13th Annual SCCE Compliance and Ethics Institute
Investigations: Strategy and Conducting Interviews
September 2014
Michele Yaroma
Supervisory Special Agent
Federal Bureau of Investigation
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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
Interview
Report
• 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
• Learn how to accurately and precisely summarize the
results of interviews into a concise, well-written report
format
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Objectives of the Audience
(Presenter’s Theory)
Reason 1
• Obtain the required credits to continue to be a Certified
Compliance Professional or other certified professional
Reason 2
• Gain perspective and insight on FBI methodology in the
event such information is ever needed (either personally or
professionally)
Reason 3
• Enhance your elicitation and interviewing skills for the
upcoming Happy Hour
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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.
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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.
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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
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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.
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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:
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•
•
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•
•
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.
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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)
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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.
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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
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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)
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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*****
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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.
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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
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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 dayto-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.
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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.
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*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.
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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)
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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.
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Conducting an Interview
Employ the Core Values throughout the interview process:
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Integrity-Be honest as to why you are there and what you intend to accomplish.
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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)
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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.
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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?
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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.
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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.
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Wrap up
QUESTIONS???
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Contact Information
Michele Yaroma
Federal Bureau of Investigation
Office of Integrity and Compliance
Washington, DC
Office phone: 202-324-6278
E-mail: michele.yaroma@ic.fbi.gov
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