Financial and Securities Investigations Track:

Interviews and InterrogationOctober 20, 2010

Moderator:John McDermott, Vice President, Corporate Compliance, CA Inc.

Panelist:Mark Gerber, Partner, PricewaterhouseCoopers

Agenda• Defining Interviews and Interrogations

• Structure of an Interview

• Interview Notes

• Characteristics of a Successful Interviewer

• Evaluating Truthfulness

• A conversation with one or more purposes

• To gain information and/or simultaneously impart information

Defining Interviews and Interrogations

Definition of an Interview

• Clear understanding of each participant’s role

• Control the flow of information

• Ensure that all necessary agenda items are addressed

Elements of an Effective Interview

Defining Interviews and Interrogations

• Draft interview outlines which incorporate the key documents

• Attend interviews as the “second chair”

• Draft interview memoranda

• Conduct as many interviews as possible

Best Preparation for an Effective Interview

Defining Interviews and Interrogations

• Defining Interviews

• Structure of an Interview

• Interview Notes

• Characteristics of a Successful Interviewer

• Evaluating Truthfulness

Section II

1. Preparation

2. Introduction

3. Rapport

4. Questions

5. Verification

6. Catch-all questions

7. Conclusion

8. Critique (post mortem)

Structure of an Interview

Structure of an Interview

• Review relevant documents to identify those materials that will either assist in conducting the interview or for which an explanation is needed

• Understand the interviewee’s background, including current and former job positions

• Prepare an outline detailing the topics to be addressed and the documents to be used in connection with each topic

• Select a location that will facilitate the interview

• Never conduct an interview alone – Select the attendees in order to facilitate the interview

• Decide who will take notes and through what method

Structure of an Interview

Preparation

Use a standard introduction for each interview you conduct. At minimum, provide the interviewee with:

– Your name and company affiliation – The name of the other attendees – The authority by which you are conducting the interview– The purpose of the interview– A basic understanding of any legal issues or implications– An opportunity to ask questions regarding the purpose of the

interview

Structure of an Interview

Introduction

• Builds rapport:

– Demonstration of knowledge– Demonstration of professionalism– Demonstration of empathy– Elements of common ground or mutual respect

• Potentially destroys rapport:

– Body language and facial expressions– Tone– Form or content of question

Structure of an Interview

Building Rapport

• Direct questions involve the use of who, what, where, when, why & how

• Leading questions begin with phrases like “Isn’t it true?”

• Most interviews will involve a combination of direct and leading questions

• Open-ended questions may be appropriate where the witness is cooperative or talkative. Pursue responses with follow-up questions, which may be direct or leading in nature

• Tone and content of the questions are more important than the form

Structure of an Interview

Form of Questioning

• Paraphrase key responses to ensure mutual understanding– Enhances witness recall and demonstrates your desire to accurately

record the witness’s statement

• Signal to the note taker the importance of the information– Provides an opportunity to ensure accuracy

Structure of an Interview

Verification

• Positive prompts:– “Is there anything else that we should know or discuss

regarding this subject?”– “Are there any other documents that would shed light on

this subject?”– “Who else would you suggest we speak with regarding this

subject?”

• Negative prompts:

– “Is that your entire story or do you have more to add?”

– “Let’s have the rest of the story, now.”

Structure of an Interview

The use of “Catch All” Questions

• Ensure that you have covered all topics necessary to complete the interview

• If additional time is needed or a likelihood that an additional interview will be requested, advise the witness and attempt to gain his or her commitment of continued cooperation

• Always express appreciation for the time and effort expended to complete the interview

• If appropriate, permit the witness to ask any questions he or she may have regarding the investigative process or the subject matter of the investigation, or to express any concerns that he or she may have

Structure of an Interview

Conclusion of the Interview

One way to gauge the effectiveness of the interview is to do the post mortem immediately following its completion. Discuss with your colleagues whether:

• You covered the topics adequately and efficiently

– You explored the responses provided to ensure that the witness’s perspective was clearly understood

– You conducted the interview in a manner that was conducive to good note taking

– You conducted the interview in a manner that built trust and garnered respect

Structure of an Interview

Critique (Post Mortem)

Section III• Defining Interviews

• Structure of an Interview

• Interview Notes

• Characteristics of a Successful Interviewer

• Evaluating Truthfulness

• Who takes notes and how are they recorded?

• How many sets of notes?

• Accuracy– less than a recording, words to that effect

• Place key quotes in quotation marks

• How are notes stored?

• Do you reduce notes to a memorandum?

• How soon after interview should a memorandum be prepared?

• Who reviews the memorandum before it is placed in final form?

Interview Notes

Note Taking during Interview

• Defining Interviews

• Structure of an Interview

• Interview Notes

• Characteristics of a Successful Interviewer

• Evaluating Truthfulness

Section IV

1. Prepare to listen and having a positive mental approach

2. Remain polite, sincere, and understanding

3. Remain persistent

4. Hold your fire and refrain from interrupting

5. Maintain objectivity (could this be true?)

Characteristics of a Successful Interviewer

Characteristics of a Successful Interviewer

Section V• Defining Interviews

• Structure of an Interview

• Interview Notes

• Characteristics of a Successful Interviewer

• Evaluating Truthfulness

There are two basic forms of communication:

1. Verbal2. Non-verbal

Evaluating Truthfulness

Forms of Communication

NonverbalDirect eye contact

Consistency of non-verbal movements with threatening and non-threatening questions

Frontal alignment

Relaxed, natural hand movement

Non verbal matches verbal

VerbalQuick, spontaneous answers

Consistent strong denial

Direct, brief answers

Answers the question asked

Denies in general

If falsely accused responds with anger and irritationFewer excuses or rationalization

Evaluating Truthfulness

Truthful Suspect

VerbalHesitant

Denies in specifics

Weak denials

Stalling tactics: answers a different question, answers with a question, asks for clarification, restates the question as part of the answer, requests break

Evaluating Truthfulness

Deceptive SuspectNonverbal

Changes from the norm: eyes, movement or non-movement, voice, posture

Physiological responses to stress: perspiration, flushing, saliva decreases

Miss matching of nonverbal and verbals

• Thoroughly prepare for each and every interview

• Attempt to know your subject matter as well as the individual with whom you are speaking

• Listen carefully to the responses your questions illicit and be patient in pursuing each line of questioning

• Seek clarification from the witness when you do not understand his or her response or the substance of the response

• Remain flexible in your approach to the interview – just because your outline is written one way does not mean it is the only way to conduct the interview

• Prepare to cede the questioning to your colleagues in areas that are beyond your expertise

Keys to being an Effective Interviewer

Key Takeaways

Thank YouQuestions?