Investigative interwiewing

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Investigative Interviewing Psychology, Method, and Practice Eugene F. Ferraro, CPP, SPHR Investigative Interviewing Psychology, Method, and Practice Investigative Interviewing Psychology, Method, and Practice Eugene F. Ferraro, CPP, SPHR CRC Press Taylor & Francis Group 6000 Broken Sound Parkway NW, Suite 300 Boca Raton, FL 33487-2742 © 2015 by Taylor & Francis Group, LLC CRC Press is an imprint of Taylor & Francis Group, an Informa business No claim to original U.S. Government works Version Date: 20140519 International Standard Book Number-13: 978-1-4665-9087-8 (eBook - PDF) This book contains information obtained from authentic and highly regarded sources. Reasonable efforts have been made to publish reliable data and information, but the author and publisher cannot assume responsibility for the validity of all materials or the consequences of their use. The authors and publishers have attempted to trace the copyright holders of all material reproduced in this publication and apologize to copyright holders if permission to publish in this form has not been obtained. If any copyright material has not been acknowledged please write and let us know so we may rectify in any future reprint. Except as permitted under U.S. Copyright Law, no part of this book may be reprinted, reproduced, transmitted, or utilized in any form by any electronic, mechanical, or other means, now known or hereafter invented, including photocopying, microfilming, and recording, or in any information storage or retrieval system, without written permission from the publishers. For permission to photocopy or use material electronically from this work, please access www.copyright.com (http://www.copyright.com/) or contact the Copyright Clearance Center, Inc. (CCC), 222 Rosewood Drive, Danvers, MA 01923, 978-750-8400. CCC is a not-for-profit organization that provides licenses and registration for a variety of users. For organizations that have been granted a photocopy license by the CCC, a separate system of payment has been arranged. Trademark Notice: Product or corporate names may be trademarks or registered trademarks, and are used only for identification and explanation without intent to infringe. Visit the Taylor & Francis Web site at http://www.taylorandfrancis.com and the CRC Press Web site at http://www.crcpress.com For Marine Corps First Lieutenant Rob Brown. He was 23 years old when he stepped on a landmine in the Republic of South Vietnam. The day was Thursday, January 25, 1968, and Rob was on point and in front of his men. He always wanted to be the first to have contact with the enemy. “The first time my platoon was ambushed, my men hunkered down and simply took the fire. It wasn’t that they were afraid. It took me a moment, but then I realized—they were waiting. They were waiting to be led.” Contents Disclaimer...................................................................................................... xv Preface..........................................................................................................xvii Acknowledgments.........................................................................................xix About the Author..........................................................................................xxi Introduction............................................................................................... xxiii  1 The Process of Investigation....................................................................1 1.1 1.2 1.3 1.4 1.5 The Genesis of Process........................................................................2 Process of Investigation......................................................................3 Investigation Terminology..................................................................5 1.3.1 Investigation..........................................................................5 1.3.2 The Subject............................................................................6 1.3.3 Interview versus Interrogation...............................................7 1.3.4 The Suspected Wrongdoer.....................................................8 1.3.5 Fact Finders versus Investigators............................................8 1.3.6 Decision Maker versus Prosecutor.........................................8 1.3.7 Misconduct and Malfeasance................................................9 Elements of a Successful Investigation................................................9 1.4.1 Management Commitment...................................................9 1.4.2 Meaningful Objectives........................................................14 1.4.3 Well-Conceived Strategy.....................................................16 1.4.4 Properly Pooled Resources...................................................17 1.4.5 Lawful Execution................................................................18 The Eight Methods of Investigation..................................................19 1.5.1 Physical Surveillance...........................................................19 1.5.2 Electronic Surveillance........................................................20 1.5.3 Research and Internal Audit................................................20 1.5.4 Forensic Analysis.................................................................22 1.5.5 Undercover..........................................................................24 1.5.6 Interviews............................................................................25 vii viii ◾ Contents 1.6 The Seven Phases of Investigation.....................................................26 1.6.1 Assessment...........................................................................27 1.6.2 Preparation and Planning....................................................28 1.6.3 Information Gathering and Fact Finding............................28 1.6.4 Verification and Analysis.....................................................30 1.6.5 Decision Making.................................................................31 1.6.6 Disbursement of Disciplinary and/or Corrective Action......32 1.6.7 Prevention and Education....................................................33 1.7 Summary..........................................................................................33 1.8 Frequently Asked Questions............................................................ 34 Endnotes.....................................................................................................35  2 The Differences between the Public and Private Sector........................37 2.1 An Historical Perspective..................................................................38 2.2 Mission.............................................................................................39 2.3 Advantages of the Public Sector........................................................41 2.3.1 Powers of Arrest...................................................................41 2.3.2 Search and Seizure.............................................................. 42 2.3.3 Grand Jury and Special Inquiries........................................ 42 2.3.4 Prosecution and Punishment...............................................43 2.3.5 Resources............................................................................ 44 2.4 Advantages of the Private Sector.......................................................45 2.4.1 Due Process.........................................................................45 2.4.2 Entrapment.........................................................................47 2.4.2.1 Establish That the Misconduct Was Preexistent...................................................... 48 2.4.2.2 Establish the Motive of the Offender...................48 2.4.3 A Lower Burden of Proof.....................................................49 2.5 Significant Trends in the Private Sector............................................52 2.5.1 More Sophisticated Crimes and Perpetrators.......................52 2.5.2 Greater Use of Technology..................................................52 2.5.3 More Litigious Workforce...................................................54 2.5.4 Expanded Rights and Protections of Employees..................55 2.6 Summary..........................................................................................56 2.7 Frequently Asked Questions.............................................................56 Endnotes.....................................................................................................57  3 The Fundamentals of Interviewing.......................................................59 3.1 3.2 The Role of the Investigative Interviewer..........................................60 Qualities of a Professional Investigative Interviewer.........................60 3.2.1 Skill.....................................................................................61 3.2.2 Experience...........................................................................61 3.2.3 Impartiality.........................................................................63 Contents ◾ ix 3.2.4 Ethical.................................................................................63 3.2.5 Fair......................................................................................67 3.2.6 Deliberate............................................................................68 3.3 Evidence Collection and Management.............................................69 3.3.1 Documentation...................................................................70 3.3.1.1 Organizing Oneself and Materials.......................70 3.3.1.2 Using Technology................................................71 3.3.2 Evidence Collection and Preservation..................................76 3.3.2.1 Definition of Evidence.........................................76 3.3.2.2 Hearsay Evidence.................................................76 3.3.2.3 Admissibility and Materiality............................. 77 3.3.2.4 Spoliation of Evidence.........................................78 3.3.2.5 Evidence Retention..............................................79 3.3.2.6 Chain of Custody................................................79 3.3.3 Reporting and Communicating Results..............................80 3.4 Summary..........................................................................................83 3.5 Frequently Asked Questions............................................................ 84 Endnotes.....................................................................................................85  4 The Investigative Interview Method......................................................87 4.1  Differentiating Interviews from Interrogation......................................88 4.2 Eight Phases of the Investigative Interview.......................................89 4.2.1 Phase I: Preparation............................................................ 90 4.2.1.1 Determining Who Should Be Interviewed..........91 4.2.1.2 Location for the Interview...................................92 4.2.1.3 Interviewer Selection and Preparation.................95 4.2.1.4 Case File Preparation...........................................96 4.2.1.5 Theme and Question Development.....................97 4.2.1.6 Request for Representation..................................99 4.2.1.7 Selection and Use of Witnesses..........................101 4.2.1.8 Timing..............................................................103 4.2.2 Phase II: Introduction........................................................104 4.2.3 Phase III: Presentation.......................................................105 4.2.4 Phase IV: Admission..........................................................109 4.2.5 Phase V: Discussion...........................................................112 4.2.6 Phase VI: Written.............................................................. 115 4.2.7 Phase VII: Oral................................................................. 117 4.2.8 Phase VIII: Conclusion..................................................... 119 4.3 Summary........................................................................................120 4.4 Frequently Asked Questions...........................................................121 Endnotes...................................................................................................126 x ◾ Contents  5 Administrative Interviews and Communicating Our Results.............129 5.1 Introduction...................................................................................130 5.2 Purpose of Administrative Interviews.............................................130 5.3 Administrative Interview Process....................................................131 5.3.1 Determining Who Should Be Interviewed........................131 5.3.2 Selecting the Interviewer...................................................132 5.3.3 Location of the Interview..................................................132 5.3.4 Introduction......................................................................133 5.3.5 Presentation.......................................................................133 5.3.6 Discussion.........................................................................135 5.3.7 Documentation.................................................................135 5.3.8 Confidentiality..................................................................137 5.4 Communicating Our Results.........................................................138 5.4.1 Bulletized Summary Reports.............................................138 5.4.2 Findings of Fact.................................................................142 5.4.3 Executive Summaries.........................................................142 5.4.4 Electronic Communications..............................................144 5.5 Testifying and the Preparation for Testimony................................. 145 5.5.1 Lay Witnesses.................................................................... 145 5.5.2 Expert Witnesses...............................................................146 5.5.3 Hearsay Rule.....................................................................146 5.5.4 Presenting the Evidence.....................................................147 5.5.4.1 Testifying..........................................................148 5.5.4.2 Dempsey’s Ten Commandments of Courtroom Testimony.......................................148 5.5.4.3 Impeachment.....................................................148 5.6 Frequently Asked Questions...........................................................149 Endnotes................................................................................................... 151  6 Deception Detection and the Process of Overcoming Objections and Denials.........................................................................................153 6.1 Introduction...................................................................................154 6.2 Why Most People Tell the Truth.................................................... 155 6.3 Why Good People Sometimes Do Bad Things...............................156 6.3.1 Guiltlessness and the Enemy Within.................................156 6.3.2 The Ability to Rationalize.................................................. 158 6.3.3 Motive and the Consciencelessness of Greed..................... 159 6.3.3.1 The Greedy........................................................ 159 6.3.3.2 The Needy......................................................... 159 6.3.3.3 The Stupid and Foolish...................................... 159 6.3.4 Importance and Influence of Opportunity........................ 159 6.3.5 But for Bad Decisions and Mistakes..................................160 6.3.6 Prevention and the Path to Better Guardrails.................... 161 Contents ◾ xi 6.4 6.5 6.6 Why Some People Lie.....................................................................162 Confront Objections and Overcome Denials.................................. 165 Indications of Deception................................................................169 6.6.1 Lack of Self-Reference.......................................................169 6.6.2 Verb Tense.........................................................................170 6.6.3 Answering Questions with a Question..............................171 6.6.4 Equivocation.....................................................................171 6.6.5 Oaths.................................................................................171 6.6.6 Euphemisms......................................................................172 6.6.7 Lack of Narrative Balance.................................................172 6.7 Deception Detection Technology...................................................173 6.7.1 Employee Polygraph Protection Act................................... 174 6.7.2 Voice Stress Analyzer......................................................... 176 6.7.3 Kinesics.............................................................................177 6.7.3.1 Types of Lies......................................................177 6.7.3.2 Body Language of the Guilty............................178 6.7.3.3 Body Language of the Interviewer.....................183 6.7.4 Statement Analysis.............................................................186 6.8 Final Thoughts...............................................................................188 6.8.1 Providing the Interviewee a Reason to Be Truthful...........188 6.8.2 Failure to Assign Guilt.......................................................189 6.9 Frequently Asked Questions........................................................... 191 Endnotes...................................................................................................193  7 Legal Challenges and Litigation Avoidance........................................195 7.1 Introduction...................................................................................196 7.2 Jurisdiction over Workplace Investigations.....................................196 7.2.1 Origin and History of Law................................................196 7.2.2 Jurisdiction........................................................................197 7.2.3 Evidentiary Burdens and Standards...................................199 7.2.4 Multiple Agency and Court Review................................. 200 7.3 Preparatory Legal Considerations...................................................202 7.3.1 Legal Duty to Investigate..................................................202 7.3.2 Investigator Selection.........................................................205 7.3.2.1 Liability for Employee Fact Finder/ Interviewer Misconduct.....................................205 7.3.2.2 Liability for Contract Fact Finder/ Interviewer Misconduct.....................................205 7.3.2.3 Contractual Shifting of Liability Risk.............. 206 7.3.3 Investigative Objectives.....................................................207 7.3.4 Identifying Standards of Proof...........................................207 7.3.5 Documentation Control................................................... 208 7.3.6 Confidentiality..................................................................209 xii ◾ Contents 7.4 7.5 7.6 7.7 7.8 7.9 Information Gathering and Fact-Finding Considerations...............209 Constitutional Considerations........................................................210 7.5.1 Self-Incrimination.............................................................210 7.5.2 Search and Seizure............................................................. 211 7.5.3 Joint Action and Public Function Exceptions....................212 7.5.4 State Constitutional Issues.................................................213 Federal Law and Employee Rights.................................................. 214 7.6.1 Unfair Labor Practices....................................................... 214 7.6.2 Union Representation........................................................ 215 7.6.3 Investigations into Protected Concerted Activities............. 217 7.6.4 Federal Preemption and State Tort Actions........................ 219 7.6.5 Union Contract Restrictions............................................. 220 7.6.6 Arbitration.........................................................................221 7.6.7 Civil Rights Law................................................................221 7.6.7.1 Duty to Investigate........................................... 222 7.6.7.2 Discriminatory Practices...................................223 7.6.8 Select Federal Statutes.......................................................224 7.6.8.1 Employee Polygraph Protection Act...................224 7.6.8.2 Fair Credit Reporting Act................................. 226 7.6.8.3 Federal Sentencing Guidelines...........................227 State Tort Law Issues......................................................................227 7.7.1 Assault and Battery............................................................227 7.7.2 False Imprisonment and False Arrest................................ 228 7.7.3 Defamation.......................................................................229 7.7.4 Invasion of Privacy............................................................231 7.7.4.1 State Statutes.....................................................232 7.7.4.2 Common Law Right of Privacy.........................233 7.7.5 Emotional Distress or Outrage..........................................239 Negligent Investigation...................................................................242 7.8.1 A New Tort Action............................................................242 7.8.2 Implicit and Explicit Duties to Investigate........................ 244 Claims Arising from Employee Interviews......................................245 7.9.1 Constitutional Warnings.................................................. 246 7.9.2 Assault and Battery............................................................247 7.9.2.1 Sympathetic Touching.......................................248 7.9.3 False Imprisonment...........................................................248 7.9.3.1 Economic and Moral Compulsion.....................249 7.9.3.2 Precautionary Protocols.....................................249 7.9.4 Defamation.......................................................................250 7.9.4.1 Precautionary Protocols.....................................250 7.9.4.2 Escorting of Employees.....................................251 7.9.5 Duty to Investigate an Alibi..............................................252 7.9.6 Allegations of Discrimination............................................253 Contents ◾ xiii 7.9.7 Admissible Admissions......................................................254 7.10 Claims Arising from Employee Disciplinary Actions......................255 7.10.1 Defamation.......................................................................255 7.10.1.1 Self-Published Defamation................................259 7.10.2 Wrongful Discharge..........................................................261 7.10.2.1 Union and Personal Employment Contracts......261 7.10.2.2 Implied Contract of Employment......................262 7.10.2.3 Whistleblower and Similar Statutes...................262 7.10.2.4 Public Policy......................................................262 7.10.2.5 Discriminatory Discharges................................263 7.10.2.6 Covenant of Good Faith and Fair Dealings.......263 7.10.2.7 Additional Cases to Consider............................263 7.10.3 Malicious Prosecution...................................................... 266 7.10.4 Emotional Distress or Outrage..........................................269 7.10.5 Unemployment Claims......................................................270 7.10.5.1 Off-Duty Misconduct........................................271 7.10.6 Workers’ Compensation....................................................272 7.11 Prevention and Education..............................................................273 7.11.1 Defamation and False Light Invasion of Privacy................273 7.11.2 Emotional Distress............................................................275 7.12 Litigation Avoidance and Employee Dignity..................................276 7.12.1 Awareness and Liability Avoidance....................................276 7.12.2 Employee Dignity and Liability Avoidance........................276 Endnotes...................................................................................................277  8 The Future of Investigative Interviewing............................................283 8.1 Introduction...................................................................................283 8.2 Criticality.......................................................................................285 8.3 Skills...............................................................................................285 8.4 Protecting the Rights of Others..................................................... 286 8.5 Privacy........................................................................................... 286 8.6 Higher Standards and More Proof..................................................287 8.7 Summary........................................................................................288 Endnotes...................................................................................................288  9 Improving Results...............................................................................289 9.1 9.2 9.3 Investment and Cost Management.................................................289 Establish Milestones and a Budget.................................................291 Importance of Measuring Results...................................................291 9.3.1 First Collect Information...................................................292 9.3.2 Analyze the Data...............................................................293 9.3.3 Put the Information to Use................................................294 xiv ◾ Contents 9.4 Alternatives.....................................................................................295 Endnote....................................................................................................296 Afterword.....................................................................................................297 Appendix 1: Glossary of Common Investigative Terms and Terminology.....299 Appendix 2: Investigations Checklist..........................................................305 Appendix 3: Interview Guidelines................................................................307 Appendix 4: Interview Guidelines for Management....................................309 Appendix 5: Employee Information Sheet................................................... 311 Appendix 6: Written Statement Checklist...................................................313 Appendix 7: Preprinted Statement Form......................................................315 Appendix 8: Oral Statement Checklist......................................................... 317 Appendix 9: Executive Summary................................................................. 319 Appendix 10: The Practical Application of Forensic Psychology as an Investigative Tool................................................................................325 Annotated Bibliography...............................................................................335 Disclaimer It should surprise no one that my lawyers insist that I must emphatically state that neither this work nor the opinions contained herein should be construed as legal advice or relied upon as such. Should such advice be necessary, it is suggested that competent professional assistance be sought. Furthermore, while many of the practices and methodologies that will be presented are considered industry bestpractices, specific circumstances and fact patterns should drive your process and approach. If unsure as to how to properly proceed, stop and seek the advice of a competent professional. Throughout this work, I have attempted to avoid gender stereotyping or the preference of one gender over another. Any appearance of having done so was the product of my writing style and was not intentional. Hopefully, my use of both genders does not create a distraction. The case studies that have been used in this work are based on real investigations and interviews conducted by me or those I know. However, in order to protect the reputations of the guilty and the privacy of the innocent, I have substantially altered some facts. Any similarity to real situations or real people is unintentional and purely coincidental. And, finally, you will note that I have occasionally referenced my organization or a competitor and its methods. My doing so is not intended to sell my services or diminish my competitors or suggest that they are inferior. To the best of my ability I have attempted to be fair and, where possible, impartial regarding any organization, including my own. In the final analysis, it is the responsibility of the reader to choose the methods and processes best suited for his/her needs and objectives. xv Preface Of all of the methods of investigation, interviewing is probably the least understood and most overused. It is logistically simple, inexpensive, and often spectacularly effective. Its ability to reveal previously unknown information and answer the seemingly unanswerable is unmatched. However, its apparent simplicity and fruitfulness disguise its true complexity. This book is an attempt to share my knowledge and experience regarding this fascinating investigative tool and the human psychology that makes it work. My goal with this work is simple. I wish to provide both the novice and experienced fact finder with the most insightful and useful information possible. In the pages that follow, I will briefly revisit many of the topics and strategies covered in my earlier works. However, this time I will dive deeper than ever before into some of the deepest corners of the human mind to explore the origins of malfeasant behavior and the tools the miscreant uses to protect his darkest secrets. I will challenge conventional thinking and methodology. I will defy mainstream thought and wisdom. Most critically, I will reveal a method of interviewing that is unlike anything you have encountered or dreamed of before. I call it the Investigative Interview Method or I2M. In this work, I have arduously resisted ordinary convention and sought new solutions to old problems and challenges. With the encouragement and assistance of my students and those with whom I have worked and studied, I will reveal for you new ideas and some of the most sophisticated approaches and strategies in interviewing known today. I think you will find the result both refreshing and very possibly inspiring. Whether you are a professional licensed investigator or someone tasked by your employer to conduct an investigative interview, this work will shine new light on your techniques and approach. It also will serve to provide executives, human resource professionals, and the lawyers who represent them with new insights into this powerful investigative tool. The reader should know that I am more than a writer, I am a practitioner. The knowledge I offer in this book goes far beyond what is available in the current literature or that which is offered on the seminar circuit. I have drawn upon my years of practical experience and that of my colleagues to craft a work that dispels xvii xviii ◾ Preface the myths and troublesome theories promulgated by some of my predecessors. My intent is to provide you, the reader, with the backstory behind the methodology, rationale, and subtle practices that have made thousands of fact finders like you successful interviewers. But, most importantly, I want you to become the best interviewer possible. I also want to make your learning both rewarding and fun. To that end I have included stories, humorous experiences, and many simple, but powerful insights. I also have added a host of checklists and visuals to help hold your attention and make the content more useful and actionable. Inside this book you will find as well that I have provided an exhaustive table of contents, innumerable references, and expansive appendices. Another feature to help capture my salient points and simplify the learning process is my use of Tips and Traps. Tip: Read my Tips and Traps to get the most out of this book. If you read nothing else, these little gems will inform as well as inspire.
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