1. Unit 6: The Interview Professor Thomas Genovese

2. Learning Objectives Understand the interviewing process. Plan and conduct an interview. Understand the nature of admission-seeking interviews. Describe the different deceptions and lies used by perpetrators. Describe the different types of honesty testing. Prepare a fraud report.

3. The Interviewing Process The most common technique used to investigate and resolve fraud A question-and-answer session designed to elicit information Structured (not free-form) conversation that has a purpose The systematic questioning of individuals who have knowledge of events, people, and evidence of a case

4. The Interviewing Process Interviews also help obtain:  information that establishes the essential elements of the crime.  leads for developing cases and gathering other evidence.  the cooperation of victims and witnesses.  information on the personal backgrounds and motives of witnesses.

5. Planning an Interview General Preparation Follow a plan or outline to meet your objectives. Review relevant documents to gather as much information as possible. Conduct interviews at the interviewee’s office (except for hostile interviewees). Set up an appointment. Plan sufficient (even excess) time for the interview.

6. The Interviewing Process Characteristics of a Good Interview  Sufficient length and depth  Focus on pertinent information  Should end on a positive note  Should be conducted soon after the event  Should be objective  Endeavor to gather information in a fair and imparti al manner.

7. The Interviewing Process Characteristics of a Good Interviewer:  Outgoing personalities  Interact well with others  Help others feel at ease  Do not interrupt respondents unnecessarily  Display interest in the subject and in what is being said  Phrase questions in a non-accusatory manner  Demonstrate a lack of bias  Be on time  Attired professionally  Deal fairly with respondents

8. The Interviewing Process Three types of interviewees: Friendly Interviewees Go beyond normal expectation to help out Neutral Interviewees Have nothing to gain or lose from the interview Have no hidden motives or agendas Hostile Interviewees Are often associated in some way with the suspect or the crime Should be questioned without prior notice

9. Understanding Reaction to Crisis Individuals can cycle through the emotions of denial, anger, rationalization, and depression a number of times. Sequence of Reactions:

10. Conducting an Interview Interviewer’s Demeanor  Be efficient, courteous, polite, and careful with language used during interviews  Do not talk down to the person Language of Interviews  Use short questions, confined to one topic, which can be clearly and easily understood.  Maintain full control of the interview

11. Conducting an Interview Inhibitors of Communication Competing Demands for Time Threatened Egos Etiquette Trauma Forgetting Chronological Confusion Inferential Confusion Unconscious Behavior

12. Conducting an Interview Facilitators of Communication Fulfilling Expectations Recognition Altruistic Appeals Sympathetic Understanding New Experience Catharsis Need for Meaning Extrinsic Rewards

13. Conducting an Interview Question Typology Interviewers ask five types of questions:  Introductory  Informational  Assessment  Closing  Admission-seeking

14. Mechanics of the Interview Methodology Make Physical Contact Establish the Purpose of the Interview Don’t Interview More than One Person at a Time Conduct the Interview in Private Ask Non-sensitive Questions Get a Commitment for Assistance Establish a Transitional Statement\ Seek Continuous Agreement Do Not Invade Body Space

15. Mechanics of the Interview Question Sequence Questioning should proceed from the general to the specific; that is, seek general information before details are sought Note Taking Procedure is especially helpful should documents from a particular interview be subpoenaed.

16. Mechanics of the Interview Observing Respondent Reactions  Must be knowledgeable about respondents’ behavior during interviews. Theme Development  Be sure to formulate your questions in a way that does not elicit strong emotional reactions. Transition Methodology  Once the introduction has been completed, transition to the body of the interview.

17. Physiology of Deception Verbal Cues Changes in Speech Patterns Repetition of the Question Comments Regarding Interview Selective Memory Making Excuses Oaths Character Testimony Fewer Emotionally Charged Words Specific Denials Overuse of Respect

18. Physiology of Deception Non-Verbal Cues Full Body Motions Anatomical Physical Responses Illustrators Hands over the Mouth Manipulators Fleeing Positions Crossing the Arms Reaction to Evidence Lip Movements

19. Admission-seeking Interviews Should happen only when a reasonable probability exists that the respondent has committed the act. Culpability can be based on verbal and nonverbal responses to interview questions, documents, and/or physical evidence. These interviews make statements and accuse directly The goal is to elicit confessions from perpetrators

20. Honesty Testing The most common inquiry method is the interview. Three other methods exist: (1) Pencil-and-paper tests (2) Graphology (3) Voice stress analysis and polygraphs.

21. The Fraud Report Includes: Findings Conclusions Recommendations Corrective actions taken Should be: Objective Factual Unbiased Free from distortion

22. Case Study: New Co. Investigation James began working for New Co. nearly 20 years ago as the facility and maintenance supervisor. New Co. has experienced significant growth during that period, and James has played a major part in helping move along the expansion plans. Because of his great service and abilities, James is really respected in the company. Unfortunately, he was forced to leave due to severe health problems. Earl was called in to replace James after he was released. James’s sudden departure prevented Earl from working with James and learning the proper policies and procedures James had put into place before he left. Earl was faced with finishing the projects James had started. One was a construction project where the price had already been determined but no work had begun. Unfortunately, Earl could not find any contractor information, nor could he find any of James’s contacts. As Earl continued to search, he realized that he was in more trouble than he thought because there were no records available for the work that James had performed. The lack of information forced Earl to bid the contract out to a new contractor. When Earl received the new bid and presented it to management, they were surprised to find that the new price was 30 percent less than the original bid.

23. Case Study: New Co. Investigation Management believed the new bid price was wrong and questioned Earl to ensure that he had included all of the requirements for the project. Once management determined he had, it began to ask more questions. In looking around and reviewing some of his previous activities, management realized that James was no longer bidding out projects but rather giving them to specific contractors. When reviewing these contractors, management found that it had no information for the contractors on file—no addresses, phone numbers, or even tax ID numbers. All management had was a name, and from that information, accounts payable cut a check and James delivered the checks personally. The only exception was for the largest single project of New Co. in the past several years. Here, Earl found only the bid documentation for a single bidder, ACME Industries, which received the contract. Based on this new information, management began to question other employees about James’s activities. His executive assistant Sally informed them that sometimes James was very secretive and often refused to allow anyone to work with him on his projects. However, she also viewed James as her mentor and friend. Because of the number of red flags, management has called you in to investigate James’s previous activities.

24. Case Study: New Co. Investigation 1. Which people would you interview first and why? 2. What type of information would you seek? 3. How would you approach each of the different individuals? 4. Due to James’s frail condition, how would you approach the interview process and investigation?