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Following methods are employed to solicit information about a person’s honesty –  Interview

Pencil & Paper Test

Graphology

Voice Stress Test & Polygraphs

 Interview is by far the most common inquiry method.  

HONESTY TESTING –

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Conducting investigative interviews is a crucial element of the process of Investigation. Interviewing victims, witnesses and suspects is central to the success of an investigation and the highest standards need to be upheld. An interview is different from a conversation between two individuals. A conversation is an interactive sharing of information, while an interview is a meeting at which information is obtained (not shared).  Interviewing is a systematic question of individuals who have knowledge of events, people and evidence related to the case being investigated.  

INTRODUCTION –

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Interviews are conducted with suspects, victims, co-workers, complainants, customers, vendors and anyone who might be helpful in the investigation.  Different interviewees are to be dealt with differently, based on their type i.e. -   Friendly Neutral & Hostile Friendly interviewees are easiest to interview, as they are very helpful (or pretend to be). However, one should exercise due care in determining the motive behind their friendliness. There may be an attempt to divert attention away from the interviewee or seek revenge from the suspect.

TYPES OF INTERVIEWEES –

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Neutral interviewees do not have any hidden agenda. They are most objective in the interviews.  Hostile interviewees are the most difficult ones to interview. Often they have some association with the fraud or the suspect.

It is advisable to interview the Hostile interviews without giving them time to prepare their defences.  

TYPES OF INTERVIEWEES –

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Following are the characteristics of a good interview -   Good interviews are always objective in nature Good interviews are conducted in fair and impartial

manner Interview should be of sufficient length Interviews should be conducted as close to the event in

question, as possible Interview should be able to focus only on useful

information and the irrelevant information should be quickly steered away.

Interviews should always end on a positive note. 

 

CHARACTERISTICS OF A GOOD INTERVIEW -

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Good interviewers exhibit the following characteristics-   Good interviewers are thoroughly professional in their

approach, they are always on time, suitably dressed up and well prepared for the interview

Good interviewers maintain low key and maintain an informal atmosphere during the interview

Good interviewers take keen interest in the subject and what is being said

Good interviewers allow interviewees to complete and do not interrupt unnecessarily

Good interviewers are and appear to be unbiased Good interviewers are those with whom people are willing

to share information. Good interviewers understand the “Human Behaviour”.

 

CHARACTERISTICS OF A GOOD INTERVIEWER -

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It is crucial to consider the state of mind of the interviewee before an interview is planned.  A good interviewer understands human behaviour in a crises situation. People in crises demonstrate the following sequence of reactions –  1) Denial2) Anger3) Rationalisation4) Depression5) Acceptance

It may not be out of place to mention here that interviews conducted during the 5th stage i.e. “Acceptance” are most successful.

HUMAN BEHAVIOUR – REACTION TO CRISES

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Following are a few suggestions for an effective interview –   Interviewer should sit close to the interviewee, with no

furniture e.g. Desk in between but without invading the body space

Interviewer should stay seated and should not walk around the room.

Interviewer should be friendly but not social Interviewer should not try to dominate the interview Due consideration to the personal concerns of the

interviewee e.g. race, religion, ethnic background, sex etc. needs to be given.

Interviewer should behave respectfully with the interviewee

Conduct the interview in private Keep pencil and paper out of sight

SUGGESTION FOR AN EFFECTIVE INTERVIEW -

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Use short and simple questions Do not use Technical Jargons Wherever possible ask questions that require narrative

answers Avoid questions that suggest part of the answer Do not let interviewee to deviate from the topic. Concentrate more on the answer given by the interviewee

than the next question to the asked Clearly understand each answer before continuing Ask witnesses to factually substantiate any conclusion

they state Maintain Eye Contact with the respondent throughout the

interview Interview one person at a time End interview with a cooperative witness by expressing

sincere appreciation.

SUGGESTION FOR AN EFFECTIVE INTERVIEW -

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INTERVIEWING TECHNIQUES -

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There are specific techniques, which will result in more effective information procurement. (1) Purpose -An interview should have a clearly defined purpose. The more specific the purpose; the better it is. Information that is expected from the interview must be clearly known? A specific purpose also helps keep the interview on the right track. (2) Professionalism and integrity -Interviewing is complex. It requires learning and practice to ensure that high standards are achieved and maintained. 

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Whether the primary subject of an investigation or a victim, or a peripheral witness is being interviewed, it is crucial that the interview is conducted in a thorough and professional manner.

a) Establishing a professional relationship -People are more likely to give accurate information if they trust the professionalism of the interviewer. The interviewee should be treated fairly and in accordance with legislative guidelines.

Interviewers must not allow their personal opinions or beliefs to affect the way in which they deal with witnesses, victims or suspects.

INTERVIEWING TECHNIQUES -

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b) The importance of being methodical -Being methodical helps both the interviewer and interviewee. Planning, preparation and ensuring that the interview plan is followed are all part of being methodical. c) Unbiased -Respondents must perceive the interviewer as free from bias and subjectivity.

(3) Setting -The concepts of privacy and proximity are key considerations when choosing the ideal interview setting. Minimizing anxiety associated with privacy and proximity concerns will likely yield more productive interviews.

INTERVIEWING TECHNIQUES -

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(4) Personnel -To maximize rapport, consider which personnel should conduct the interview. Demographic factors, such as age or sex, may be appropriate considerations as also the potential similarities in background or socioeconomic status. (5) Sequencing -A key consideration when conducting multiple interviews is the order and timing of such interviews. Consider if it is advantageous to gather facts from witnesses prior to approaching a suspect. Concurrent interviews may also be advantageous if collusion among interviewees is suspected.

INTERVIEWING TECHNIQUES -

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(6) Being prepared -The most efficient and productive interviews are accomplished by advanced preparation. Questions should be prepared ahead of time along with evidential material that will be introduced during the interview. One should try to gather the following information about the fraud and the prospective interviewees –

a) The Fraud -   Nature of the fraud Date, time and place of occurrence Manner in which the offense appears to have taken place Probable motives behind the offense All the available evidence  

INTERVIEWING TECHNIQUES -

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b) The prospective interviewee -  Background of the interviewee e.g. age, qualification, job

history, marital status etc. Attitude towards investigation Any physical or mental condition e.g. use of alcohol, drugs

etc. It is usually advisable to schedule the interviews at the workplace of the interviewee, so that all the relevant documents and evidences may be accessed, if needed. Also, the interviewee is more comfortable in his or her own office. However, such place should be free from distractions from co-workers, telephone calls etc.

Interviews with friendly or neutral interviews should be conducted with prior appointments.

INTERVIEWING TECHNIQUES -

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(7) Establishing a rapport -Establishing a rapport means being genuinely open, interested and approachable, as well as being interested in the interviewee’s feelings or welfare. After completing the steps of preparation, the interviewer is able to begin a dialogue with the witness.

In addition to some degree of anxiety about interviewing, many witnesses are often apprehensive about the goals and motives of the interviewer. Hence, at the beginning of an interview, questions should be focused on developing rapport with the witness. This includes asking simple and non-threatening questions in a conversational tone. Straightforward questions regarding family or hobbies may be useful to engage a witness.

INTERVIEWING TECHNIQUES -

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Once again, the goal of building rapport is to develop a safe environment for the witness to feel comfortable sharing their knowledge of events, which may be sensitive or embarrassing. Another goal of rapport-focused questioning is to establish a baseline for the behavioural symptoms a witness may exhibit when answering questions. Interviewers should strive to minimize physical barriers between themselves and the witness (i.e. tables, desk, or excessive space). These barriers can obstruct an otherwise open environment, as well as minimize the amount of body language the interviewer can observe.  After all, first interactions with a witness often dictate the success of future interview efforts.

INTERVIEWING TECHNIQUES -

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(8) Develop a theme for the interview –To get desired assistance from the respondent a theme for the interview is to be decided. Generally the most effective theme is to seek help from the respondent.

(9) Verbal and Non-Verbal Communication -The key to identifying fraud via interviews is to determine when to follow-up on answers and when to move on to the next question. Interviewees tend to provide non-verbal and verbal cues that indicate matters of potential concern.

(10) Silence -Silence is most effective following sensitive questions , for instance, “Has there been a situation when staff has deviated from the policies and procedures?” If the interviewee is providing monosyllabic answers or it is suspected that he his holding back, use silence.

INTERVIEWING TECHNIQUES -

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(11) Question Thoroughly -Interviewee as well interviewers alike feel awkward to discuss about a potential fraud in the workplace. However, interviewers must not let their discomfort of asking the “tough questions” get in the way of obtaining useful information. A superficial treatment of the topic of possible fraud in an investigative interview will not uncover anything.

(12) Post Interview -Fraud detection does not have to end with the final question. To keep the dialogue open, interviewer must leave his business card and encourage the interviewee to reach out.    

INTERVIEWING TECHNIQUES -

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Normally an interview involves five types of questions namely Introductory, Informational, Assessment, Closing and Admission-seeking. When friendly or neutral witnesses are interviewed, Assessment and Admission Seeking Questions are not required. Assessment type questions are asked when there are reasons to believe that the witness is hiding anything or is not truthful. Similarly admission seeking questions are required when there are definite reasons to believe that the person is responsible for the crime.  

METHODOLOGY OF AN INTERVIEW -

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(1) Introductory Questions –  After briefing about the purpose for the contact, an interviewer asks introductory questions. They serve two purposes, to start the interview and to make the respondent agree to cooperate.

“I am reviewing certain procedures here and I need your help. Could I spend a few minutes with you now? (2) Informational Questions –  After a rapport is established, interviewers pose informational questions for facts gathering. Here three categories of questions i.e. Open, Closed and Leading may be asked.

METHODOLOGY OF AN INTERVIEW -

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(i) Open Questions - These questions are framed in such a way that answering with a “Yes” or “No” becomes difficult. Such questions require lengthy answers and thus stimulate conversion.  “Please tell me something about your roles & responsibilities” or

“Please describe the Purchase procedures to me” 

(ii) Closed Questions - These questions require a precise answer e.g. yes or no. Answers to closed questions could include a date, place, time, an amount etc.  “When did it happen?” or

“Do you work in Cash Department?”

METHODOLOGY OF AN INTERVIEW -

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(iii) Leading Questions -  Questions containing a portion of the answer are called leading questions.  “So you are working here since last year?” The questions have to be asked in a logical sequence to extract maximum possible information.  Interview comes to an end at this stage, unless the interviewer believes that the respondent is lying or hiding anything.

METHODOLOGY OF AN INTERVIEW -

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(3) Assessment Questions – When the respondent appears to deceptive, assessment questions are posed to establish credibility of the respondent. Verbal and non-verbal response of the respondent to these questions is observed and compared against respondent’s baseline behaviour.  Behaviour pattern of the interviewee –

Stress generated during lying is relived through following verbal and nonverbal reactions -

METHODOLOGY OF AN INTERVIEW -

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Verbal Clues -  Repetition of the question Changes in Speech Patterns Complaints about the physical environment, duration of

the interview etc. Oaths – Try to establish credibility Selective memory Use of Vague language Making Excuses Character Testimony Answering with a question Too much of Respect and Cooperation Use soft words in place of emotionally charged ones Denials getting weaker with the course of interview May refer to previous statements to avoid directly

answering the question.

METHODOLOGY OF AN INTERVIEW -

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Nonverbal Clues –

Increased Heart Beat, excessive Perspiration, shallow Breathing etc.

Full Body Motions Change in Hand Movements made to demonstrate points Covering Mouth with Hands Playing with Paperweight, pencils etc. Sitting in a “Fleeing” position Crossing Arms over Chest / Belly Showing keen interest in Evidence produced Licking Lips, Biting Lips or Tongue Chewing on objects

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(4) Closing Questions - Closing questions help in confirming the facts, getting new pieces of information / evidence and maintain rapport.  “Are you sure about this?” “You knew that he used to take drugs, is that right? Following questions may always be asked while concluding an interview –

Is there anything else relevant that I have missed during the interview?

Do you think that I should talk to someone else in the matter?

Would it be alright if I approach you again in future?

METHODOLOGY OF AN INTERVIEW -

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(5) Admission Seeking Questions -  Admission seeking questions are posed to a respondent, whose involvement in the crime is reasonably certain. These questions are designed to encourage the respondent to admit the crime. Also these questions help in differentiating between an innocent person and the guilty.  “Is there anything that you would like to tell me about the crime?” 

METHODOLOGY OF AN INTERVIEW -

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NOTES –

Interview process should not be slowed down to take notes. Rather key points may only be noted down during the interview. At the end of the interview detailed notes may be prepared.

Recording of an interview may not be done unless permission is obtained from the interviewee.

MOTIVE FOR THE FRAUD –

Motive is a crucial element in establishing the crime.

“We have discussed as to what led you to commit the crime. But let’s hear it in your words. Why do you think you did this?”

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SIGNED STATEMENTS –

Verbal admissions have to be reduced in writing. Interviewer himself must prepare the statement very precisely and present it to the confessor for his signature.

The statement should include among others the intent, tentative date of the offence, tentative amount involved, no. of instances & willingness to cooperate.

The written statement must state that the statement is true.

“The statement is complete and true to the best of my knowledge“.

METHODOLOGY OF AN INTERVIEW -

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