Investigative Interview Techniques Christopher Haney, CPA, CFE and Andrea Roller, Esq
Total Page:16
File Type:pdf, Size:1020Kb
Investigative Interview Techniques Christopher Haney, CPA, CFE and Andrea Roller, Esq. 1. Overview Whether you are interviewing the primary successful interview. We then discuss the subject of an investigation, a victim, or a commencement of the interview and Interviews represent the most basic and peripheral witness, it is crucial that the methods to establish rapport with the human element of any investigation. Diligent interview is conducted in a thorough and interviewee. We will also discuss the goals interviewers constantly search for a complete professional manner. Engaging in anything and approaches to both investigative and and truthful telling of events. Whether you are less may expose the investigation to the risk behavioral questioning. Finally, we will offer a law enforcement officer, an investigative its findings and conclusions are found less best practices for consideration as you reporter, or simply a parent negotiating a than credible or are ultimately excluded as conduct your own interviews. family dispute, investigative interviewing skills evidence. In a successful interview, the help you to efficiently and reliably determine process is as important as the results. This article is not intended to render you an the events and motives at hand. This article expert on investigative interviewing. With seeks to highlight the best practices of We begin this article by addressing the that said, the tactics and considerations interviewing techniques and to provide you quality standards incumbent on investigative discussed can be helpful to both novice and with a variety of considerations and tools for interviewers. We also identify best practices seasoned investigators. Remember, your next interview. for interview preparation to ensure the interviews are more of an art than a science, proper foundation is in place for a and the goal of this article is to offer you additional tools as you practice your craft. Inside 2 3 4 5 6 7 Importance of Quality Preparation Warnings and Building Rapport Investigative Behavioral Analysis Representation Questions Conclusion Investigative Interview Techniques 2. Importance of Quality the framework for assessing a corporation’s role, and its eligibility for cooperation credit.2 Questionable interview Effective interviewing has always been a Among the thirteen factors, five are directly techniques identified: key tenet of thorough and comprehensive related to investigations and interviewing: investigations. That mantra was emphasized “ In one investigation, counsel in a 2011 speech by Robert Khuzami, Selected Seaboard Factors interviewed together the two Director of Enforcement, U.S. Securities 1. How long after discovery of the senior executives with exposure and Exchange Commission (“SEC”). misconduct did it take to implement an in the investigation, and let one Director Khuzami underscored questionable effective response? serve as document custodian tactics employed by counsel during internal with full and unsupervised access investigations, specifically addressing a 2. What steps did the company take upon to all documents related to the variety of dubious interview practices. learning of the misconduct? Did the investigation and the ability to Director Khuzami also noted the SEC’s new company immediately stop the destroy them.” misconduct? Are persons responsible for Cooperation Program, which provides for - Robert Khuzami, Director, Division any misconduct still with the company? If reduced, or even no sanctions, in return for of Enforcement, SEC diligent self-policing or assistance in an so, are they still in the same positions? SEC investigation.1 The moral of Director Did the company promptly, completely and effectively disclose the existence of Khuzami’s speech is clear; organizations 5. Did the company promptly make available the misconduct to the public, to regulators risk losing cooperation credit by not to our staff the results of its review and and to self-regulators? Did the company conducting thoughtful and comprehensive provide sufficient documentation cooperate completely with appropriate interviews and investigations. The SEC’s reflecting its response to the situation? regulatory and law enforcement bodies? stance is consistent with a variety of other Did the company identify possible Did the company identify what additional criminal and regulatory enforcement agencies. violative conduct and evidence with related misconduct is likely to have sufficient precision to facilitate prompt When considering the specific factors used occurred? Did the company take steps to enforcement actions against those who to assess the quality of interviews, a variety identify the extent of damage to investors violated the law? Did the company of standards exist. For the purposes of this and other corporate constituencies? Did produce a thorough and probing written article, we find it useful to consider the the company appropriately recompense report detailing the findings of its review? factors utilized by the SEC, given the those adversely affected by the conduct? Did the company voluntarily disclose Commission’s broad enforcement information our staff did not directly capabilities and the recent public focus on 3. What processes did the company follow request and otherwise might not have interview techniques. The Commission to resolve many of these issues and ferret uncovered? Did the company ask its commonly refers to the 2001 case of Gisela out necessary information? Were the employees to cooperate with our staff and de Leon-Meredith, the controller of Chestnut Audit Committee and the Board of make all reasonable efforts to secure Hill Farms (a subsidiary of the Seaboard Directors fully informed? If so, when? such cooperation? Corporation or “Seaboard”). This case 4. Did the company commit to learn the highlights the significance of effective truth, fully and expeditiously? Did it do a Inherent in the SEC’s decision to not seek internal investigations: despite concluding thorough review of the nature, extent, enforcement action against Seaboard, were that de Leon-Meredith caused Seaboard origins and consequences of the conduct effective interviewing techniques. Corporation’s books and records to be and related behavior? Did management, Seaboard’s management commenced a inaccurate, the SEC nonetheless took no the Board or committees consisting solely robust internal investigation and was action against Seaboard, finding instead that of outside directors oversee the review? entirely forthcoming with the SEC. The Seaboard’s robust and proactive response Did company employees or outside result was extraordinary: the SEC took no mitigated the need to seek enforcement persons perform the review? If outside enforcement action against Seaboard. against the company. persons, had they done other work for the While not all SEC inquiries will have such favorable conclusions, without an effective The SEC utilized a thirteen point analytic company? Where the review was investigation and quality interviews, this framework to assess Seaboard’s actions conducted by outside counsel, had result would be unachievable. and its response when considering management previously engaged such enforcement actions. These factors, known counsel? Were scope limitations placed as the “Seaboard Factors”, continue to be on the review? If so, what were they? 1. Khuzami, Robert S., “Remarks to Criminal Law Group of the UJA-Federation of New York,” U.S. Securities and Exchange Commission, June 1, 2011. 2. Matter of Gisela de Leon-Meredith, Exchange Act Release No. 44970, October 23, 2001; Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934 and Commission Statement on the Relationship of Cooperation to Agency Enforcement Decisions, Release No. 44969, October 23, 2001. Duff & Phelps | 2 Investigative Interview Techniques 3. Preparation Personnel As will be discussed shortly, building Many interviewers combine A decisive component of any effective rapport can greatly increase the interview techniques with interview is preparation. In addition to cooperation and truthfulness of an interrogation tactics. having a well-developed understanding of interviewee. To maximize rapport, consider the issues at hand, the interviewer should which personnel should conduct the INTERVIEWS strive to prepare for the following: interview. Demographic factors, such as y Non-Accusatory age or sex, may be appropriate Strategy y considerations as well as potential Fact Seeking Develop an overall strategy for the similarities in background or socioeconomic y Conversational interview, including the interview’s purpose status. While these factors are not always in the grander investigation and the specific under the control of interviewers, the costs INTERROGATIONS objectives for the interview. Particularly at and benefits should always be considered. y Guilt is suspected the outset of the investigation, interviews may be less scripted due to lack of case- Setting y Accusatory specific knowledge. That does not exempt The concepts of privacy and proximity are y Confession Seeking the interviewer from establishing clear key considerations when choosing the ideal goals for the session. Questions that must interview setting. Privacy considerations These are not interchangeable! be considered prior to the interview affect an interviewee’s ability to answer include: Are these interviews fact seeking, questions openly and truthfully without fear or is the intent to develop the interviewee of eavesdropping. Proximity