Investigative Interviewing: Psychology, Method and Practice
Page 1
F
Business Management / Security Management
err
There are few skills more important to the modern fact finder than the
ar
ability to obtain information through effective interviewing. While most
o
interviewing books are intended for law enforcement, they often present
harsh and accusatory techniques that can be counterproductive in private
sector investigations.
In
Investigative Interviewing: Psychology, Method and Practice covers modern techniques for private sector investigative interviews. It outlines a highly
v
structured and process-driven technique that takes a nonaccusatory
e
approach, uses no intimidation or coercion, and has been proven to achieve
admission rates above 90 percent. This time-tested methodology is easy to
s
learn and replicate and will help you to significantly diminish the likelihood
ti
of false confessions.
g
Illustrates the process of investigation
ativ
• Identifies the differences between the public and private sectors
• Reviews the fundamentals of interviewing
• Covers the investigative interview method
• Explains how to overcome objections
e
• Considers legal challenges and litigation avoidance
I
Sharing insights garnered from the author’s 30 years of experience in
nt
investigations and interviewing, the book includes case studies based on
actual investigations that illustrate industry best practices. Although the
e
text focuses on private sector investigations, the methods presented are also
r
applicable in law enforcement settings.
v
This book presents the tools and methods required to produce investigative
iew
Investigative
results that are legal and admissible in court. It will help you develop the skills to ensure ethical interviewing practice while investigating a range of situations and protecting against those who intend to cause the organization harm.
ing
Interviewing
K20490
6000 Broken Sound Parkway, NW
Suite 300, Boca Raton, FL 33487
Psychology, Method, and Practice
ISBN: 978-1-4665-9086-1
711 Third Avenue
90000
New York, NY 10017
an informa business
2 Park Square, Milton Park
www.crcpress.com
Abingdon, Oxon OX14 4RN, UK
9 781466 590861
Eugene F. Ferraro, CPP, SPHR
w w w . c r c p r e s s . c o m
K20490 cvr mech.indd 1
6/13/14 1:13 PM
Investigative
Interviewing
Psychology, Method, and Practice
K20490_half title.indd 1
5/19/14 10:45 AM
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 The Genesis of Process .......................................................................2
1.2 Process of Investigation .....................................................................3
1.3 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
1.4 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
1.5 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 The Role of the Investigative Interviewer .........................................60
3.2 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
&
nbsp; 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