Investigative Interviewing: Psychology, Method and Practice Read online

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  Business Management / Security Management

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  There are few skills more important to the modern fact finder than the

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  ability to obtain information through effective interviewing. While most

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  interviewing books are intended for law enforcement, they often present

  harsh and accusatory techniques that can be counterproductive in private

  sector investigations.

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  Investigative Interviewing: Psychology, Method and Practice covers modern techniques for private sector investigative interviews. It outlines a highly

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  structured and process-driven technique that takes a nonaccusatory

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  approach, uses no intimidation or coercion, and has been proven to achieve

  admission rates above 90 percent. This time-tested methodology is easy to

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  learn and replicate and will help you to significantly diminish the likelihood

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  of false confessions.

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  Illustrates the process of investigation

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  • Identifies the differences between the public and private sectors

  • Reviews the fundamentals of interviewing

  • Covers the investigative interview method

  • Explains how to overcome objections

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  • Considers legal challenges and litigation avoidance

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  Sharing insights garnered from the author’s 30 years of experience in

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  investigations and interviewing, the book includes case studies based on

  actual investigations that illustrate industry best practices. Although the

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  text focuses on private sector investigations, the methods presented are also

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  applicable in law enforcement settings.

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  This book presents the tools and methods required to produce investigative

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  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

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  Investigative

  Interviewing

  Psychology, Method, and Practice

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  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)

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  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