The Art of Interviewing

Transcription

1 The Art of Interviewing Institute of Internal Auditors Miami Chapter March 29, 2019 Presented by Ed McDonough, CPP CFE Chief Security Officer ADT Security Services 2019 Edward McDonough, CPP CFE All Rights Reserved

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3 TOPICS Purpose Preparation Asking the questions Evaluating the answers Strategy, Tactics and Techniques Do s and Don'ts of Interviewing 3

4 PURPOSE Obtain relevant information Find the truth Identify the guilty Eliminate innocent 4

5 Preparation

6 PREPARATION Study the facts and information of the case If practical, visit the scene of the crime Review investigation reports Review other statements Examine physical evidence Evaluate circumstantial evidence Obtain background information on suspects Bring documentation, other statements, etc. to the interview 6

7 TIME Interview As soon as possible Convenient Sufficient Scheduled Interrogation Not until armed with evidential facts Surprise vs. Scheduled 7

8 LOCATION Set up Private and quiet No interruptions No distractions Interview Friendly, familiar, comfortable surroundings Convenient Interrogation Advantage to the interrogator Set the stage Non-supportive 8

9 INTERVIEW or INTERROGATION 9

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11 Asking the Questions

12 MECHANICS OF QUESTIONING Questions are the tools used to focus attention on matters relevant to the investigation Questions are used to: Direct the interview Control the interview Obtain information Clarify data, discrepancies and contradictions Test the validity of the information Probe for withheld information Achieve understanding 12

13 METHODS OF QUESTIONING Narrative - requires the subject to tell what he/she knows about a specific matter Direct examination systematic questioning designed to bring new information or fill in details Cross examination - exploratory questioning designed to test previous information, resolve conflicting details, challenge evasive answers and undermine the selfconfidence created by deceptive answers 13

14 CHARACTERISTICS OF A GOOD QUESTION Short And Confined To One Topic Clear And Easily Understood Non-Threatening And Non-Emotional Open Ended Elicits Precise Answers Where Were You Yesterday? Where Were You Yesterday Morning? Where Were You Yesterday At 11:15? Produces Information That Is Directly Related To The Matter 14

15 ACTIVE LISTENNG Listen to the answers and think about their content Actively Perceptively Accurately Objectively With empathy Without annoyance, irritation and emotion What is the biggest obstacle to Active Listening? 15

16 Evaluating the Answers

17 EVALUATION Verbal and Non-verbal responses General principles Actions speak louder than words Nonverbal communication is responsible for more than half of total communication The meaning of verbal communication is emphasized, modified or contradicted by the nonverbal behavior a person Nonverbal is always "on" Behavior symptoms become more dramatic as stress levels increase 17

18 EVALUATION Verbal Responses Truthful Normal tone of voice Direct denial Immediate responses Not reluctant to use harsh, realistic words Corrects interviewer s mistakes Does not reinforce denials with oaths, religious reference 18

19 EVALUATION Verbal Responses Deceptive Delayed, evasive or vague response Mumbles, subdued tone of voice Tries to avoid the issue Injects irrelevant matters Avoids realistic words and terms Often feigns memory failure Repeats question back to interviewer Resorts to oath taking Offers to pay money back 19

20 Copyright 1998 and 2000 John E. Reid and Associates, Inc. 20

21 EVALUATION Non-verbal responses It is vital that the interviewer: Observe a broad range of nonverbal activity Look for specific changes and inconsistencies Evaluate the behavioral indications of deception on the basis of when they occur and how often they occur Remember that no one behavior indicator should be evaluated on its own; all should be given collective consideration Behavioral indications of deception 21

22 EVALUATION Non-verbal responses Factors that may influence the reliability of behavior symptoms Importance of the issue Intelligence of the subject Emotional stability of the subject Maturity level Cultural differences Use of medications, drugs, alcohol, etc. 22

23 Copyright 1998 and 2000 John E. Reid and Associates, Inc. 23

24 Strategy, Tactics & Techniques How to use the Fraud Triangle in Your Strategy

25 THE FRAUD TRIANGLE 25

26 THE FRAUD TRIANGLE Opportunity 26

27 OPPORTUNITY Opportunity is simply the existence of favorable circumstances that allow a fraud to be committed More complex organizational structures, de-layered organizations, increased spans of control, and managing from a distance have served to create additional opportunities for fraud Opportunity can be either real or perceived 27

28 OPPORTUNITY (CONT.) Opportunity is the area of the fraud triangle where the manager can be most effective A real or perceived weakness of internal controls significantly increases the chance of fraud Professional skepticism on the part of managers can help reduce the risk of fraud 28

29 THE FRAUD TRIANGLE Rationalization 29

30 RATIONALIZATION The psychological make up of an individual and the circumstances in their life will determine whether or not they are able to justify a fraudulent act to themselves People committing fraud generally do not consider the behavior to be acceptable, they justify their actions through rationalization 30

31 RATIONALIZATION (CONT.) Common rationalizing statements I am just borrowing the money Everybody does it I am not hurting anyone It s for a good cause It s not really serious The Company can afford it I deserve it Individuals who commit fraud normally justify their actions to themselves so they can cope and continue to function 31

32 THE FRAUD TRIANGLE Need 32

33 NEED Examples of financial need: Keeping up with Jones - living beyond ones means High personal debt or poor credit Financial losses Gambling, Substance Abuse Undue pressure to succeed Greed Feeling of entitlement Divorce Medical bills Educational costs 33

34 NEED (CONT.) Additional factors impacting financial need The perpetrator of fraud is generally unable to meet the need through traditional or acceptable means Challenges to beat the system, job dissatisfaction, emotional instability Identifying a financial need or pressure does not mean there has been a fraud or that a fraud will be committed NEED OFTEN BECOMES MOTIVE 34

35 THE FRAUD TRIANGLE Motive / Need FRAUD Rationalization Opportunity 35

36 STRATEGY The decisions regarding the approach and setting made before an interview is started Is an interview the most valid and efficient means to gather the necessary information Who should be interviewed Who does the interviewing; Should there be a witness What tactics and techniques should the interviewer use When and where should the interview take place 36

37 TACTICS The functional steps of the interview Approach Rapport Free narrative Questioning by the interviewer Summary Obtain written record of the interview Close the interview 37

38 TECHNIQUES Verbal and nonverbal behavior to communicate a question and motivate the subject to answer it Silence Move closer Empathize Offer justifications Point out symptoms of guilt Seek an admission Suggest the answer is already known Give subject an opportunity to lie Suggest incriminating evidence Ask about consequences Trickery and deceit Good guy / bad guy 38

39 Copyright 2005 NBC Dateline 39

40 Do s and Don t s of Interviewing

41 DO'S OF INTERVIEWING Prepare Provide a suitable environment Be empathic Treat subject like a human being Show consideration and respect Talk on the subject's level Pay attention Listen Actively Stay in control Keep an open mind Ask objective questions 41

42 DON'TS OF INTERVIEWING Be interrupted Set a time limit Belittle the subject Prejudge guilt Intimidate Give too much info Ask too many leading questions 42

43 Questions & Discussion Ed McDonough, CPP CFE ADT Security Services (561)