1. What is alleged to have happened?

2. When did it happen?

3. Where did it happen?

4. What was the outcome or potential outcome of the event(s)?

5. Howdidithappen?

6. What requirement(s) are in question, related to the alleged event or occurrence?

V/hat organization aspects should I know about before the interview?

1. Organizational goals?

2. Staff roles and responsibilities?

3. Levels of supervision

4. Facility layout/physical plant?

WTio do I think has the information that I need to know?

1. Complainant?

2. Victim (patient, resident, client, customer, other)?

3. Witnesses?

4. informants?

5. Administration?

6. Staff?

7. Public?

8. Other?

Updated 10 17 06 DHFS Department Wide Training

NED —Principles of Investigation

Bureau of Quality Assurance — 3/2000
Where should the interview be conducted?

1. At facility or agency?

2. State/public office building?

3. Via phone?

4. Neutral location

environment?

How should the interview space be arranged? Do you have control over the space and

1. Position of the interviewee to the interviewer

2. Barriers an’d distractions

3. Furniture arrangement

What type of interview will be conducted?

1. Structures?

2. Semi-structured?

3. Unstructured?

4. Individual?

5. Group? V

6. Phone?

7. Questionnaire?

V

Updated 10 17 06 DHFS Department Wide Training NBO — Principles of Investigation Bureau of QualityAssurance — 3/2000
• Not spending time to develop rapport

• Biased or leading questions

• Inappropriate probing, i.e., failure to pick up on comments, body

language, etc.

• Avoiding difficult situations

Getting to the Truth:

• Plan the interview

• Take the interview seriously. If it’s not worth your time to ask the

questions correctly, then it’ s not worth the resident/client/staff

person’s time to answer the questions honestly

• Don’t assume, get clarification

• Learn how to ask difficult questions

o Compassion

o Understanding

o Empathy V

o Control

• Don’t guess V

V

• Keep the goal in mind

• Adapt to odd and difficult situations V

• Don’t ask leading/biased questions

Developing Rapport:

• The time you take to develop rapport can make or break an interview

and make an interview go more quickly

• Speak in conversational tone V• Use active listening

— let interviewee “tell the story”

• Always be professional

• Know i1ien to end
• Do not suggest answers

• Repeat questions

• Ask questions more slowly

• Rephrase questions

• Let the person think about the answer, don’t rush

• Do not appear impatient or abrupt

. Do not use leading probes

• Give the person the opportunity to express their own opinion, in their own way

Probing:

• Let the person tell the story, then go back andclarify

• A correct probe is

a prompt that will encourage further conversation

o Probe for correctness

o Probe for clarity

o Probe for completeness

• Repeat questions arid responses

• Give feedback

•. Avoid leading pobes

• Allow opportunity to reflect on full range (ex. Not just goodipoor, but excellent/good/fair/poor)

• Probe in conversational manner

• Tell the person how important it is to get their views

• Ask for more specific responses or explanations

o “What do you mean by that?”

o “Tell me what that means to you?” V

o Ask for definitions, i.e. “What do you mean by ‘short staffed’,

V ‘missing meds’, ‘was exhibiting behaviors’ ?‘.‘

o “Could you explain that?”

o “I’m not sure I understand...”
Difficult Situations:

• When the interviewee is upset (e.g. crying), don’t ignore and provide

reassurance

o “I’ sorry”

o “I understand”

o “It’s okto cry”

• Don’t pity, be respectful and sensitive

• Don’t make up stories

• Move forward with task at hand

• Handle anger first. “I know it’s intmsive, but it has to be done. Let’s

get through this together.”

10/06