Conducting Effective Internal Investigations
Module Two: Conducting the Investigation, Interviewing, and Information Gathering
Katherine M. Allen, Associate General Counsel, The Pennsylvania State University
Natasha Baker, Managing Attorney, Novus Law Firm, Inc.
Pamela Heatlie, Director of the Office for Institutional Equity, University of Michigan – Dearborn

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Module Overview

Interviews: Logistics, Who to Interview, and How to Interview Effectively
Participation by Parties and Witnesses
Amnesty
Required Disclosures – Garrity Rights
Conducting the Interview – Tips for Good Questioning
Post-Interview Considerations
Interviewing High-Level Employees and Police

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Interviews – General Considerations & Logistics
Scheduling Location/technology Notes/recording/transcripts? Accessibility

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Interviews – Representation & Support
Right to representation/support? Permissible?

Representative’s/support person’s role during interview

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Participation by Parties
Reasons for not wanting to participate?
Discuss prohibition on retaliation
Ensure it isn’t a barrier within the institution’s control (e.g., amnesty)
Make decision based on available evidence
Should you draw an adverse inference from a failure to participate?
Can you?

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Participation by Witnesses
Witness refuses to participate, and/or
One of the parties asks that a particular witness not be contacted
Ask why
Fear of retaliation?
Concern about own misconduct?
Consider how important the information would be, and whether other ways to get it.

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Amnesty

“Any individual who reports discrimination or harassment or participates in an investigation will not be subject to disciplinary action by the University for personal use of alcohol or other drugs at or near the time of the incident, provided that such use did not harm or place the health or safety of any other person at risk. The University may offer support, resources, and educational counseling to such individual.”

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Purpose of the Interview

Establish a narrative and timelines of events – get the facts!
Gather information to answer key questions
Clarify conflicting information
Understand how all parties perceived events

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Purpose of the Interview
In devising questions, consider:
Do I need to know the information?
Will an answer to my question help me understand what happened?
Will getting an answer to this question inform the decision?

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Interviews – General Considerations

Who to interview

Order of interviews

Status of the investigation

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Who to Interview
Complainant
Named respondent/individual making the challenged decision

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Who to Interview
Witnesses
Employees (faculty, staff)
Students
Individuals not associated with university
Visitors
Contractors
First responders
Medical personnel

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Interviews – General Considerations

Any required disclosures?
Details of the incident/circumstances at issue

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Interviews – General Considerations

Ask for other sources of relevant evidence – witnesses, documents, etc.
Who would have more information about…
Is there anything else?
For complainant, perhaps: What would you like to see as outcome?

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Interviews – General Considerations
Set the TONE
Develop rapport – put individual at ease
Explain your role – neutral, no conclusion has been reached
Offer paper copy of policy and where to find it online

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Interviews – General Considerations
Explain the steps in process
Explain prohibition against retaliation
Discuss confidentiality/privacy/information security
Access to resources and support

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Conducting the Interviews
Do:
Remain impartial and keep an open mind
Ask relevant questions that are specific to the incident
Importance of tone

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Conducting the Interviews
Don’t:
Make premature conclusions
Allow personal biases, belief system, stereotypes to guide your questioning
Badger the witness(es)
Ask accusatory questions/blame the victim
React to what the witness is saying

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Conducting the Interviews

Tips for Good Questioning
Ask open-ended questions
Listen more than talk
Give time to answer
Use appropriate tone
Be comfortable with silence
Avoid leading questions
Identify conflicting information
Ask questions that reveal attitude/belief
Avoid questions that imply judgment

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Conducting the Interviews
Types of Questions
“What” questions ask for facts and details
“How” questions ask about the process, sequence of events, or focus on emotions
Closed “Who/When/Where” questions ask for the specifics of the situation

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Conducting the Interviews
Types of Questions
Avoid “Why” questions
Avoid multiple choice questions
Avoid asking for conclusions

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Conducting the Interviews
Leading Questions
Were you upset with Ms. Harmani’s work schedule?

Did Ms. Harmani’s FMLA leave interfere with the work of the department?

	Were you worried after your conversation with your manager about the grant?

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Conducting the Interviews
Useful Phrases
Would you be willing to tell me more about...?
How did you feel about…?
What did you do after…? What happened then?
What did you mean when you said…?
What was your reaction to…?
How did you become involved in…?
What is your understanding of…?

Concluding the Interview

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Thank	Thank the party/witness	
Remind	Remind them of institution’s prohibition against retaliation	
Inform	Inform parties of next steps	
Discuss	Discuss confidentiality/privacy again	

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Post-Interview

Review interview notes/recording/transcript.
What do you know to be true? Are there undisputed facts?
What do you not know?

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Post-Interview

How can you find this information
out? Another witness? More evidence?
Circle back to give each party a chance to respond to new information.

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How many witnesses to interview?
When to stop?

Thoroughness/Efficiency

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Interviewing High-Level Management Employees

LEGAL REPRESENTATION

NEUTRALITY

INFLUENCE

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Interviewing Police

As a witness in a non-criminal matter
When investigating alleged misconduct by law enforcement

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Gather Other Information

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Prepare Timeline

Use interviews and documentation to develop timeline.
Will help to determine relevant follow-up questions for parties and witnesses
Will help factfinder/decision-maker understand what happened

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QUESTIONS?

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Note
The content of this presentation is to provide news and information on legal issues and all content is provided for informational purposes only and should not be considered legal advice.

The transmission of information in this presentation does not establish an attorney‐client relationship with the recipient. The recipient should not act on the information contained in this presentation without first consulting retained legal counsel.

	If you desire legal advice for a particular situation, you should consult an attorney.

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