investigations: strategy and conducting interviews october

9/20/2013

UNCLASSIFIED 1

12th Annual SCCE Compliance and Ethics Institute

Investigations: Strategy and Conducting Interviews

October 8, 2013

Michele Yaroma

Supervisory Special Agent

Federal Bureau of Investigation

1

UNCLASSIFIED

Office of Integrity and Compliance

Objectives of Presentation

• Understand why developing a comprehensive strategy and preparing an outline can provide a roadmap for achieving a more systematic and thorough investigation

Strategy

• Learn how to prepare for interviews by developing and posing appropriate questions in the proper sequence to gather the most complete and accurate information for your investigation

Interview

• Learn how to accurately and precisely summarize the results of interviews into a concise, well-written report format

Report

UNCLASSIFIED 2

9/20/2013

UNCLASSIFIED 2


Objectives of the Audience

(Presenter’s Theory)

• Obtain the required credits to continue to be a Certified Compliance Professional or other certified professional

Reason 1

• Gain perspective and insight on FBI methodology in the event such information is ever needed (either personally or professionally)

Reason 2

• Enhance your elicitation and interviewing skills for the upcoming Happy Hour

Reason 3

UNCLASSIFIED 3


FBI Core Values

The FBI is an organization driven by our Core Values, which

embody the principles of compliance and ethical behavior.

The FBI Core Values are:

Constitution: Rigorous obedience to the U.S. Constitution

Respect: For the dignity of all those we protect

Compassion: Extending care and concern whenever possible

Fairness: Enforcing the law without fear or favor

Integrity: Uncompromising personal and institutional

Accountability: Responsibility and ownership for our actions, decisions, and

consequences

Leadership: By example, both personal and professional. The courage to lead

the way.

4

UNCLASSIFIED

9/20/2013

UNCLASSIFIED 3


FBI Core Values

Within the FBI, the Core Values permeate our

behaviors and actions. They are ingrained in us and

impact everything we do. They are the touchstones

we rely upon and are critical to our success as an

organization.

5 UNCLASSIFIED


What is Strategy?

Definition of strategy: • A plan, method or series of maneuvers for

obtaining a specific goal or result

• Blueprint for an investigation • Action plan

UNCLASSIFIED 6

9/20/2013

UNCLASSIFIED 4


Why Develop a Strategy?

Allows the investigator to proactively contemplate,

anticipate and plan for investigative issues that may

arise and develop contingency plans and alternate

courses of action.

UNCLASSIFIED 7


How to Develop a Strategy

The basis for a strategy involves asking the basic investigative

questions: Who, what, when, where, why and how. Consider the

following when developing your strategy:

• Who made the allegation?

• What is the allegation?

• When did the alleged incident occur?

• Where did the alleged incident occur?

• How did the alleged incident occur?

• Why did the alleged incident occur?

These are the initial questions, with many more to follow.

UNCLASSIFIED 8

9/20/2013

UNCLASSIFIED 5


How to Develop a Strategy

Additional considerations for developing a strategy:

• What type of investigation is necessary-criminal, civil, policy violation, code of

conduct, etc. ?

• Who are the potential subjects and victims?

• Who was present when the allegation occurred?

• Where did the alleged incident take place?

• What law/policy/procedure/rule was violated?

• What records/documents does the investigator need to gather and use for the

investigation?

• What does the investigator need to do and/or become familiar with before

beginning the investigation?

• Are there independent means to corroborate the allegation-cameras, access badge

codes, emails, instant messages, voice mail, etc.? Who should be contacted to gain

access to this data?

• Who should be interviewed? Why? In what order?

(More information on this topic later)

UNCLASSIFIED 9


Formulate Strategy into a Written Format

After all of the factors have been considered and the

initial information has been gathered, the most

important step is to summarize the investigation’s

strategy into a written document so it can be used

as a tool and referred to throughout the

investigation.

UNCLASSIFIED 10

9/20/2013

UNCLASSIFIED 6


Purpose of a Written Strategy

Reasons to have a written strategy: • Serves as an outline and can be referred to throughout the investigation

• In complicated investigations involving multiple investigators and interviewees, it

defines responsibilities, promotes collaboration and allows everyone to “work

from the same sheet of music”

• Allows for a more efficient and effective investigation as many of the obstacles

are anticipated and considered prior to beginning the interview process

• Can be used as a training tool to assist new investigators and as basis for senior

investigators to discuss investigation’s progress with supervisors

UNCLASSIFIED 11


Written Strategy

Suggested format for a written strategy:

I. Allegation/predication to initiate the investigation

II. Outline of persons known to be involved

III. Documents and other information which may support the

allegation

IV. Next steps in investigation

V. Administrative considerations (number of investigators

needed, travel, etc.)

VI. Command and control issues (may be necessary in a large

investigation)

UNCLASSIFIED 12

9/20/2013

UNCLASSIFIED 7


Interview-Legal Considerations

****DISCLAIMER*****

There are legal matters which must be considered prior to

conducting an interview. Because corporate policies

differ, please ensure your know your company’s policy

and/or consult with your counsel prior to conducting

interviews.

****DISCLAIMER*****

UNCLASSIFIED 13


What is an Interview?

Definition of interview:

• A formal meeting in which one or more persons question, consult or

evaluate another person

• A structured conversation intended to elicit information

Early in an investigation, you have little more than the allegation, policies

and maybe some documents which are related to the investigation.

Interviews provide the information necessary to put the pieces together.

Every interview is different and should be customized based upon the

situation and interviewee.

UNCLASSIFIED 14

9/20/2013

UNCLASSIFIED 8


Preparing for the Interviews

Being prepared and utilizing excellent communication skills are essential to

the interview process. Preparing for an interview is a tedious process and

can be time consuming. It is important to do the pre-work so that it is clear

to the interviewee that you are knowledgeable on the topics involved and can

ask pertinent questions and appropriate follow up questions. To prepare:

• Know the details of the specific allegation (this should be outlined in strategy

document!)

• Identify and become familiar with the policies/procedures and past training

related to the allegation

• Gather the documents needed for each interview (i.e., vouchers, timecards)

• Review and be familiar with the details of the documents

• Determine who (either person or role) should be interviewed, the information you

expect to elicit and the order in which persons should be interviewed

UNCLASSIFIED 15


Preparing Questions/Outline

For each interviewee, prepare a list of questions to be used in

the interview. Ask about the person’s professional

background, certifications, role in the organization and day-

to-day responsibilities. These are relatively simple questions

and are non-threatening. Do not overlook this; this exercise

may not seem to be important, but it lays a foundational basis

for an investigation and allows the interviewer to ask

additional questions based on information provided by the

interviewee. The more specific questions and documents

should be asked subsequently and set forth in a logical order.

UNCLASSIFIED 16

9/20/2013

UNCLASSIFIED 9


Persons to be Interviewed

There are two types of persons who can be interviewed:

• Process-type persons who can provide information related to general

processes/practices/protocols who may or may not have specific information

related to your investigation. These include HR personnel, administrative

assistants, mail room personnel, shipping department personnel, etc.

• Fact-type persons who have knowledge related to a specific matter.

Depending on the investigation, you may want to start the interview process with

persons who can provide baseline information and use this and other information

to develop questions for subsequent interviewees. Generally, it is best to

interview the subject last so that you have as much information as possible to

discuss.

UNCLASSIFIED 17


*General Tip for Interview*

For significant interviews, consider having more

than one investigator present. This will eliminate

“he said, she said” situations. This may not

always be possible, but may save considerable

time and effort in the long run.

UNCLASSIFIED 18

9/20/2013

UNCLASSIFIED 10


General Tips for Interviews

Although interviewing and conducting investigations is the normal course of

business for you, it may cause anxiety for the interviewee. In order to make

the interviewee more comfortable, consider the following tips:

Prior to the interview

• Schedule the interview at a time which is convenient to the interviewee; this may

or may not be convenient to the interviewer

• Ensure a sufficient amount of time is allotted

• Determine a convenient location which is private and will allow uninterrupted

communication

At the beginning of the interview

• Request no interruptions-all parties turn off cell phones, etc.

• Offer food and beverage

• Build rapport- discuss non-threatening topics; employ core values (Example later)

UNCLASSIFIED 19


General Tips for Interviews

Throughout the interview

• Ask open ended questions-Allow the person to “tell the story” in his/her own

words in a manner that makes sense to them. Do not interrupt. You can always

go back and ask specific follow up questions later.

• Be a good and active listener-Pay attention to tone, inflection, pauses and body

language. You do not have to be a body language expert to know when someone

is uncomfortable. Follow up on these matters and resolve all issues in which you

feel someone is being untruthful.

• Determine the best time to show documents and other corroborating material, if

necessary.

End of interview

• Thank interviewee for his/her time and advise that if he/she thinks of any

additional information which could be pertinent, he/she should contact you. Leave

your business card with your cell phone number.

UNCLASSIFIED 20

9/20/2013

UNCLASSIFIED 11


Conducting an Interview

Employ the Core Values throughout the interview process:

• Integrity-Be honest as to why you are there and what you intend to accomplish.

• Accountability-Inform the interviewee that you are interested in his/her comments and

advise how the process works (i.e., you are going to prepare a report, it will be sent for

review)

• Respect-Tell interviewee that you value his/her time and appreciate their assistance.

• Compassion-Recognize that the interview may include difficult topics. Be cognizant of the

interviewee’s needs during the interview.

• Fairness-Advise that you are interested in all of the facts and want to get a complete

picture.

UNCLASSIFIED 21


Incorporating Core Values into the

Interview Process-Example

Example:

Hello, I am (your name) and I’m a (name your position) from (your

department) . Thanks for meeting with me today. Is this still a

convenient time for you? I really appreciate you fitting me in to your

schedule.

I’m here to get information related to (name the matter) and am interested

in the details you may be able to provide. I’ll be taking notes while we

speak. I will also be speaking with others and will be summarizing the

information I receive and will provide a report to my supervisor. Do you

have any questions I can answer regarding this process?

UNCLASSIFIED 22

9/20/2013

UNCLASSIFIED 12


Reports of Interview

Important decisions may be based on your investigation and therefore it

is critical that your reports of interview be accurate, precise, truthful and

error free. Reports should be based on the notes taken and written shortly

after the interview is conducted so that the information is as fresh as

possible. The reports should be able to stand on their own.

The report should include the information and details provided by the

interviewee in the tone and context that it was presented.

If the interview was attended by more than one investigator, all of the

investigators should review the report prior to its submission.

UNCLASSIFIED 23


General Tips for Report Writing

Tips to consider:

• If you give a prologue prior to an interview, include it in the interview

report.

• Include mundane details such as date, time and location.

• Ensure that the information is summarized in the same way that it was

presented—not an exact word account but an accurate portrayal.

• If your notes are not clear on a point, recontact the interviewee and ask

for clarification instead of guessing or assuming.

• The information presented should be solely based on what the

interviewee stated, the interviewer’s observations and conclusions should

not be included in the interview report.

UNCLASSIFIED 24

9/20/2013

UNCLASSIFIED 13


Wrap up

QUESTIONS???

UNCLASSIFIED 25


Contact Information

UNCLASSIFIED 26

Michele Yaroma

Federal Bureau of Investigation


Washington, DC

Office phone: 202-324-6278

E-mail: [email protected]