J. Randall McNeill Deputy Director Alabama Securities Commission
Face to face Purpose driven series of questions to obtain relevant information. It is NOT a conversation.
Enables you to listen and observe Focuses on relevant conduct
If you do not have a plan then you are wasting everyone’s time! Reflects poorly upon you and your agency
What is the purpose of the interview? Who should be interviewed? What questions should be asked to reach the purpose of the interview? In what order should they be asked?
Where should the interview take place? What is the attitude of the person being interviewed? Friendly? Hostile? Neutral? Does the witness have any infirmities that could hamper the interview? How can the witness be made more comfortable so that he/she will cooperate?
Obtain information that establishes or refutes the issue under investigation Obtain all information and documents relative to the investigation Questions should elicit specific details of financial transactions and the movement of money
The witness should be someone who can explain the flow of the money and/or the workings of the office If possible, work from the outside to the middle
Chronological/Time Line approach Questioning according to documents Specific transactions or events (narrower in scope)
Have two examiners to conduct the interview; one to ask questions (senior) and one to take notes
Show identification/business card Provide request list (if this is the initial interview) Explain the purpose of the interview
Design your questions to get as much information from the witness Ask clear, open-ended questions Do not ask questions that elicit an opinion Control the interview. If an attorney is present do not let him/her answer the questions. Do not interview more than one witness at a time Stay calm
Three catch-all questions: “Is there anything that I forgot to ask you?” “Is there anyone else that I should speak with?” “Is there anything that you would like to add?” Thank him/her
It is necessary to prepare a permanent record of each interview for future reference and use. The complexity and importance of an interview determines the best method to record it. However if it is recorded, it must be accurate and complete.
Informal notes: These are not a method to record an interview and should only be used as a way to refresh your recollection when you are memorializing the statement. Memorandum of Interview Written questions and answers Affidavit Tape and transcript
Sigmund Freud said, “He that have eyes to see and ears to hear may convince himself that no mortal can keep a secret. If his lips are silent, he chatters with the fingertips; betrayal oozes out of him from every pore.”
Change in pitch Change in speed Verbal skippers, stammering, stuttering Anger Depression Overbuild denial statements, such as “To tell you the truth” Stalling tactics, such as repeating the question Religious statements, such as “Honest to God!”
Sweating Blinking: increases when the interviewer is in rapid thought process; slower means evaluation process; no blinking means that the person is involved in a mental conversation Eye movement Lips, such as biting or squeezing Open versus closed positioning