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TIPS FOR CONDUCTING AN EFFECTIVE INVESTIGATION

 
I. Do Your Homework.

- Familiarize yourself with the allegation(s).
- Find relevant written policy.
- Determine what evidence, documentary or physical, would be relevant.
- Determine who else might have information.

II. Keep an Open Mind.

- Do not assume that the allegation is true.

- Be prepared to look for evidence that will disprove the allegation(s) as well as prove them. - Do not accept written statements or memoranda as the truth.

- Analyze all statements critically, things that sound like an exaggeration usually are.

- Look for inconsistencies, and issues that the interviewee Seem to be avoiding or hints of a hidden agenda.

- People routinely leave details out, sometimes on purpose.

- Reviewing previously prepared memoranda and statements will almost always lead to more questions.

III. Prepare for Interviews.

- Know the file.

- Decide on the order of interviews to be conducted, normally complainant/victim, then witnesses, then the subject.

 - Select a quiet private place for the interview.

The location should not have a telephone or windows since things are distractions, and you do not need distraction.

- If there is concern about someone "getting to" witnesses or victims in order to influence their testimony, move quickly and give little or no notice, under relevant policy or contract language. Caution interviewees not to discuss the investigation with anyone. IV. Conducting the Interviews. - Always open an interview by introducing yourself, providing your authority to conduct the investigation, and the purpose of the interview.

- The opening remarks should convey (in a low key way) that this is YOUR interview and you are in control.

- If you sit at a table you should sit at the head of the table since this conveys the psychological message that you are in control.

 - If you have advance information that the subject is difficult, hostile, or uncooperative, you may want to gain a psychological advantage by subtly demonstrating that you are in charge. You can do this by allowing him/her to take seat. You should then politely ask them to move to a seat that you select. This places them at a psychological disadvantage, by subtly indicating that you are in control. Do not ask them if they mind changing seats since this provides them with an opportunity to refuse or argue.

- Be prepared to explain the employee's rights and how his/her statement may be used in the investigation or subsequent disciplinary action.

- Bargaining unit employees may require special considerations, i.e., their rights to union representation.

- Know your options if the employee is represented and the representative is disruptive. Explain to the employee that this is his/her opportunity to tell their side of the story. If the representative continues to be disruptive terminate the interview, and document why you terminated.

- Plan to have plenty of time for each interview. It is always a good idea to put the interviewee at ease by beginning with a general conversation. This will get them talking freely before you begin pinning them down on relevant issues.

- Always ask questions in positive terms. Correct: "Tell me what you heard then." Wrong: "And, you didn't hear anything else at that point?" Generally you do not want to ask questions that can be answered with a yes or no answer.

 - Always ask if there is a way to corroborate the account and be prepared to check leads out and reinterview the person if necessary.

- Interviews being conducted to obtain information regarding sensitive issues, i.e., sexual misconduct, require special handling. I recommend that you have a second investigator or management official sit in during these interviews. Discuss the ground rules in advance with your partner to avoid any problems during the interview.

V. Dig and Probe

- Do not be reluctant to make the person uncomfortable. It is your job to make it hard for the person to tell anything but the truth.

- Be alert to and ask questions about exaggerations, inconsistencies, gaps, etc., whether internal to the oral interview, or between the interview account and a previous statement.

- Do not assume that a discrepancy is unimportant. Make the interviewee aware of the fact that you know they gave a different account previously, and you will only accept a complete and honest account.

- When interviewing the subject of the investigation, do not be in a hurry to get to the "bottom line" questions. Let them talk, about anything. The more they talk, the less they will remember about answers that were untruthful when it is time to resolve conflicting information. Keep notes of conflicts, then confront them with the conflicting information.

- Do not be unnecessarily specific about who said what.

- If the subject gives an explanation of events that sounds exonerating, ask how that explanation can be confirmed.

- For subjects, victims, and pertinent witnesses, write up their statements and have them sign them, preferably after they have been sworn. Review each statement for new leads and new questions, then follow up on them. Follow all leads to a logical conclusion.

 VI. Documentation

- Prepare a file as a repository for all information pertinent to the investigation. Coordinate with your Inspector General (IG) Office, Security Office or anyone else who has documentation, and/or evidence regarding the matter being investigated. This information or copies of this information should be collected and stored in the Personnel or Human Resources Office for future use.

- Prepare a report of your investigative activities. I prefer the chronological sequence of events.

When writing your report refrain from using terminology not readily understood outside of your agency. Your case may end up at Office of the Special Counsel or other places where there maybe misunderstanding about what you meant to say.

- Many times employees counsel will make allegations of misconduct or other issues in their responses to proposed disciplinary actions. These issues should be thoroughly investigated and documented. Investigation and clarification of these issues early can save you a lot of grief later.

Ray Fenwick, Senior Special Agent Department of Justice, INS
Sherba J. Essex,Personnel Management Spec U.S. Soldiers’ & Airmen’s Home
Presented at SOELR 98
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