THE INTERVIEW PROCESS

1. THE INTERVIEW PROCESS Presenters: Cassandra Opheikens, DHRM James Brown, Division of Risk Management

2. Overview • Basics • Issues to Consider • Questioning techniques • Confidentiality • Dealing with Difficult Witnesses • Scenarios

3. Basics • Make interviewees feel as comfortable as possible. • Pick a suitable location. • Offer water and tissue. • Be aware of cultural aspects that may help or hinder the interview process. • Identify yourself and your role in the investigation. • Avoid negative body language

4. Basics, cont. • Pre Planning Checklist • Make a list of issues and possible witnesses. • Know which witnesses you will start with. • Make a list of potential questions .and anticipate difficult issues. • Have all possible and available documents in your possession. • Reserve a private place to conduct the interviews. • Determine who you will inform about the interviews for the investigation and its progress. • Know the state's policies on workplace conduct and have a copy of the written policy available. • Know what resources are available for employees in need of counseling or other services. • Set aside the time you will need to focus on the interviews for the investigation.

5. Basics, cont. • Planning for the Interview - • When do you start the interview process?   • What is an appropriate location?   • What documents and physical evidence will need to be reviewed?   • What resources do you give to the parties?   • Can comments be made off the record? • How can you encourage reluctant witnesses to be cooperative?

6. Basics, cont. • Interviewing the parties– • Different questions for • Complainant • Respondent • Witnesses

7. Basics, Cont. • Differences to consider when interviewing - • Complainant • Respondent • Witnesses

8. Issues to Consider – Request to Have Representative Present • Employers have the responsibility to conduct prompt, efficient and thorough workplace investigations. • Not all agencies handle allowing employees to have representation during interviews the same way. • Non-union employees are not necessarily entitled to representation during the interview process. Agency policies may offer specific direction on this

9. Issues to Consider – Representative, cont. • Many agencies will allow employees to bring representatives with them during investigation interviews. • It is not the responsibility of investigators to inform employees they can have a representative.

10. Issues to Consider – Representative, cont. • If you allow an employee to have a representative, keep the following in mind: • Do not allow coworkers that are also investigation witnesses. • During the investigation interview, the representative should not tell the employee what to say or answer questions for them. • Representatives cannot interfere with the investigation process. • Employees are not entitled to notice regarding the topic of the investigation prior to the interview.

11. Issues to Consider – Note Taking • Don’t include anything in your notes that is not professional and pertinent to the interview. Presume everything is subject to discovery and may become part of a legal proceeding. • One or both interviewers can take notes. Decide as a team how you will proceed. • You have the option of typing your notes and having witnesses sign them to testify to their accuracy.

12. Issues to Consider – Note Taking, cont. • If you have an interviewee sign your notes, you do not need a verbatim record of the interview. Only major points need to be included. • Use your best judgment to determine if signed notes are necessary. If the investigation could lead to a demotion or termination, it may be worth the extra effort to get interview notes signed.

13. Issues to Consider – Tape Recording • We recommend that interviews not be recorded unless interviewers have a compelling reason to do so, e.g. very technical topic, etc. • ADA? • Interviewees should not be allowed to tape record the interview.

14. Issues to Consider – Tape Recording, cont. Reasons for not allowing tape recording: • Difficult to ensure the tape is not tampered with. • Difficult to obtain transcription services; it is discoverable and would need to be transcribed during legal proceedings. • Professional transcription services are costly. • Could have a chilling effect on interviewees.

15. Issues to Consider – Investigation Participation • Thank interviewees for their participation. • Inform interviewees that their participation is vital to the process. • Inform interviewees that final decisions will be based on information obtained during the investigation process. Without their assistance, an inaccurate finding could be made.

16. Issues to Consider – Investigation Participation, cont. • Agencies have the right to compel employees to participate under the threat of discipline. • Statements obtained in interviews should not be used in criminal proceedings. • Public employees do not have the right to refuse to answer questions regarding their official duties. Employees that choose to remain silent may be subject to disciplinary action for insubordination.

17. Issues to Consider – Investigation Participation, cont. Two Options for Silent Employees: • Tell employee that you will make decisions regarding the investigation without their input. • Work with their supervisor to compel them to answer or face disciplinary action for insubordination.

18. Questioning Techniques • Start with open-ended questions. • Ask who, where, what, when, why and how questions. • Ask interviewees to describe and explain. • Actively listen to all answers. • Watch for non-verbal indicators.

19. Questioning Techniques, cont. • Use a variety of questioning techniques such as asking questions out of order, repeating questions during the interview, summarizing, etc. • Use the Columbo Method. • Keep questions short and simple.

20. Questioning Techniques, cont. Avoid questions that are: • Accusatory • Leading • Have multiple components.

21. Questioning Techniques, cont. Get Details: • Ask interviewee to draw location • Ask interviewee very specific questions. • Ask interviewee to demonstrate conduct. Be patient; give interviewee time to respond. Silence can be very useful in the interview process.

22. Investigation Confidentiality • Tell all interviewees that they are prohibited from discussing the investigation with others during the investigation process. They should not approach other participants regarding the investigation at work or off work. • All participants shall not engage in any retaliatory behavior and should be advised of potential consequences.

23. Investigation Confidentiality, cont. • Disregarding this directive will result in disciplinary action. • Your notes should include that you gave this directive to interviewees. • Can require interviewees to sign a form containing this information if necessary.

24. Dealing with Difficult Witnesses – Accused Parties • Ask open-ended questions to start the interview. • Allow time for the accused to respond. • Be honest and straightforward. • Be upfront about allegations; provide specifics as needed. • Accused has the right to be aware of and respond to allegations.

25. Difficult Witnesses, cont. • Stay in control of the interview process. • Interrupt interviewee if necessary. • Don’t lose focus on the purpose of the interview. • Don’t make promises you can’t keep. • Address witness concerns.

26. Difficult Witnesses, cont. • Document behaviors. • Don’t argue or threaten. • If appropriate, allow interviewee to vent. • Be straightforward. • Remain tactful and respectful.

27. Scenario • Beginning in late July 2013 and continuing to late September 2013, it is alleged that you made comments to him/her, many on a daily basis, which were offensive and/or intimidating. Such comments included the following: • It is alleged that you asked him/her personal questions such as about his/her age. You would constantly ask, "Why don't you date?" The (fe)male co-worker would say, "It's none of your business. I'm a private person." You would ask, "Don't you get sexually flustrated [sp ]?" and, "Are you gay?" You would tell him/her not to write you up for your comments. What questions do you have/want to ask?

28. Strategies Role Play

29. Complaint: • Julia Laurent, an accountant in your finance section, files a complaint stating that on two occasions her supervisor has “harassed” her. Earlier in the week, she attended a meeting where her supervisor made a presentation using a laser pointer. On two occasions during this meeting, her supervisor, Phil Avery, pointed the laser beam at her chest. She was embarrassed by this during the meeting and afterwards when two coworkers mentioned the incident to her. Julia feels strongly that Phil did this intentionally. • The second incident of harassment occurred earlier that day when she received an email from Phil wherein he had attached a document entitled “Men’s Rules for Women.” This document included several very crude statements and she was offended. A couple hours after sending this document, Phil asked if she enjoyed it. When she replied that she didn’t find it to be appropriate for the workplace, Phil told her to “lighten up.” This same email went to other section members according to the properties on the email. What questions do you have for Phil?

30. Questions?