the art of interviewing - chapters site...direct the interview control the interview obtain...

The Art of Interviewing

Presented by

Ed McDonough, CPP CFE

Chief Security Officer

ADT Security Services

Institute of Internal Auditors

Miami Chapter

March 29, 2019

© 2019 Edward McDonough, CPP CFE All Rights Reserved

© 2019 Edward F McDonough, CPP CFE All Rights Reserved3

TOPICS

▪ Purpose

▪ Preparation

▪ Asking the questions

▪ Evaluating the answers

▪ Strategy, Tactics and Techniques

▪Do’s and Don'ts of Interviewing


PURPOSE

▪ Obtain relevant information

▪ Find the truth

▪ Identify the guilty

▪ Eliminate innocent

Preparation


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


TIME

Interview

▪ As soon as possible

▪ Convenient

▪ Sufficient

▪ Scheduled

Interrogation

▪ Not until armed with evidential facts

▪ Surprise vs. Scheduled


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


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INTERVIEW or INTERROGATION


10

Asking the Questions


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


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 self-

confidence created by deceptive

answers


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


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?

Evaluating the Answers


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


EVALUATION

Verbal ResponsesTruthful

▪ Normal tone of voice

▪ Direct denial

▪ Immediate responses

▪ Not reluctant to use harsh,realistic words

▪ Corrects interviewer’s mistakes

▪ Does not reinforce denials withoaths, religious reference


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


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


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


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.


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

Strategy, Tactics & Techniques

How to use the Fraud Triangle in Your Strategy

THE FRAUD TRIANGLE

25


THE FRAUD TRIANGLE

Opportunity

26


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© 2019 Edward F McDonough, CPP CFE All Rights Reserved

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


THE FRAUD TRIANGLE

Rationalization

29


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


RATIONALIZATION (CONT.)

✓ 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

Common rationalizing statements


THE FRAUD TRIANGLE

Need

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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

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NEED (CONT.)

✓ 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

❑ Additional factors impacting financial need


FRAUD

THE FRAUD TRIANGLE

Opportunity

RationalizationMotive / Need

35



STRATEGY

The decisions regarding the approach and setting made before an interview is started

▪ Is an interview the most valid and efficientmeans to gather the necessary information

▪ Who should be interviewed

▪ Who does the interviewing;

▪ Should there be a witness

▪ What tactics and techniques shouldthe interviewer use

▪ When and where should the interview take place


TACTICS

The functional steps of the interview

▪ Approach

▪ Rapport

▪ Free narrative

▪ Questioning bythe interviewer

▪ Summary

▪ Obtain written record of the interview

▪ Close the interview


TECHNIQUES

▪ 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

Verbal and nonverbal behavior to communicate a

question and motivate the subject to answer it

Do’s and Don’t’sof Interviewing


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


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


Ed McDonough, CPP CFE

ADT Security Services

(561) 981-4365

[email protected]

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Discussion

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