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Investigation Interview Checklist

Draft a communication to invite the employee to the investigative interviewBest Practice Tips:

Subject Interview:o When inviting the subject of the investigation provide the subject with

enough information regarding the purpose of the interview so they can determine if they want to invoke Weingarten Rights

o The law does not require the employer to inform employees of their Weingarten Rights, but to avoid procedural concerns later, it is best to inform the employee they have the right to union representation in the invitation

Notify the employee that: The County will be scheduling an investigatory interview regarding [very brief statement to indicate what the meeting is about, e.g., regarding concerns related to your conduct in the office on November 3rd]. You have the right to Union representation at this meeting.

Witness Interview:o When inviting a witness to the investigative meeting advise them that they

are being invited to participate as a witness to an incident and clarify that they are not under investigation.

o Union representation is not necessary for a witness, but it is up to each public entity to decide if they want to allow a union representation for witness interviews.

o If there are questions regarding the nature of the witness’ involvement, a best practice would be to provide sufficient information for the witness to decide whether or not to bring a union representative.

For unionized employees ensure they have been afforded Weingarten RightsBest Practice Tips:

If an employee refuses Weingarten rights, make sure to document the decision in the interview notes

If the employee makes a decision at any point during the interview that they want a union representative, stop the questioning and advise that you will be in touch shortly to reschedule the interview

If the employee wishes to invoke Weingarten Rights, provide at least 24 hours for the employee to secure union representationBest Practice Tip:

If the employee requests a certain union representative who is unavailable during the original timeframe, it is acceptable to allow additional time, within reason, so

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the requested union representative can attend the investigative interview. If it does not unduly harm the employer’s interests, a one- to two-day extension is generally considered reasonable.

When scheduling the meeting make sure you have communicated with all parties and that everyone is available on the scheduled dateBest Practice Tip:

Prior to selecting the meeting date, ensure that you have gathered and reviewed relevant information to prepare, such as related written documents or physical evidence. While it is important to promptly investigate a concern, be sure to allow enough time to consider and prepare appropriate lines of questioning.

Schedule a neutral room to conduct the interviewPrint Tennessen Advisory to provide to the interviewee, including signature line for acknowledgementHave opening statement prepared for witness or subject of investigation; see example at bottom of pagePrepare interview questions in advance to answer, at a minimum, the following: What happened?When did it happen?Where did it happen?Who witnessed the event?Why did it happen?Who was accountable for the situation/event?Best Practice Tip:

Have colleague who is familiar with the situation or is otherwise authorized to access the data for business purposes, or legal counsel, review and audit the interview questions in advance of the interview.

As the investigation unfolds be prepared to ask additional questions and have follow-up questions prepared.

Determine, in advance of the interview, who will be conducting the interview (HR, Direct Supervisor etc.)

Depending on length of interview, be prepared to give a breakBest Practice Tip:

If the Union or employee asks for a break after the interviewer asks a question, advise a break will be afforded after the employee answers the question that was just posed.

Have notepad and multiple writing utensils available

The County may wish to record investigative interviews. If using a voice recorder, take

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into consideration how you will store the recording, which recording medium you will use and storage for record retention purposes. Have extra batteries / charging cables / tapes available in the room.

SAMPLE Investigation Interview Introduction for the SUBJECT of the investigationBefore we begin the questioning, I’d like to emphasize that the purpose of today’s meeting is to conduct an investigatory interview to gather the relevant facts and information regarding a concern that has been raised. This investigation is being conducted in follow-up to a complaint we received regarding [insert general detail]. Your alleged conduct is the subject of this investigation on the basis of whether or not you may have violated County policy, applicable rules or regulations, professional codes of conduct, or other applicable work-related expectations. The allegations compel [County Name] as a public entity to further investigate these matters. [Note - The following is applicable in the case of a voluntary statement] You are not legally required to provide information during this interview and no adverse employment action will be taken against you based on a decision not to participate. However, in the event you fail to fully participate in the investigatory interview process, the County will proceed with the investigation based on the information available. Your choice to not provide requested information will necessitate that a decision be made without the benefit of hearing the information that you could provide. If you do provide information as part of this investigation, it is the County’s expectation that any information you provide is truthful. [Provide written Tennessen Notice for employee review and signature.]As a reminder, [County Name] is committed to maintaining a respectful workplace environment and prohibits retaliation against anyone for participating in an investigation or for filing a complaint. Do you understand this, and why we’re here today? Do you have any questions before we begin?

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