All areas of business have been impacted by the emergence of COVID-19, and the conduct of corporate investigations is no different. Investigative techniques have always been predicated on the ability to travel, in-person interaction and review of hard copy documents. Since February 2020, the emergence of Coronavirus and remote working have severely limited or put a halt to these traditional methods used during the course of an investigation, essentially turning this process on its head.  

Of all the investigative techniques that have had to be adapted, one of the most challenging to successfully recreate is the performance of the investigative interview. Interviews are critical for the gathering of facts and information that would otherwise not be identified or for confirming conclusions drawn. The next best option to a face-to-face interview is to perform a remote interview via video conference.

Due to the importance of these interviews, we have prepared some key tips and adaptations to be used in remote investigative interviews that attempt to remedy some of the significant risks and problems one may face in performing them.

The below practical tips should be used in addition to the typical recommendations for in-person investigative interviews.[1]

Preparing for the Interview

Preparation is one of the most important elements for any investigative interview, and is even more relevant and necessary in a video conference environment. Below are some key points to consider when preparing for an interview on a video conference platform.

• Digitise Documents – Ensure that all documents you are intending to share during the interview are digitised and prepared such that they can be easily shared (if appropriate) with the interviewee. Ensure that all files are named appropriately and are suitably organised so that they are easy to locate. This will allow for a smoother flow of the interview when documents are required.
• Software Testing – Make sure that you have fully tested the video conference software you intend to use for the interview (inclusive of ensuring the mute button works), as well as confirm that all software updates are installed and that you understand fully how to operate the software. Ensuring you are appropriately trained on the technology will allow for a well-run interview.
• Interviewee Instructions – Ensure that the instructions for the interviewee’s participation in the remote interview are clear and include simple technical steps for them to be able to join the video conference. The logistics of remote interviews can by nature of their orientation be more complex, so clear instructions for the process will assist the interviewee in their attendance.

Logistics and Setup

The setup of the remote interview will set the course for the success or failure of the interview. The following are key considerations including: for the interviewee and interviewer from a logistics perspective and suggestions regarding the setup of the video conference platform.

• Location – Ensure that the device used for the remote interview is positioned in a quiet location with minimal distractions. This could be a meeting room, hotel room or other external venue. Avoid both parties attending the interview from an office desk, coffee shop or other public location where there is a lack of privacy and potential distractions.
• Lighting, Camera and Microphone – Make sure that both parties have suitable lighting, camera and microphone set-up such that they can be seen and heard clearly – a head set mic is preferable to microphones embedded within laptops. Ensuring a high-quality video and sound setup will enhance communication between the parties and being able to effectively observe the interviewee for non-verbal cues is especially important given the lack of face-to-face interaction.
• Internet Connection – Ensure that both parties have a strong and stable internet connection, hard-wired if possible. A weak internet connection may create delays or interruptions in the interview. Such gaps can at best disrupt the natural flow of the interview and at worst provide opportunities for interviewees to avoid difficult lines of questioning.

Specific considerations for the Interviewee

• Camera Positioning – Where possible, have the interviewee keep the interview room door in the camera shot so that you can see individuals who may enter or leave. This will prevent individuals from entering the space during the interview without the interviewer being aware.
• Check the Room – Similarly, once the interview has begun, if possible, have the interviewee show you the whole room with the camera to ensure nobody is positioned out of shot who may be listening, coaching, or otherwise covertly involved in the interview process.
• Interviewee Positioning – If appropriate and possible, ask the interviewee to sit away from the camera so that you can see as much of their body as possible (this is more easily done in meeting rooms with permanent video conference hardware). While not perfect, this additional view may allow the interviewer to assess body language better than if they are close to the camera, which can provide further insight into the interviewee’s responses to questions.

Specific considerations for the Interviewer

• Multiple Location Interviewers – Consider whether all interviewers will be in the same room, or whether there will be multiple interviewing parties within the video conference. With multiple interviewers in different locations, it is even more important to decide in advance the interview strategy and practicalities including who will be leading the interview, how the second interviewer may interject if necessary and how requirements for breaks or other issues are dealt with. Potential solutions to this include the use of the private chat function within the video conference software, communications external to the interview or pre-agreed lines, or order of questioning.
• On-Ground Resource – It may be helpful to have an on-ground third party resource (even if not a trained investigator) to assist with onsite practicalities. This individual will not conduct the interview, but can assist in taking notes, running the video conference, and perhaps most importantly, creating an environment conducive to the provision of information by the interviewee.

Setup of the Video Conference Platform

• Testing and Installation – Ensure that the video conference platform is stable, works on multiple computer operating systems and is set up and ready to work in time for the interview. Some platforms will require installation if being used for the first time. Ask that the interviewee has the program set up in advance of the interview and also be aware that if you have not purchased a full version of certain software, there may be a time limit on its use.
• Recording and Permissions – Many video conference platforms provide the ability to record the session. If you are intending to record the interview, ensure that you advise the interviewee first and obtain consent. Note that if the record function is used, in many software instances, all participants are informed.
• Password Protection – Ensure that you have control over who is able to join the video conference platform, and consider password protecting the link for attendance. This will prevent anyone other than the intended participants from joining the video conference session.

The Interview Discussion

The video conference interview itself requires a different approach in certain areas in order to be effective. We provide key points to consider below when conducting a remote investigative interview.

• Rapport – Speaking over a video conference system makes it significantly more difficult to build rapport with an interviewee, which is important when seeking to elicit relevant information. Additional time should be allocated within the interview in order to put the interviewee at ease. As with an in-person interview, this will be done by more general relaxed conversation, mirroring of body language and largely seeking to relate to the interviewee.
• Screen Sharing – When looking to refer to documents, the interviewer may consider sharing their screen. Ensure that there are no confidential files or documents that may be inadvertently seen in the screen sharing process, and make sure all elements of the screen share are professional in nature (e.g. a plain desktop background). Make sure that nothing is shared that is confidential or privileged (unless otherwise advised), as screenshots or other copies may easily be taken. Outlook or other messaging applications should also be closed down in order to prevent any confidential messages being shared, or at the very least, to prevent distractions from visual and audio alerts.
• Note Taking – Consider having an off screen note taker (if there is no on-ground resource) to allow full concentration and focus to be on the narrative between the interviewer and the interviewee. A benefit of the video conference system is that it allows more bodies to be tangentially involved in the process without the number of people being overwhelming for the interviewee. Having an off screen note taker will not compromise the interview integrity, but may enhance the effectiveness of the interview. We would recommend advising the interviewee of this set up to prevent a misunderstanding.
• Breaks – Consider the expected length of the interview, and the need for participants to take breaks. If possible or necessary, have the interviewee leave their phone during breaks in view of the camera to mitigate any collusion risk. Also, consider whether during the break period the interviewee could otherwise contact others and compromise the investigation.
• Have a Backup Plan – Despite all the best planning, there are times when technology does fail. In this instance, have a backup plan, whether this is to continue the interview by phone or seek to reschedule the interview once the technical issues have been resolved.

The emergence of COVID-19 and the mandate of remote work has created a new paradigm for carrying out investigations. We suggest that the above tips will help bridge the gaps that have been created through the inability to perform in-person investigative interviews. At the end of the day, while this is no substitute for in-person interviews, the checklist provided for video conference interviews can still be undertaken in times where there are no other feasible options.

This article was originally published in Lexology.

[1] E.g. see https://www.acfe.com/uploadedfiles/acfe_website/content/european/course_materials/2013/cpp/9d_shermanmcgrew.pdf