that do not come under the scope of the board.  Now, it’s very important to note that what happens under those circumstances is, even though an allegation does not come under the scope of the board, we have a category of cases called “other.”  

These cases not tracked by the board are referred to the respective line of business for appropriate follow up and action as necessary.

Accountability Board Does Not...

• Create new policy,

• Take evidence,

• Direct or engage in investigations of allegations,

• Hear evidence during our hearings, or

• Direct what the outcome of the case is going to be.

Again, the Accountability Board is an oversight mechanism, not an investigatory or punitive body.  If management determines that a security investigation is warranted, a request is made of the Accountability Board, which then directs this request to the headquarters security element. 

It is very important that managers and supervisors who are new to their positions, become familiar with the Accountability Board’s procedural process, and know that Agency policy prohibits managers and supervisors from condoning or ignoring misconduct. 

 

Accountability Board Knowledge Check #1.

Now that you have reviewed the Accountability Board, Let’s take a few minutes and review the information just covered by completing la short knowledge check consisting of 12 true/false questions.  Read each one and select your response.

Question 1.  True or False:  The purpose of the Accountability Board is to oversee management’s response to allegations or incidents of harassment or other misconduct that create an intimidating, hostile, or offensive work environment.     

The correct answer is True. 

The Accountability Board provides an oversight function.  It does not conduct investigations or make determinations as to dispositions.

Question 2.  True or False:  The Accountability Board helps the FAA achieve its Flight Plan Goal of Organizational Excellence by ensuring timely, consistent and appropriate responses to allegations of harassment.

The correct answer is True. 

Question 3.  The Accountability Board is made up of junior level FAA managers.

The correct answer is False. 

The Accountability Board is made up of only senior FAA executives.

Question 4.  True or False:  In 1998, the scope of the Accountability Board only included allegations of sexual harassment.  

The correct answer is False. 

In 1998, the scope of the Accountability Board included allegations of sexual harassment, misconduct of a sexual nature and reprisal for reporting allegations to the Accountability Board or for cooperating in any official inquiry or investigation of such allegations.

Question 5.  True or False:  In 2000, the Accountability Board expanded its scope to include harassment or other misconduct that creates, or that may reasonably be expected to create, an intimidating, hostile, or offensive work environment based on race, gender, national origin, color, religion, age, sexual orientation, and disability.

The correct answer is True.

Question 6.  The Accountability Board collects evidence when conducting investigations.

The correct answer is False. 

The Accountability Board neither collects evidence nor conducts investigations.

Question 7.  True or False:  It is not management’s responsibility to initiate an inquiry or a security investigation of an allegation: it is the Accountability Board’s responsibility.

This is False. 

It is management’s responsibility to either initiate an inquiry or request an investigation once they have received an allegation.

Question 8.  True or False:  The Accountability Board provides oversight and is not an investigatory or punitive body.

The correct answer is True. 

As stated earlier, the Accountability Board provides oversight to ensure that management is accountable for responding to allegations in a timely, consistent and appropriate manner.

Question 9.  True or False:  The role of the HR Point of Contact is to recommend the appropriate level of discipline fitting the allegation.

The correct answer is False. 

The role of the HR Point of Contact is to advise and guide the manager through the Accountability Board process.  The decision to impose discipline and what level of discipline to impose rests with management.

Question 10.  True or False:  After an investigation, management may tell the Reporting Party what type of action will be taken against the Respondent.

The correct answer is False. 

Due to the Privacy Act, regulations and other restrictions, management should refrain from discussing with the Reporting Party what, if any, disciplinary action it has taken against the Respondent.

Question 11.  True or False:  The only source of reports of allegations to the Accountability Board is management.

The correct answer is False. 

The Accountability Board receives reports of allegations from many sources including directly from the reporting party, EEO Counselors, FAA Security investigators, the DOT Office of the Inspector General and the Administrator’s Hotline.

Question 12.  True or False:  Allegations that do not fall under the scope of the Accountability Board are considered “Other Matters Reported” and are closed out without any further action.

The correct answer is False. 

Allegations that do not fall under the scope of the Accountability Board are filed as “Other Matters Reported” and are processed by the Accountability Board and then referred to the respective line of business for appropriate follow up and action as necessary.

You have completed the Accountability Board Knowledge Check. 

Accountability Board Order.

In this next section you will answer questions while reviewing the Accountability Board Order.

The purpose of this next activity is to allow you to familiarize yourself with FAA Order 1110.125A; the Accountability Board Order.  Your goal is to answer a series of questions, twelve in all, by relying on your current knowledge or finding the answers in the Accountability Board Order.  You have two options to view the Accountability Board Order.  The first link opens a PDF version and the second link takes you to the HTML version located on AHR’s website.  Each question starts with bolded words that refer to the section of the order the question is focusing on.  Go ahead and open the Accountability Board Order by clicking on one of the two links below.  The order will open in a new window.   

FAA Order 1110.125A (HTML)

FAA Order 1110.125A (PDF)

Accountability Board Order Knowledge Check #2.

Question 1 of 12.  Policy.  According to the Accountability Board Order, what is the key to eliminating all forms of harassment or misconduct?

1. Strong leadership.
2. Swift punishment.
3. Improved communication.
4. All of the above.

The correct answer is A.

According to the Accountability Board Order the answer is strong leadership.  Strong leadership is the key to eliminating all forms of harassment or misconduct, (paragraph 7b).

Question 2 of 12.  Scope.  True or False:  Actions that do not meet the legal definition of sexual harassment cannot be considered misconduct of a sexual nature.

The correct answer is False, (paragraph 8b(2)).

Allegations or incidents of misconduct of a sexual nature include behavior that falls short of the legal definition of sexual harassment but nonetheless impact job performance or are not conducive to a professional work environment.

Question 3 of 12.  Objectives.  The Accountability Board process emphasizes accountability, timeliness, consistency, and appropriateness. All of the following are benefits resulting from the Accountability Board process except:

The correct answer is E, (paragraph 9d).

Question 4 of 12.  Timeliness Standards.  The Reporting Party should report each allegation or incident of harassment or misconduct as soon as possible after the incident occurs but not later than how many workdays after the date the incident is alleged to have occurred.

1. 2.
2. 15.
3. 30.
4. 60.

The correct answer is D., 60 workdays, (paragraph10a.)

Question 5 of 12.  Procedures.  True or False:  All allegations or incidents of misconduct within the scope of this order that come to management’s attention must be reported to the Accountability Board even if there is no specific complaint.

The correct answer is True (15a(2)).

Question 6 of 12.  Accountability Board Membership.  Which of the following is not a permanent member of the Accountability Board?

The correct answer is C., The Air Traffic Organization Chief Operating Officer is not a permanent member of the Accountability Board, (paragraph 12a(1-5)).

The permanent members of the Accountability Board are: the Accountability Board Director, the Associate Administrator for Civil Aviation Security, the Assistant Administrator for Civil Rights, the Assistant Administrator for Human Resource Management, and the Departmental Director, Office of Human Resource Management, or his or her designee.

Question 7 of 12.  Definitions.  What do you call the individual against whom an allegation is made?

1. Respondent.
2. Reporting Party.
3. Accountable Official.
4. Security Investigator.

The correct answer is A., Respondent, (paragraph 13b).

Question 8 of 12.  Procedures.  Whenever management becomes aware of misconduct that comes under the scope of the Accountability Board, the Accountable Official must report the allegation to the Accountability Board Consultant within how many days from the date the allegation is first made.

1. 2 workdays.
2. 3 calendar days.
3. 5 calendar days.
4. 15 workdays.

The correct answer is A., 2 workdays, (15b(1)).

Note: The new term for Accountability Board Coordinator is Accountability Board Consultant.

Question 9 of 12.  Procedures.  The security investigator shall complete the investigation and provide a copy of the Report of Investigation within how many workdays of referral for investigation.

1. 5.
2. 15.
3. 30.
4. 60.

The correct response is C., 30 days, (paragraph 15 f(4)).

Question 10 of 12.  Procedures.  In which appendix would you find the Checklist For Notifying the Respondent?

1. Appendix 1.
2. Appendix 2.
3. Appendix 3.
4. Appendix 4.
5. Appendix 5.

The correct answer is D., (Appendix 4).

Question 11 of 12.  Procedures.  You are walking down the hallway with another manager when Becky, a maintenance contractor, comes up to you obviously upset.  She tells you George, a FAA employee, made derogatory comments about her being a woman doing a man’s job.  According to Becky, George said that he knows how she got her job and said she would be better off staying home having babies.  You told Becky that you would report the incident to the Accountable Official and look into the allegation.  After she walks away, your coworker looks at you and says, “What are you doing?  She’s a contractor.  The Accountability Board doesn’t have a thing to do with her problems.”  What do you do? 

1. You do not report the incident because Becky is a contractor and her employer should take appropriate action.
2. There is no requirement to report the incident to the Accountability Board.
3. You must report the incident to the Accountability Board.

The correct answer is C., you must report the incident to the Accountability Board, (paragraph 15 b(11(a))).

Question 12 of 12.  Procedures.  In what paragraph of the Accountability Board Order would you find the section addressing allegations involving non-FAA personnel?

1. 10. a.
2. 15. b. (11).
3. 15. c. (9).
4. 14. a.
5. 14. e.
6. 17. c.

The correct answer is B., paragraph 15b(11); Allegations Involving Non-FAA Personnel.

You have completed the Accountability Board Order Knowledge Check.  Now let's look at the Accountability Board Process.

The Accountability Board Process.

The Accountability Board, of course, is deeply involved in handling allegations.  There are four phases to the process of reporting and responding to allegations.  They are: 

Phase 1, Reporting; Phase 2, Initial Management Action; Phase 3, Management Inquiry or Security Investigation; and Phase 4, Providing Feedback.  Let’s first look at Phase 1, who reports. 

Management Officials must report all allegations or misconduct that come under the scope of the Board.   Now let’s look at what must be reported. 

All allegations of sexual harassment must be reported.  Also, all allegations or incidents of misconduct of a sexual nature must be reported. 

All harassment and other misconduct that creates or that may reasonably be expected to create an intimidating, hostile, or offensive work environment based on race, color, religion, gender, sexual orientation, national origin, age, or disability must be reported; and

All allegations of reprisal for reporting or for cooperating in any official inquiry or investigation of allegations that comes under the scope of the Accountability Board must be reported. 

All allegations coming under the scope of the Accountability Board must be reported even if there is no individual who complained or if the reporting party does not find the behavior personally offensive.

When must an allegation be reported?  Management Officials must report all allegations to their Accountable Officials as soon as they become aware of an allegation to ensure the reporting requirement is met.  The Accountable Official is responsible for ensuring appropriate and timely processing of allegations. He or she must report all allegations to the Accountability Board Consultant within 2 workdays of Management’s awareness of an allegation.  The report to the Accountability Board Consultant by the Accountable Official can be by telephone, email, or fax.  The fact that an Accountable Official is at training, on travel or on leave does not extend the 2-day reporting requirement.  The responsibility flows to the ‘Acting’ manager within his or her organization in accordance the Accountability Board Order.  The Accountable Official may designate subordinate managers, possibly you, to interview the Reporting Party, advise the Respondent and perform managerial duties relative to any appropriate action required. 

Phase 2.  Initial Management Action.

The Accountable Official must designate a manager to take several steps.  These steps are: 

• First; ensure the reporting party is advised of avenues of redress, such as, the EEO complaint process or the grievance process.  The manager should use Appendix 1 of the Accountability Board Order when doing this. 
• Second; the manager will conduct an initial interview with reporting party using Appendix 3 of the Accountability Board Order. 
• Third, the manager will notify respondent of the allegation using Appendix 4 of the Accountability Board Order.  Do not presume what is alleged is true; wait for the results of the inquiry and investigation.  The manager may also need to advise the respondent to minimize contact with the reporting party. 

The manager will also issue formal Notice to Respondent using the sample provided in Appendix 5 of the Accountability Board Order.  The manager must also coordinate with the Human Resources Point of Contact.  This is required.  HR is a valuable resource to managers under this process.  Specialists have been designated and receive special training to assist the manager. 

Phase 3.  Management Inquiry or Security Investigation.

How to Investigate?  The Accountable Official selects the type of fact-finding.

The Accountable Official may elect to conduct a management inquiry or request a formal security investigation. 

If an internal inquiry is conducted, the Accountable Official has 15 workdays from the date management became aware of the allegation to develop facts and determine appropriate action. 

If a security investigation is required, it is conducted by Special Agents from Security and Hazardous Materials.  They have 30 days to complete their investigation and the appropriate Management Official has 10 days from receipt of the Report of Investigation to review and determine an appropriate action. 

In both cases, consultation with the HR Point of Contact is required.

Phase 4.  Providing Feedback.

Who Receives Feedback?  Providing feedback is important to both the reporting party and the respondent.  The Reporting Party and Respondent receive feedback throughout the process from Management.  When providing feedback, it should be limited to the status and process.  Avoid giving out any facts or findings of the case.  Management should be sure to consult with the HR Point of Contact.  The HR Point of Contact will provide Management with information regarding Privacy Act limitations before giving out any feedback to any involved parties.

Accountability Board Process Knowledge Check #3.

The next seven questions take you through a hypothetical situation.  Read each question and its responses carefully.  There is only one correct response for each question.

Question 1 of 7.  This morning, one of your employees, Ramon, came to your office, apparently upset.  He just had a run-in with another employee named Lee.  Ramon said, “I am not complaining, but Lee was spouting off about how all the illegal aliens were going to ruin the country and that they should all be sent back home after spending some time in prison.  Then, he accused me of supporting "my types" coming into the country and said, ‘I bet your Daddy crossed the river himself’.” Ramon tells you, “Don't worry about it.  I'll talk to Lee later, when we’re both calmed down.”  As Ramon’s manager, what should you do?

1. Talk to Lee and tell him to knock it off!
2. Wait for Ramon to speak to Lee and see if things calm down.
3. Tell Ramon you will report the incident to the Accountable Official.
4. Tell Ramon he can't do anything since the comments weren't sexual in nature.

The correct answer is C.

Tell Ramon you will report the incident to the Accountable Official.  You must report the incident to your Accountable Official since the event Ramon described is a slur on his nationality.  You are not to talk to Lee until he has been informed of the allegation.

Question 2 of 7.  You tell Ramon you are going to report the incident to the Accountable Official.  Ramon looks surprised and says he wasn't that bothered by the incident and would prefer you didn't do anything else about it.  How do you respond?  You tell Ramon you will:

1. Think about it for a week or so and then decide.
2. Talk to Lee and see if he will agree to never act that way again.
3. Talk to Lee’s supervisor and let him make the decision to report the incident or not.
4. Report the incident because you are required to do so by the Accountability Board Order.

The correct response is D. 

You must report the incident, because you are required to do so by the Accountability Board Order.  You must even report the incident to your Accountable Official if Ramon asks you not to.

Question 3 of 7.  You report the incident to the Accountable Official who asks when you became aware of the incident.  Why would the Accountable Official want to know this information?

1. She wants to know if it is a long-term or short-term problem.
2. She wants to determine the proper level of discipline for Lee.
3. She needs to contact Security within 10 days to begin an investigation.
4. She needs to report the allegation to the Accountability Board within 2 workdays from when the allegation was first reported to you.

The correct response is D. 

The Accountable Official needs to report the allegation to the Accountability Board within 2 workdays of when the allegation was first reported.  That time began when Ramon told you about the incident.

Question 4 of 7.  The Accountable Official has decided to conduct an internal management inquiry.  This inquiry must be completed no later than 15 workdays from:

1. Receiving the report of investigation from security.
2. The decision to conduct the investigation internally.
3. The date the allegation was first reported to Management.
4. The date the allegation was reported to the Accountability  
   Board by Management.

The correct response is C.

The date the allegation was first reported to management.  The Accountable Official has 15 workdays from the date the allegation was first reported in which to address the allegation (i.e., determine the facts and decide what, if any, action is appropriate, and where action is appropriate, initiate that action.)

Question 5 of 7.  The Accountable Official has assigned you the task of interviewing the Reporting Party and notifying the Respondent.  You inform Lee that a complaint has been made against him and he is shocked.  Lee tells you Ramon knew he was only joking.  Lee could not believe Ramon was making such a big deal about this.  He begins to explain what happened.  You should:

1. Allow Lee to provide details in his defense at that time.
2. Say nothing but take careful notes, since you need to conduct an
   investigation anyway.
3. Tell Lee you cannot hear his side of the story unless there is a
   union representative present.
4. Advise Lee that the purpose of this meeting is to inform him that an
   allegation has been made against him.

The correct response is D. 

Advise Lee that the purpose of this meeting is to inform him that an allegation has been made against him.  Avoid getting the Respondent’s input to the allegation—that will be done during the inquiry or investigation.

Question 6 of 7.  Assume you are Lee’s manager.  You received a copy of the completed management inquiry and based on your assessment of the facts gathered, you determined that an appropriate discipline would be a Letter of Reprimand.  You inform the Accountable Official of your recommendation.  The HR Point of Contact disagrees with your recommendation.  You:

1. Can impose the Letter of Reprimand without any further action.
2. Must comply with the recommendation from the HR Point of Contact.
3. May consult with the Accountability Board before initiating any action.
4. Shall consult with the Accountability Board before initiating any action.

The correct response is D.

The Accountability Board shall be consulted.  If the Accountable Official and the responsible HR Point of Contact do not agree as to what action is appropriate, the Accountability Board shall be consulted before initiating any action.  Even in this instance, the Accountable Official’s organization, after consultation with the Accountability Board, will be responsible for determining the appropriate discipline.

Question 7 of 7.  Which one of the following statements about feedback is not correct?

1. Management must ensure that the Respondent is informed of the
   status of the allegation throughout the process.
2. The Reporting Party’s organization shall inform that party of the status of the allegation throughout the process.
3. Both the Reporting Party and the Respondent should be provided   
   information only at the beginning of the process as to what they can
   expect as participants in the process.
4. The involved management official shall coordinate with the HR Point of Contact prior to providing any feedback to the Reporting Party or the Respondent.
5. Both the Reporting Party and the Respondent should receive periodic feedback regarding the status of the allegation throughout the process and especially at the conclusion.

The correct response is C. 

The Reporting Party and Respondent should be provided information throughout the process.

You have completed the Accountability Board Process Knowledge Check. 

Links to Accountability Board Webpage Information.

Let's look at where you can find additional information on the Accountability Board; the Accountability Board Website.  There you will find links to useful information.  Click on the links below to explore some additional content that’s available to you.

Administrator’s Policy Statement

Frequently Asked Questions

    What Should I do When ...? (PDF).

    The Cornerstone of Organizational Excellence (PDF).

    The Key to an Environment Free of Harassment (PDF).

Accountability Board Contact Info.

If you ever need to contact the Accountability Board, you may choose one of several different methods.  The address, phone numbers and the email address are shown here.  For additional information about the Accountability Board, you may access the information covered in this lesson.  Don't be afraid to ask for help. When in doubt, check it out.

Address:

     Office of the Accountability Board
     800 Independence Avenue, SW
     Room 332
     AHA-1
     Washington, D.C. 20591

Phone Numbers are;

     Office: (202) 267-3065
     Fax: (202) 493-4852

Email: 9-AWA-AHR-Accountability-Board@faa.gov

Lesson Complete.

You have completed this lesson on the Accountability Board Process.  Return to the eLMS course menu and click on the exam for this lesson.  To get credit for this lesson, you must achieve a score of at least 70 percent.  Good luck.