Finding the Facts - Disciplinary and Harassment Investigation

investigator’s notes. A verbatim record of what was said during an interview ensures accuracy and provides conclusive support for the investigator’s Findings of Fact.

On the other hand, a disadvantage to tape recording is that it can be intimidating and cause the witness to be reluctant to provide information.

As an alternative to tape recording, the investigator may want the person interviewed to sign a written statement of his/her version of events. The written statement should be prepared by the investigator to ensure that it contains all the necessary information, and should be signed by the witness immediately so that he/she can be held accountable for his/her statement. Even if an interview is tape recorded, the investigator should always take notes regarding the witness’s demeanor and credibility. This information should be recorded even if the interview is not being tape recorded and the investigator is relying solely on his/her notes of the interview. The investigator should remain cognizant, however, that his/her notes may be subject to discovery in a subsequent administrative or judicial proceeding. Thus, the interview should be professional and respectful in tone, and the written notes should reflect this. The investigator may also want to record his/her observations, interpretations, and conclusions on a separate sheet of paper apart from his/her notes of facts gathered. All things considered, taping the interview is the most effective way to verify the accuracy of the witness’s statement and should be the rule rather than the exception.

While the law is not clear on whether consent is required, notice that the interview is being tape recorded must be given to the person being interviewed! Such notice should be recorded either on the tape or in writing.

LCW Practice Advisor

If the investigator decides not to tape record and to only take notes, he/she must keep in mind that careful notes taken at the beginning of an investigation and putting as much in quotation marks from the mouth of the speaker as possible will be essential in supporting the investigator’s conclusions, if challenged by the complainant or accused.

4. I NTERVIEW S TRATEGIES

a. Establish an Appropriate Interview Tone In all interviews, the investigator must convey the seriousness which all complaints deserve. The investigator must also inform witnesses that the investigation has not been completed and that a decision regarding the complaint will only be made after the investigation is complete. Particularly in interviewing, and in all dealings with the complainant, it is important to create an atmosphere that is supportive and conducive to the full development of information. The majority of complainants believe that by coming forward with their complaint, they are taking substantial risks. These risks include possible retaliation by the perpetrator, the prospect that

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