Anderson Investigative Associates

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Anderson Investigative Associates Investigative Interview Training & Consulting for the Future. St. Marys, Georgia INTERVIEWING FOR AUDIT PROFESSIONALS March 2015 Clearwater, FL

Mark A. Anderson Mark A. Anderson is the Director of Training and Development with Anderson Investigative Associates, a firm specializing in customized training for audit, evaluation, inspection, investigation and human resources professionals. He is a retired Special Agent with the U.S. Department of Justice, Office of the Inspector General (DOJ/OIG) who served as a Program Manager and Instructor at the Inspector General Criminal Investigator Academy (IGCIA) at the U.S. Department of Homeland Security’s Federal Law Enforcement Training Center (FLETC) in Glynco, GA. At the IGCIA, he was responsible for managing the Advanced Interviewing for Inspector General Investigators, and Interviewing for Fraud Auditors programs. Mr. Anderson also instructed in several other basic and advanced programs for the IGCIA, mainly in the areas of interviewing, interrogation, employee misconduct, investigation planning, and other requested areas of investigation, audit, evaluation, human resources, and inspection work. Prior to assuming his position at the IGCIA, Mr. Anderson was a Detailed Instructor assigned to the Behavioral Science Division (BSD) at the FLETC instructing in both basic and advanced courses to both uniform law enforcement and criminal investigators. While with BSD, Mr. Anderson participated in the design, construction and presentation of BSD’s Advanced Interviewing program. He wrote and modified other curriculum requirements for the division while assigned there. He has designed and instructed courses for: the FLETC, the IGCIA, Federal Aviation Administration, Department of Energy, Department of Commerce, U.S. Agency for International Development, Small Business Administration, Department of Homeland Security, Department of Labor, and numerous other federal, state, and local organizations. Mr. Anderson’s law enforcement career began 30 years ago as a Forensic Chemist with the New York State Police after obtaining his master’s degree in forensics, working mainly toxicology and drug chemistry. He has served as a Special Agent with the Federal Bureau of Investigation handling general crimes, foreign counter intelligence, drug investigations, and international terrorism. He also served in the same position with the U.S. Nuclear Regulatory Commission (NRC), Office of Investigation, working investigations involving fraud, abuse, and corruption regarding entities regulated by the NRC. Finally, he served as a Special Agent for the DOJ/OIG investigating allegations of fraud, abuse, corruption, or waste in federal agencies falling under the DOJ. These matters, as was the case at the NRC could be criminal or administrative in nature.

Additionally, he has served as a Deputy Inspector General and Director of Internal Audit in the New York State Office of the Inspector General assigned to the Division of Military and Naval Affairs and other state agencies. Prior to this, he was assigned as a Confidential Investigator to the state IG office with responsibilities in all state agencies. He has also worked as a Director of Security in the corporate sector involved with supervising staff and executing programs within that entity. Mr. Anderson has taught as an adjunct instructor in the undergraduate criminal justice program at two liberal arts colleges in Pennsylvania, Alvernia College and Lycoming College. He has developed and instructed courses in terrorism, forensics, and fraud and white collar crime. He has also provided seminars in the areas of leadership training, ethics matters and coordinating effective interaction between auditors and investigators. Mr. Anderson holds a Bachelor of Science degree in chemistry from St. Lawrence University. Additionally, he earned a Master of Science degree in forensic chemistry from Northeastern University. In 1983, he attended and graduated from the FBI Academy. Throughout his career in law enforcement he has attended training in interviewing, forensics, terrorism, and white collar crime and fraud matters. Mr. Anderson is married and resides in St. Marys, GA with his wife and two of their five children.

About Anderson Investigative Associates: Anderson Investigative Associates (AIA) is a customized organization focused on driving forward to accomplish our mission of “Conducting Personalized, Responsive, High-Quality, Cost-Effective, State-ofthe-Art, Investigative/Audit Specific Training and Professional Development.” We want to be your preferred choice for personalized and effective Investigative and Audit, Evaluation, Inspection Specific Training and Consulting. Our small size and personal focus allow for customization of training opportunities focused on your organization’s needs and requirements. In this era of limited training funds, we intend to be the provider that focuses on accomplishing training that affects production and mission for your employees, immediately. We will insure that our training is current and using modern methods and developments, while keeping costs reasonable. We recognize the diversity of training requirements for the audit, inspection, evaluation, law enforcement and investigative communities and will address those, while at the same time promoting a unified approach, because of the essential interaction between these entities within organizations, but the often lack of quality cooperation that adversely affects the health, results and mission accomplishment of these organizations. To that end, our staffing goal is to attract experts with experience in each community for the development of specific training, but with a focus toward this unified approach in conjunction with our mission and objectives. We look forward to meeting your training needs! Please contact us so that we can work together to accomplish your needs.

Subject Matter Offerings for Prospective Training: One of the qualities of AIA, and differences from other organizations, that we want to stress, is our willingness to custom fit our training opportunities to your organization’s needs. Needs are unique to an organization based on previous training received and mission requirements. We want to be cognizant of those issues and factor that into our training objectives with you. Listed below are some menu items of instruction available to incorporate into your training objectives. 1. Orientation to Advanced Techniques 2. Planning Law Enforcement Interviews 3. Audit, Inspection, and Evaluation Interview Planning 4. Audit Interviewing Techniques 5. Special Interview Considerations for IG Investigations 6. Advanced Evidence Presentations/Theme Presentations 7. Handling Denials 8. Interviewing with Attorneys Present 9. Recorded Interviews 10. Question Types to Elicit Admissions 11. Obtaining a Detailed Written Statement 12. Behavioral Baselines and Analyzing Verbal and Nonverbal Behaviors 13. Case Presentations 14. Countering Interviewee Questions 15. Emerging Trends in Interviewing 16. Strength and Weakness Forum for Interviews 17. Employee Misconduct Investigations 18. Theories and Methods of Interrogation 19. Advanced Rapport Strategies 20. Subject Elimination Interviews 21. Interrogation Case Study 22. Modern Leadership Trends 23. Human Resources Interviewing

2015 Inspector General/Internal Audit Workshop: Agenda May 12– 13, 2015 Safety Harbor, Florida Thursday, May 12 7:30 a.m.— 5:00 p.m. Registration (Athena Ballroom) 7:30 a.m.—8:30 a.m. Continental Breakfast (History Hall) 8:30 a.m.—9:00 a.m. Introduction/Orientation (Athena Ballroom) 9:00 a.m.—12:00 p.m. Orientation to Advanced Interviewing for Audit Professionals (Athena Ballroom) 10:00 a.m.—10:15 a.m. Mid-Morning Break 12:00 p.m.—1:00 p.m. Lunch Provided (History Hall) 1:00 p.m.—3:00 p.m. Behavioral Baselines and Physical and Verbal Behavior (Athena Ballroom) 3:00 p.m.—3:15 p.m. Mid-Afternoon Break 3:00 p.m.—5:00 p.m. Minimizing Denials and Handling Interviewee Questions (Athena Ballroom) Friday, May 13 7:30 a.m.—12:00 p.m. Registration (Athena Ballroom) 7:30 a.m.—8:30 a.m. Continental Breakfast (History Hall) 8:00 a.m.— 10:00 a.m. Question Types Designed to Elicit Admissions (Athena Ballroom) 10:00 a.m.—10:15 a.m. Mid-Morning Break 10:00 a.m.—11:45 a.m. Advanced Rapport and Theme Development (Athena Ballroom) 11:45—12:00 p.m. Evaluations/Graduation (Athena Ballroom) 12:00 p.m. Workshop Ends

Property Map Breakfast History Hall Education Session . . Athena Ballroom Lunch . . .History Hall

Interviewing for Audit Professionals: Florida Court Clerks and Comptrollers Table of Contents Interviewing for Audit Professionals: Introduction/Orientation – Strength/Weakness Forum . 1 Orientation to Advanced Interviewing for Audit Professionals . 6 Behavioral Baselines and Verbal and Physical Behaviors . 36 Minimizing Denials and Handling Interviewee Questions . 57 Question Types Designed to Elicit Admissions . 76 Advanced Rapport and Theme Development . 87 Attachments. 113 Essentials for Effective Interviewing Position Paper . 113 Time Responsibility Continuum . 120 List of Potential Questions and Examples of Appropriate Responses . 122 Bait Question Exercise . 128 Table of Rationalizations and Themes . 131 References for Interviewing . 132 Evaluation

Slide 1 Anderson Investigative Associates Interviewing for Audit Professionals March 12-13, 2015 Florida Court Clerks and Comptrollers Clearwater, FL Anderson Investigative Associates Slide 2 Who is Teaching Us today? Mark A. Anderson Director of Training and Development, AIA Special Agent, DOJ/OIG, Inspector General Criminal Investigator Academy Detailed to FLETC/DHS, Behavioral Science Division Former Special Agent, DOJ, FBI, NRC Deputy Inspector General and Director of Internal Audit in NYS Office of Inspector General Contact Information (912) 882-5857 Office (912) 571-6686 Cell Manderson@andersoninvestigative.com Anderson Investigative Associates Slide 3 AIA Contact Information Main phone: 912-882-5857 Fax: 912-882-5857 Mailing address: Anderson Investigative Associates 128 Oarsman Crossing St. Marys, GA 31558 Staff: Cathy Anderson, CEO, clanderson@andersoninvestigative.com Mark Anderson, manderson@andersoninvestigative.com Anderson Investigative Associates

Slide 4 AIA Programs Programs for Investigators: Advanced Interviewing and Interrogation Employee Misconduct Investigations Recorded Interviews Sworn Statements See our website for prospective courses and program information Anderson Investigative Associates Slide 5 “We are what we repeatedly do. Excellence then, is not an act but a habit.” -Aristotle Anderson Investigative Associates Slide 6 Interviewing Three types of interviewers: 1. Absolutely Loathe It 2. Part of the Job 3. Love It, the main focus of job Anderson Investigative Associates

Slide 7 What is our Goal for this class? Learning Principles of Learning Performance Change and Improvement Enjoyment for participating Transfer of information Anderson Investigative Associates Slide 8 AIA Program Information Texts and Supplies At your desk for you to keep Graduation Certificate of Training upon completion of all training No formal graduation ceremony No written exam Anderson Investigative Associates Slide 9 Program Evaluation Complete evaluation form before end of last day. Constructive feedback is encouraged. Address course content, methodologies, student texts, handouts, etc. Address training facility accommodations (e.g., size of room, comfort, availability of restaurants, parking, etc.) Thank you Anderson Investigative Associates

Slide 10 Professional Courtesy Phones off or on silent mode Phone calls outside of classroom Show up 5-10 minutes early for class Return from breaks, including lunch on time Stand in the back of the room if you are sleepy Thank You Anderson Investigative Associates Slide 11 What We Need From You Good Attitude Spirited Participation Inquisitive Nature Sense of Humor Anderson Investigative Associates Slide 12 Introductions Please tell us: Your name? Who you work for and position? Your work experience? Something interesting about yourself? Explorer, hostage, or vacationer? What interview training have you received? Anderson Investigative Associates

Slide 13 Strengths/Weaknesses? Please tell us: 1. What do you consider your greatest strength as an interviewer? 2. What do you consider your greatest weakness as an interviewer? 3. What is a preference you have regarding interviews? 4. What is one way you feel you could develop and/or improve your interviewing skills? Anderson Investigative Associates Slide 14 Questions? Anderson Investigative Associates Slide 15 Anderson Investigative Associates Interviewing for Audit Professionals March 12-13, 2015 Florida Court Clerks and Comptrollers Clearwater, FL Anderson Investigative Associates

Slide 1 Mark A. Anderson Director of Training Anderson Investigative Associates www.AndersonInvestigative.com manderson@andersoninvestigative.com 912-261-3686 Slide 2 Anderson Investigative Associates Slide 3 Given audits, inspections, and evaluations in IG work, the Inspector General auditor, inspector, and evaluator will identify the most common types of IG interviews, the common elements of these interviews, and what types of interviews are most applicable for interviews in the IG area. Anderson Investigative Associates

Slide 4 They say you can’t know what a man looks like when he is lying, until you know what he looks like when he is telling the truth. Same principle applies to interviewing; you have to see how you don’t do it, to then learn how to do it! Anderson Investigative Associates 4 Slide 5 Anderson Investigative Associates 5 Slide 6 Process of dyadic relational communication with a predetermined and serious purpose designed to interchange behavior and involves the asking and answering of questions. Task of gathering information. Conversation between two people for the purpose of obtaining information Anderson Investigative Associates 6

Slide 7 Anderson Investigative Associates 7 Slide 8 Conversation Anderson Investigative Associates 8 Slide 9 Conversing VS. Connecting Anderson Investigative Associates 9

Slide 10 --Tools in the tool belt What technique are you using to complete your interviews? --GAO, Reid, W-Z? --Or “Winging It”? --Incumbent with this is a general lack of planning. Anderson Investigative Associates Slide 11 --Tools in the tool belt It is essential as an experienced professional in an interview environment to examine the overlap of issues as instructed: A prime example of this is the importance of rapport and the many places in the interview process where it applies, including other contacts throughout your field work. Anderson Investigative Associates Slide 12 --Interview or Interrogation We will look at methods for any IG interview with a victim, witness, or subject. --We will add steps to complete a subject interview involving confronting the interviewee with facts we possess. --Not a confrontation -- but confronting with facts. Anderson Investigative Associates

Slide 13 Slide 14 Interviewers generally displayed ethical interviewing standards Interviewers frequently used open questioning techniques Anderson Investigative Associates Slide 15 Insufficient planning and preparation for interviews. Shortfalls in rapport building. Inadequate listening skills. “Woefully” insufficient management of operations. Anderson Investigative Associates

Slide 16 Sufficiently trained interviewers “outstripped the performance of untrained colleagues in: Actively freely. encouraging interviewees to talk Developing topics for further discussion. Exploring information received from the interviewee. Dealing with difficulties in the interview. The employment of pauses and silences during the interview. interview training significantly improves performance of advanced techniques among interviewers. Refresher Anderson Investigative Associates Slide 17 Essentials for Effective Interviewing Planning -Backgrounding - Strategizing Interviewing in Audits, Inspections And Evaluations Persuasion Process - Active Listening - Observation Perspective -Influencing - Convincing - Evaluation - Understanding Anderson Investigative Associates Slide 18 Beginning Middle End Rapport Introduction Purpose statement Rapport Questions (General & Specific) Monologue Themes Summary Close Contact Info Anderson Investigative Associates

Slide 19 Slide 20 Anderson Investigative Associates Slide 21 Where will you conduct the interview? - your office? - witness’s location? - neutral site? EMPLOYEE SAFETY IS #1 PRIORITY. - consider the eventualities - weapons in interview room? Anderson Investigative Associates 21

Slide 22 Planning the interview Is this only a audit matter? Is there possible criminality? Are there civil elements? Could it be administrative? Anderson Investigative Associates 22 Slide 23 Objective of interview - think general - what do you already know? - what do you need or want to know? - what statement or documents can this interviewee provide? Anderson Investigative Associates 23 Slide 24 Research your interviewee - City directory - Criminal record and reputation - Employment/educational records - Other sources? **The more we know, the better prepared we will be. Anderson Investigative Associates 24

Slide 25 Prepare an Outline - name and identifying data of interviewee - objectives to cover - items to request - date, time, place of interview and persons present - avoid writing out specific questions, with some exceptions Anderson Investigative Associates 25 Slide 26 Anderson Investigative Associates 26 Slide 27 VICTIMS Generally, interview victims first, then witnesses. Separate and interview individually. Why? WITNESSES Friendly Not-so-friendly SUBJECTS When might you interview a subject early on? Anderson Investigative Associates 27

Slide 28 VICTIMS/WITNESSES As a general rule; there are exceptions Separate FIRST and interview all individually avoid information contamination others cannot overhear minimize dominant personality Anderson Investigative Associates 28 Slide 29 SUBJECTS LAST Some exceptions flight risk, agency policy, alibi Two IG employees if possible Always separate subjects Any required, appropriate warnings Anderson Investigative Associates 29 Slide 30 Planning should be implemented here: How am I going to initiate contact? What is best for maximizing results? Rapport begins here! May have previous obstacles to overcome. Anderson Investigative Associates

Slide 31 Need to minimize participants Preferably interviewer, interviewee and witness If several present, consider how to minimize unwanted participation. Consider how to strategically arrange the room Consider impact of others and relationship to each other Address arranging interview to maximize results obtained. Strategize Anderson Investigative Associates Slide 32 Ideal set up Obstacles Desks Conference Tables Low Sofas What Else? Door S I W Anderson Investigative Associates Slide 33 FIRST IMPRESSIONS ARE MADE WITHIN SECONDS! Clothing Hairstyle/facial hair Jewelry Cosmetics, etc. Automobile Handcuffs, etc. Attitude Anderson Investigative Associates 33

Slide 34 Slide 35 Anderson Investigative Associates Slide 36 I N F U S E D Introduction Rapport Questions Summary Closing Anderson Investigative Associates

Slide 37 Self, partner, interviewee Credentials/Appropriate Identification PURPOSE STATEMENT- What is my “sales pitch” to cause someone to be willing to talk to me? Business Cards, (here or at summary) Anderson Investigative Associates Slide 38 PURPOSE STATEMENT- What is my “sales pitch” to cause someone to be willing to talk to me? Subject – Contract officer receiving bribes Witness – Voucher fraud of coworker Subject – Production & distribution of child pornography Anderson Investigative Associates 38 Slide 39 Conditions interviewee to talk Establishes baseline of behavior Begins immediately Establish trust Re-emphasize if reserved or hostile Must establish with subjects as well Continue throughout interview as needed Anderson Investigative Associates

Slide 40 Anderson Investigative Associates 40 Slide 41 One question deeper Anderson Investigative Associates 41 Slide 42 The language to enhance rapport in interviews includes: “I am seeking your assistance ,” “We need help with clarification on ,” “We need your assistance to resolve ” Rapport is enhanced by the initial use of nonthreatening questions concerning background. Anderson Investigative Associates 42

Slide 43 Use familiar terms. Address Be one topic at a time. clear and easy to understand. Vary your voice. Active Listen – use all senses. back information for clarification as needed. (Ensure understanding) Repeat Anderson Investigative Associates Slide 44 GENERAL QUESTIONS(OPEN ENDED) “Tell me ” to me ” Should result in long narrative “Describe SPECIFIC 6 QUESTIONS(CLOSE ENDED) W’s Specific Responses Anderson Investigative Associates Slide 45 Who What When Where Why How Anderson Investigative Associates

Slide 46 Purpose is to listen for missing information and inconsistencies Pauses Wandering These will appear inconsistent with base lining. Anderson Investigative Associates Slide 47 Openended (Narrative) Who What When Where Why How Specific “Tell me about .” Anderson Investigative Associates Slide 48 Essential part of the interview Interviewee will add or clarify (if done properly) Performed by the secondary in two person interview Ask necessary follow-up questions Listen for discrepancies or omissions Anderson Investigative Associates

Slide 49 “Thank you.” “When you think of something else, here is the best way to get in touch with us.” Leave your card or contact number (if you haven’t already done so). “If we need to get back in touch with you, what is the best way to do that.” Get their contact numbers and determine best times to call. The above will assist you in future dealings. Anderson Investigative Associates Slide 50 (1) Introduction (2) Rapport (3) Questions (4) Summary (5) Close Anderson Investigative Associates Slide 51

Slide 52 Factual Method vs. Other Approaches Factual Method Lock Method Direct Method Story Anderson Investigative Associates Slide 53 Based upon the rational model of confession. Evidence is systematically presented to convince the interviewee that the interviewer has the evidence to prove he/she did what is suspected. Anderson Investigative Associates Slide 54 Foundation is the preparation prior to the interview. to determine motive/rational prior to interview. Examples: Personal gain, convenience, need, revenge, sex or excitement. Need to complete adequate backgrounding of interviewee, and of the issues and circumstances. Attempt Anderson Investigative Associates

Slide 55 Utilize all steps of an effective interview. Can be done without prior interview. All information necessary to obtain will be done during rapport and general questions. Anderson Investigative Associates Slide 56 The Steps: 1. 2. 3. 4. 5. Where is the confrontation in suspect interviews? Introduction Rapport Questioning Summary Close Anderson Investigative Associates Slide 57 Where is the confrontation Questioning in suspect interviews? a. General Questions -Alibi; -Informational b. Factual Presentation/ Monologue c. Themes Development/ RPM’s d. Choice Question e. Admission/Confession/Details SEAMLESS Anderson Investigative Associates

Slide 58 After introduction and sufficient rapport the interviewer will present questions. Questions are asked: -to receive additional specific information, -lock them into story, or -to aide in evidence or theme presentation. Anderson Investigative Associates Slide 59 Up until the question phase of the interview, the interviewee should be doing most of the talking. After the question phase, the interviewer talks exclusively. During the monologue the interviewer will systematically present information/evidence, and immediately transition to the theme development of why the person is involved. Anderson Investigative Associates Slide 60 Themes are organized around the principles of: rationalization (R), projection (P), or minimization (M). Telling the interviewee why they did what they did gives them an out and helps them save face. Best method to use when you have direct, audit, or forensic evidence. Anderson Investigative Associates

Slide 61 --Once the interviewee is in a posture of submission the interviewer will apply a choice or assumptive question. --The interviewer will then identify with the interviewee to allow him/her to feel good about the admission. --Then the interviewer will work to obtain all necessary details for the audit, inspection, or evaluation. All the details needed for documentation. Anderson Investigative Associates Slide 62 Without direct, audit, or forensic evidence the factual presentation method is not preferred. Doing this allows the interviewee to talk his way out of the evidence because of the uncertainty of the evidence. can not overwhelm the interviewee with evidence we are not sure of. We Anderson Investigative Associates Slide 63 Anderson Investigative Associates

Slide 64 During questioning phase, the interviewer locks the interviewee into information that is going to be used later in the interview. takes away the ability to refute evidence when presented. This Anderson Investigative Associates Slide 65 Can be used with victims, witnesses and subjects. Good method to flesh out details of an account. Story lock method also can be used during an alibi or informational gathering interviews. Anderson Investigative Associates Slide 66 Ask questions that you already know the answers to. Great opportunity for baselining and accessing the credibility of the interviewee. Ask questions that gain information for or set up information you already possess for theme presentation. Hold details you possess back until the interviewee has volunteered enough of their own information. Anderson Investigative Associates

Slide 67 Can be utilized in any interview. Ideal for white collar interviews, employee misconduct interviews, and cases that involve policies and procedures. If no truthful information is obtained, their story or detailed denial can be vital to a successful inquiry when compared to the information already developed. Anderson Investigative Associates Slide 68 Studies reveal that 60% of subjects confessed because they strongly believed they had already been caught Without the use of direct details the key to a successful interview will be the credibility and confidence displayed by the interviewee. THIS IS VITAL!!! Method also requires good acting and presentation skills. Anderson Investigative Associates Slide 69 (1) Introduction (2) Rapport (3) Questions (4) Summary (5) Close Anderson Investigative Associates 69

Slide 70 Slide 71 Common tool in conducting interviews Not always initiated by you Use same interview step process Use non-threatening questions to enhance rapport. Anderson In

About Anderson Investigative Associates: Anderson Investigative Associates (AIA) is a customized organization focused on driving forward to accomplish our mission of "Conducting Personalized, Responsive, High-Quality, Cost-Effective, State-of-the-Art, Investigative/Audit Specific Training and Professional Development." We want to be your

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