Interviewing in the Corporate Environment

1. Interviewing in the Corporate Environment California Association of Licensed Investigators East Bay Chapter May 15, 2012

2. Instructor George Cramer, PCI, CFE, CPI, CFS, has over thirty year’s investigative experience. Mr. Cramer began his investigative career in local law enforcement. He is a licensed Private Investigator in California and Arizona. Mr. Cramer recently left Hewlett-Packard where he was the Senior Manager – Global Safety & Security. Mr. Cramer has specialized in Standards of Business Conduct, undercover operations; insurance and corporate fraud; crimes against business; and the protection of intellectual property. He has conducted thousands of investigations throughout the United States and Asia.

3. What is an Interview? Interview is the use of formal and systematic questioning to obtain information. It is simple and inexpensive. It generally requires no technology. However, it requires significant skill and ability if it is to be done properly. Interviews are: • Logistically simple • Interactive • High evidentiary value • High corroborative value • Provide some element of due process • Fraught with legal risks

4. Why We Interview • Accidents • Burglary • Defalcation • Discrimination • Diversion • Embezzlement • Espionage • Ethics violations • Harassment • Insurance fraud • Robbery • Sabotage • Substance Abuse • Theft • Vandalism • To get the truth

5. Types of Interviews

6. Types of Interviews Subject Interviews Informational Interviews

7. Subject Interview SubjectInterviews are reserved for those we believe have committed an offense. While these interviews are non-accusatory in nature, the primary purpose of a Subject interview is to obtain an admission. • Obtain the other side of the story • Learn who else might be involved and why • Obtain an admission

8. P.E.A.C.E. United Kingdom & Wales P - Planning and Preparation E - Engage and Explain A - Account C – Closure E – Evaluation Early 1990s Law Enforcement in United Kingdom & Wales • Abandoned the term “Interrogation” • “Investigative Interviewing” Evolved Source: Investigative Interviewing – Psychology and Practice

9. Preparation Planning • Safety and the need for additional security • Location for the interview • Confidentiality • The request for representation • Whether a witness will be used • Notification of Subject • Notification of others • Non-employee interviews • Timing

10. Preparation The Interviewer Should Prepare • Dress professionally • No expensive jewelry or watches • Be properly rested and fed • Have dealt with all other potential distractions in advance • Place phone in silent mode • Have proper writing tools and adequate paper • Know the case and facts cold

11. W S I Where We Interview The interviewer should prepare the interview room • Location • Remove knickknacks and other distractions • Remove any unnecessary chairs • Arrange seating so that Subject sits closest to the door • Place witness so as to be out of view of the Subject • Close blinds, shades, and other window coverings • Female Interviewees and Witnesses – (Opposite Sex)

12. Introduction Once a manager has been selected and briefed, they should introduce the Subject to the Interviewer. • “___________________ this is __________________. He is here helping us look into __________________. Today he would like to share with you some of what he has learned. We expect and appreciate your cooperation.” • Once the manager has completed the introduction, they should leave without saying another word.

13. Introduction • Introduce yourself and anywitness to the Subject • Tell the interviewee that at any time they may: • Take a break • Use the restroom • Use the telephone, or • Discontinue the meeting

14. Rules For Success • Treat the Subject with Respect and Dignity • Be aware of your surroundings • Speak clearly and simply • Learn to listen better • Do not make promises • Learn to gain trust, not intimidate

15. Set the Tone • Work to build rapport • Begin with gentle questions about the Subject’s job • Ask about the company • Questions should be easy to truthfully answer • Gives you a base line for truthful responses • Don’t joke • Don’t lie

16. The Effective Interviewer • Effective interviewing is an art based upon abilities and skills • Must be an effective listener and communicator • Although successful interviewers appear gifted, for the most part this art form is learned

17. Common Mistakes • Lack sufficient knowledge of Subject or topic • Writing instead of listening • Talking instead of listening • Mix fiction with fact • Disorganized approach

18. AVOID “Cop-Speak” • Suspect / Perp • Victim / Vic • Agent / Proby • Collar / Book ‘em • Unit / Squad • Codes / Slang • Military time

19. Goal The ultimate goal of any interview is to earn the Subject’s trust. Once you’ve earned their trust, it will be easier to motivate them to tell you the truth. "All we want are the facts, ma'am" Source: 1. Third Degree Communications, Inc. 2. Sgt. Joe Friday - Dragnet

20. Introduction State your purpose and explain management’s duty to investigate For example, the interviewer might offer the following: • “As you know, this organization has had a long standing policy addressing _______________in the workplace. Sometime ago, it came to the attention of management that that policy had been possibly violated. First, Human Resources received anonymous reports that something was going on. Then, several employees came forward and made complaints. One of those employees went so far as to submit their complaint in writing. As such, management decided to undertake a formal investigation. Today I am going to share with you some of the things we learned during that investigation.” • Note: Be truthful but reserved, do not reveal the source(s) of the complaint.

21. Presentation The Interviewer Should: • Explain generally who made the decision to undertake the investigation and why (Maybe or Maybe not) • Discuss how an investigation is typically conducted and methods which are used • Reveal that by using one or more of those methods, it was learned that the Subject was involved

22. Do’s and Don’ts • Do not exaggerate the quality or quantity of evidence you have • Do not claim to have evidence you do not • Do not show your proof or reveal the identity of any sources • Discourage the Subject from challenging your investigation • Do not threaten, coerce, or attempt to intimidate • Do not doubt the accuracy of your information • Do not allow the Subject to think you are a decision-maker • Do not make promises you cannot keep • Do not offer immunity • Do manage your tone and body language • Do remain firm and confident • Do empathize

23. Commitment Request three commitments from the Subject I’m going to ask you for three simple commitments today • To be honest and truthful with me, and • To be honest and truthful with the organization, and • Most important, that you be honest and truthful with yourself. • “Can you do that today?”

24. Typesof Questions • Yes/No – Not normally • Open Ended • Close Ended – Exactly how many…. • Leading • Coercive – trade for truth • Intimidating –talk or go to jail

25. Specific Questions(After Admission) • Why did the Subject do it? • Was it his idea or was it suggested by someone else? • What else did he do or say? • Were there any witnesses? • Who else was involved? • Who else knows about it? • Get the Subject to name names

26. Closing Questions / Leads Additional leads, sources, and more… • “Who else should we talk to (and why)?” • “Who should we talk to next?” • “Who else knows about this?” • “How can you (we) prove that?” • “Do you have any physical evidence (email, images, notes, cards, gifts)?” • “How might have we conducted a better investigation?”

27. Statement • Written by Subject • Written by Interviewer • Recorded • Video • Refuses

28. What to do with Statement • Original • Initial corrections • Sign & Date each page • Closing by Subject • Copies • Copy to Subject?

29. Closing • If you were asking the questions…. • Do you have any questions for me? • If I have any more questions, may I … • Thank you for your time and help! • Manager – “Is everything you have told Mr. Cramer here today the truth?”

30. Conclusion Conclude your interview by • Provide the Subject with final instructions • Give the Subject your business card • Arrange to obtain the Subject’s personal affects so that they may go home • Do not allow the Subject to return to the job • Disable access card, passwords, collect organizational items • Arrange for the Subject to safely leave the premises Ensure the Subject leaves the premises by having someone watch them. If stolen property is to be returned, arrange for delivery of it away from the workplace.

31. Informational Interviews Informational Interviews Usually Precede Subject Interviews • What are the objectives? • How soon in advance should the interviewee be notified? • Where should the interview be conducted? • How much should be the interviewee be told? • How best can confidentialities be protected? • Should you prevent others from learning of the investigation? • Should you conceal the interviews from others? • Should anyone else be involved?

32. Informational Interviews Informational interviews: • Provide insight into a process, situation or event • Generally, informational interviews are casual, yet professional • The interviewee should be treated with respect and dignity • The tone should be polite and conversational • The interviewee is asked to cooperate and volunteer information • Interviewer should not fire questions at the interviewee • Ask open-ended questions • Allow the interviewee to provide explanatory responses • The interviewee should explain more than just offer answers • The interviewer should be seeking insight as well as facts

33. The Truth About Honesty • Most people are honest • Most people want to tell the truth • Why do people lie

35. References & Sources • Investigations in the Workplace – Eugene F. Ferraro, CPP, CFE, PCI – 2006 • Investigative Interviewing – Psychology and Practice – Rebecca Milne and Ray Bull - 1999 • The Art of Investigative Interviewing (Second Edition) – Charles L. Yeschke – 2003 • Introduction to Investigations – John S. Dempsey – 2003 • Third Degree Communications, Inc. - http://www.tdcorg.com/

36. Contact Information George Cramer, CFE, CPI, PCI, CFS GEORGE CRAMER INVESTIGATIONS Post Office Box 2298 Dublin, CA 94568 (925) 550-0614 Facsimile: (925)803-0620 gdcramer@msn.com California PI-1177 Arizona PI-9902002 / 1538732