by MAC-3
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THE VALUE OF RESTRAINED AUTHORITY
This case, involving an eight-year-old girl who was reportedly molested by a thirty-seven-year-old family friend, illustrates what a skilled investigator can do. If a child’s verbal skills and maturity preclude legal cross-examination, other reasonable proof of the accusation is needed. Although anyone under age fourteen, in my view, is not usually suitable as a polygraph examinee, I recommend using a polygraph to gather additional information in the inquiry.
With her parents and a female social worker present, a male law enforcement investigator interviewed the child.
The following extract is from the tape-recorded interview.
Question 75: What happened?
Child: It sorta hurted when I did.
Q76: It did? Did it sting?
Child: No.
Q77: Okay, how did it hurt? Can you describe it?
Child: Well it sorta did sting.
Q78: Okay, did you tell your mom that?
Child: I just told her it hurted when I went to the bathroom.
Q79: Has it ever hurted like that before when you went to the bathroom?
Child: Yeah.
Q80: Was there a reason why it hurted like that before?
Child: Uh-huh.
Although the child did not use proper grammar in response to questions 75 and 78, the interviewer did not correct her. To help
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cement a close relationship, the investigator even repeated the child’s terminology in questions 79 and 80. No doubt the child heard how the investigator worded the question and on some level of awareness felt closer to him. We can only imagine how the child might have felt if the investigator had corrected her.
NEUTRALITY
True professionals never collect evidence to suit some preconceived notion of who is culpable. To be a successful interviewer, you should approach all investigations (and all interviewees) with a floating point strategy and an open mind. Collect all available evidence fairly and impartially, and allow it to lead you to a logical conclusion.
THE VALUE OF KEEPING AN OPEN MIND
It is human nature to draw conclusions prematurely, basing them on preconceived notions and the opinions of others.
However, the experienced investigator disregards the opinions of others, making up his or her mind based upon available evidence.
In an embezzlement case I looked into, I was advised not to waste my time investigating a particular midmanagement employee. He was slated for big things with the company and was highly trusted. He was not in any way considered a suspect, I was told. Other employees were suggested as the main players responsible for the company’s losses.
During the investigation, I obtained a confession in which the thief revealed that he had sold stolen merchandise to the favored midmanager. Skeptically, I arranged for the confessed thief to meet the midmanager and discuss how he had told all in the confession. I later confronted the favored employee, and he admitted receiving stolen company property.
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Encourage the interviewee’s compliance by deliberately establishing your neutrality (Dexter 1970, p. 25). Keep all of your remarks neutral, avoiding a critical or judgmental stance (Kahn and Cannell 1957). You might even give the impression that you are, ever so slightly, leaning toward the interviewee’s side. It is important to demonstrate respect for all interviewees and an awareness of their need for security (Kahn and Cannell 1957, p. 126).
Interview subjects can generally tell your “party line” by your opening words (Bennis et al. 1973, p. 490). It takes but a few moments, a few words, a few nonverbal signals to reveal your relative position—that is, your opinion of the interviewee. A biased or judgmental demeanor may adversely affect the outcome of the interview and may limit your investigative progress (Dexter 1970, p. 150).
Do not conduct the interview in an accusatory way; instead, keep yourself open, positive, and neutral. Do not reveal any suspicions you might have of the interviewee’s truthfulness or innocence until the time is right to do so. Especially when you want someone to undergo a detection-of-deception exam or other test, it is important to adopt a neutral, wait-and-see stance. The tension associated with the test may be enough to interfere with the interviewee’s clear thinking, causing him or her to refuse to cooperate. Don’t make matters worse with an accusatory attitude.
While remaining neutral and objective in your methods, do not give interviewees a way of relieving tensions easily, except through verbal expression. Encourage them to evaluate their situation on its real merits rather than be guided by anxiety, irrita-tion, or other emotions (Nirenberg 1963). Criminal victims and witnesses may allow their feelings and emotions to cloud the facts, distorting the information you seek. Do your best to lead interviewees from emotional responses to factual responses based upon clear thinking (Maltz 1960).
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Do not allow the interviewee’s mood to upset your own composure (Nirenberg 1963). Be prepared to put up with a certain amount of verbal abuse from rebellious interviewees. Your neutral stance when explaining how the interviewee can assist in your inquiry is vital to your success.
Signaling Your Neutrality
Interviewees can pick up on subtle signals that belie your claims of neutrality. It is nearly impossible for interviewers to eliminate the effects of prejudice, hate, and other emotions on their behavior. However, they can control the expression of their personal views and values to avoid destroying their chances of obtaining the interviewee’s cooperation (Wicks and Josephs 1972).
Presenting a neutral facade is a difficult task. Regardless of the hat you wear, interviewees may suspect some hidden objective or ulterior motive. Hence, you should do your best to avoid displaying negative signals during an interview. Many comments can be negative or positive in character, depending on how they are voiced. Saying “Please go on” with the wrong intonation might stop the flow of information. Your tone of voice may signal that you are biased, not neutral, causing a breakdown in communication.
Your tone of voice, facial expressions, language, and timing must all be congruent with your claim of neutrality. If by force, volume, or tone of voice you emphasize certain consequences, the interviewee will quickly decide that you’re hoping to hear a particular response. Consequences imply an either-or situation, such as, “If you don’t do such and such, then . . .” If you repeatedly call attention to a particular set of consequences, or if you react to an interviewee’s focus on the positive consequences by quickly switching to a discussion of the negative consequences, you may be perceived as being less than neutral (Binder and Price 1977, p. 172).
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Making an Accusation
Why would an interviewee talk openly with an investigator who seems to be judgmental, critical, or skeptical? You will find that it is difficult to keep your personal views and your suspicions hidden, but doing so is vital to the progress of your inquiry. Don’t be too quick to provide an opinion regarding the interviewee’s veracity. Don’t make your suspicions known until you are reasonably certain of your facts. Interviewees who sense that you have prematurely concluded that they’re lying will become defensive. When you have been convinced by the available evidence, when revealing your conclusion will help you collect more evidence, that is the time to do it. Reserve your opinion until then.
REVIEW QUESTIONS
1. Define power and authority.
2. Why must investigators exercise their power thoughtfully?
3. Describe some tactics used by authoritarians.
4. What message does the investigator’s superior attitude send to the interviewee?
5. What does information represent to the interviewee, and why might he or she be reluctant to s
hare it?
6. Why do some people resist authority?
7. Is it possible for the investigator to hold all of the power in an interview? If so, would this be a good idea? Explain.
8. Why should investigators keep an open mind when beginning an investigation?
9. How can investigators adopt a neutral attitude?
10. How can the investigator avoid displaying negative nonverbal signals during the interview?
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The Self-Fulfilling
Prophecy
The self-fulfilling prophecy is based on the notion that expectation produces the reality; that is, we achieve what we expect to achieve.
The self-fulfilling prophecy has a profound effect on interpersonal communication. According to Dr. Raymond L. Gorden, “One of the important forces in social interaction is the tendency for one person to communicate, verbally and nonverbally, his expectations to another person. The second person then tends to respond consciously or unconsciously to those expectations. This may be viewed as one manifestation of the more general human tendency to conform to a group of peers and to the suggestion of higher status persons in society” (Gorden 1969, p. 84). Industrial psychologists have long recognized the necessity of creating management patterns that foster motivation, improve communication, and increase productivity. Case studies show that high expectations lead to high performance and that low expectations result in poor performance. Definite social and psychological processes are 99
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involved in the self-fulfilling prophecy; the power of positive thinking and magic are not, according to educator and psychologist Robert K. Merton. Evidence from recognized authors emphasizes the benefits of applying the self-fulfilling prophecy.1
We can apply the self-fulfilling prophecy to investigative interviews. The expectations with which we approach interviewing will tend to be realized. Our attitude toward interviewees determines how we treat them, and this, in turn, influences how they behave. If you expect to uncover the truth in your investigations, treat your interview subjects as though they want to provide you with truthful information—and most of them will. Try to act in a pleasant, friendly, and encouraging manner to help the interviewee think clearly. Unintentional communication can be incredibly subtle and complex in both negative and positive ways. Many interviews are like a parent talking to a child because of their emotionally tense character. Hence, try to recognize and comprehend emotions that could produce fears and anxieties that interrupt or restrict clear thinking.
The self-fulfilling prophecy is commonly referred to as the Pygmalion effect, and it relates directly to the Galatea effect. Both are based upon expectations. The Galatea effect refers to the expectations we place on ourselves. Self-expectations are an intrinsic part of making our dreams a reality. It takes courage to discover what we can achieve ( Empowerment Series 1992). We must work hard and commit ourselves to our goals if we are to succeed.
Unfortunately, the Galatea effect can be negated by the expectations others have of us.
While applying the Pygmalion effect (SFP) during investigations, it is vital to understand the requirements and meet the expectations of those we investigate. It takes extraordinary drive and determination to be successful as you commit yourself to greater proficiency. Productivity and personal development are the goals.
1The following authors cite evidence supporting the self-fulfilling prophecy: Rensis Likert, J. Sterling Livingston, Douglas Murray McGregor, Robert K. Merton, and Robert Rosenthal.
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The Pygmalion effect, on the other hand, refers to the expectations we have of others and they have of us. Playwright George Bernard Shaw illustrated the self-fulfilling prophecy in the play Pygmalion, which was adapted as the musical My Fair Lady. In this play, Eliza, a flower girl from the slums of London, insists that she cannot become the lady Professor Higgins is training her to be until he sees her as a lady, instead of as a flower girl masquerading as a lady. Eliza says, “You see, really and truly, apart from the things anyone can pick up [the dressing, the proper way of speaking, and so on], the difference between a lady and a flower girl is not how she behaves, but how she’s treated. I shall always be a flower girl to Professor Higgins, because he always treats me as a flower girl, and always will, but I know I can be a lady to you, because you always treat me as a lady, and always will” (Shaw 1994; Yeschke 1993, p. 61).
Clearly, how we behave toward an individual influences that person’s response. Everything we do and say conveys our expectations. Far more than verbal prodding, the self-fulfilling prophecy encompasses your total behavior, conscious and subconscious. Let’s look more closely at this theoretical concept and how it can work for you.
THE FOUR ELEMENTS OF THE SELF-FULFILLING
PROPHECY
In his dissertation, educator and psychologist Robert Rosenthal showed through scientific experiments that “the power of expectation alone” significantly influences the behavior of others.
Drawing on his experience as a teacher, he showed that if he believed that the students in his experiments had greater potential, and if this belief raised his expectations of them, and if he transmitted his expectations to the students, then, as a result, they became higher achievers. Through studies and experiments, Rosenthal and his associates developed a theory about how expectations can be communicated. They broke the theory down into four elements: climate, feedback, input, and output
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( Productivity and the Self-Fulfilling Prophecy 1975). We will define and describe each element below, but remember that each is an integral part of the whole.
Element 1: Climate
The climate communicates positive or negative expectations to others through nonverbal messages, from body language to para-language. Body language includes mannerisms, gestures, eye contact, facial expression, and body posture. Paralanguage encompasses tone of voice and the use of silence. The climate of an interview is in play from the beginning to the end of the encounter. Before you even have a chance to speak, you are under scrutiny for signs of acceptance and trust.
Some interviewers are adept at using the climate of an interview to allay the interviewee’s fears and to encourage cooperation. Others can use climate by reading, talking to and observing skillful interviewers, and practicing on everyone with whom they come in contact. In the interview itself, the deliberate communication of nonverbal messages requires subtle delivery to avoid the appearance of pretense and to avoid arousing the interviewee’s suspicions.
Element 2: Feedback
Feedback refers to “the process of correction through incorporation of information about [the] effects [of one’s performance].
When a person perceives the results produced by his own actions, the information so derived will influence subsequent actions. Feedback thus becomes a steering device upon which learning and the correction of errors are based” (Reusch and Kees 1954, p. 4). Investigators reveal their expectations to the interviewee in their response to the interviewee’s feedback. This response is an ongoing process, encompassing both verbal and nonverbal communication. It is difficult to anticipate feedback from interviewees. Therefore, carefully prepare yourself to meet
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and handle the unexpected. Stay alert, neutral, flexible, and professional. You can channel feedback by emphasizing your input.
Element 3: Input
Input is the verbal transmittal of the investigator’s expectations to the interviewee. It is the key ingredient of any interview.
Interviewees continually read verbal and nonverbal input and interpret it relative to their own situation. Prepare your verbal input to establish a clear picture of what you expect from the interviewee. The goal is to set the stage so that it is virtually impossible for the interviewee to surprise or divert you. Your neutral stance in explaining how
the interviewee can assist your inquiry is vital to your success.
Element 4: Output
Output is the response from the interviewee. It might be silence, uncooperative behavior, lies, or truthful information. The interviewer communicates his or her expectations of the interviewee’s output and encourages or discourages cooperation. If the revela-tion of the truth is the desired output, it is helpful to develop a positive, humane interaction style that encourages interviewees to comply. Treating interviewees as though they want to provide the greatest degree of truthful cooperation establishes a high probability that they will do so.
APPLYING THE SELF-FULFILLING PROPHECY
I have used the self-fulfilling prophecy in interviews and interrogations throughout my professional career. Before every interaction, I take stock of myself and my overall expectations. During this mental exercise, I remind myself that I am a talented and resourceful individual capable of handling a wide variety of inquiries ranging from murder to counterespionage. I remind myself that this new investigation is much like the others I have
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handled. I consider what I expect of myself and how I intend to treat the interviewee. Before even knowing the details of the new inquiry, I establish a personal, private strategy and determine to do the best professional job I can. This helps me set my course and focus my energy.
