The Craft of Forensic Interviewing
November 9, 2019
Merriam Webster identifies a craft as “the faculty of executing well what one has devised.” A craftsman is one who implements an art, trade, or occupation requiring special skill. Masons, woodworkers, carpenters, and even musical instrument builders and restorers, are thought of as craftsman. “Craft” is also defined as the skilled practice of a practical occupation or an occupation/trade requiring skilled artistry. Artistry implies personal creativeness; skill involves technical knowledge and proficiency. The craft of interviewing involves both skill and artistry.
A successful auditor must develop the art of human interaction by assessing an interviewee’s attitude.
Interviewing is an essential component of an auditor’s job, not a peripheral task. The purpose of an audit or an investigation is to obtain truthful information from a variety of sources and reach a conclusion. Information comes from paper documents, computers, electronic devices, and humans, which can be the most challenging to obtain. A successful auditor must develop the art of human interaction by assessing an interviewee’s attitude, and if the attitude is negative, employ skills to build trust and breakdown barriers. Auditors can build trust by establishing rapport, which can be achieved by exercising appropriate verbal and non-verbal methods, word choices, and delivery of those words.
Like any craft, applying best practices is paramount to achieving a successful interview. The first preliminary step of interviewing is understanding that someone needs to provide information to assist with the audit objectives. This includes the classification of the individual as either a witness, an information provider, a whistleblower, or somebody else. The auditor then needs to prepare for the interview. Preparing involves identifying the objective(s) of the interview, acquiring knowledge about the audit topic(s), and learning about the interviewee. In addition, an agenda that addresses the objective(s) of the interview, as well as the topics and questions to be discussed should be prepared.
Once you are prepared, the next preliminary step is arranging the interview. This is a critical stage at which building rapport begins. It is important to keep in mind that most people do not want to be interviewed, even if they have nothing to hide. When arranging the interview, the individual will assess the auditor’s attitude and professionalism, while the auditor assesses the individual’s attitude. Often, an interviewee’s attitude corresponds to the reason for the interview. Some people might be hostile, reluctant, reticent, suspicious, resentful, evasive, superior, or cooperative.
Often, an interviewee’s attitude corresponds to the reason for the interview.
The interview room setting is important. Many times, an auditor does not have the opportunity to conduct interviews in a formal interview room. Typically, interviews occur in the field, in conference rooms or offices. How the room is arranged should be well thought out, focusing on the privacy of the interviewee. For example, the door should be closed, but not locked, and the interviewee should sit between the door and the interviewer. These two considerations are to defend against a claim of false imprisonment or coercion. To assist in breaking down barriers, the interviewee and interviewer should sit four to four-and-a-half feet from each other with no table or desk between. This seating arrangement allows the interviewer to observe the interviewee’s non-verbal behavior (i.e., body language) in response to questions more easily. A table to place files and other materials should be to the side of the interviewer.
Now that the preliminary steps are complete, the auditor is ready to begin the interview. Generally, the steps are as follows:
Introduction
The introduction sets the tone for the interview. The interview should begin with a handshake (touch breaks down barriers). Do not impress the interviewee with your authority. Be cordial and professional, and thank the interviewee for appearing. It is usually appropriate to offer an introductory statement, which provides a broad general reason for the interview and a request to obtain background information (i.e., preliminary questions).
Preliminary Questions
The preliminary questions, including the interviewee’s biographical and background information, are designed to build rapport and create a conversational atmosphere. During this step, the interviewer will continue to assess the interviewee’s attitude, behavioral baseline, and communication skills. The interviewee will assess the interviewer’s attitude, objectivity, and professionalism.
Opening Statement
Following the preliminary questions, the interviewer should offer an opening statement. The opening statement provides the specific reason for the interview. If the interviewee is a suspect, the interviewer should ask at this time if the allegation is true. The opening statement serves to reveal that the interviewer is knowledgeable and objective. All interviewees who are not in custody should be informed that their participation is voluntary and they are free to leave, even if the individual is governed by a policy to appear and participate. Again, this will assist in defending against a claim of false imprisonment or coercion.
Key Questions
The auditor/interviewer should now ask the key questions that were formulated when preparing for the interview. It is always advisable to ask open-ended questions. Open-ended questions are not phrased as a question, rather as a request for information. This allows the interviewee to answer with a narrative, which is then evaluated for editing, deceptiveness, or truthfulness. Anyone who wants to withhold information will display characteristics of untruthfulness. Such characteristics include Freudian slips, verb tense changes, pronoun usage, and words that indicate deception. The interviewer should not interrupt the narrative or demonstrate any indication of disbelief, even if he or she knows the answer is not complete or truthful.
Once the interviewee completes his or her narrative response to an open-ended question, the interviewer usually asks clarifying and direct questions to achieve the interview objective. Clarifying questions are designed to elicit further explanation and information, as well as the interviewee’s thoughts or emotions. Direct questions are designed to elicit a specific response and can be used to “box-in” an interviewee’s response for the record.
The way a question is phrased could cause the interviewee to respond deceptively with a low chance of detection.
How questions are phrased also contribute to the success of the interview. The way a question is phrased could cause the interviewee to respond deceptively with a low chance of detection, respond deceptively with a high chance of detection, or respond truthfully. Compound questions should not be asked. For example, do not ask, “Did you see or hear anything?” Asking this compound question allows an interviewee to respond that they saw something, but did not hear anything, leading to deception. Instead, as two separate questions: “Did you see anything?” followed by “Did you hear anything?” In addition, do not ask negative questions, such as “You do not know who took the money, do you?” Asking a question like this allows the interviewee to be deceptive by agreeing with the question, even if they knew who took the money.
An astute interviewer should be able to evaluate verbal responses and determine if the interviewee is being truthful or deceptive. As an interviewee’s response to direct questions moves further from the truth, they will experience more anxiety as a result of deception. Besides an outright lie, many deceptive interviewees offer evasive responses to direct questions. When responding evasively, the interviewee implies that he or she answered the question, when in fact they did not. For instance, if the interviewer asks, “How many contractors do you solicit?” and the interviewee responds, “The policy is four?” the question was not answered. An interviewer should be able to realize this and be prepared to ask follow-up questions, such as “I am glad you know the policy is four. However, please tell me how many contractors do you solicit?"
Review
After the questioning phase is complete, the interviewer should review the key questions and answers with the interviewee, providing an opportunity for correction.
Effectively End the Interview
At the conclusion, the interviewer should end the interview by asking the interviewee if he or she would like to add anything that was not discussed and receive a commitment for a follow-up interview, if required.
Evaluate the Interview
The final step, like any craft, would be for the interviewer to evaluate the interview to determine if any portion of the process could be improved to achieve the objective.
About the Author
John Grimes
John E. Grimes III, MS, CFI, CFE developed and teaches a Graduate Level Course in Forensic Interviewing and provides interview and fraud training to a variety of organizations.
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John Grimes
John E. Grimes III, MS, CFI, CFE developed and teaches a Graduate Level Course in Forensic Interviewing and provides interview and fraud training to a variety of organizations.
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The Craft of Forensic Interviewing