Filing or claiming false charges
•
Failure to follow legal process to get IP address
•
Suing for fraud
•
Being an unlicensed investigator and providing a service
•
Carrying a gun to work
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•
Withholding evidence
•
Spreading unfounded slander
•
Releasing confidential information
The Misuse of Authority
Some interviewers exercise their authority aggressively all the time rather
than assertively and only when necessary. These authoritarians demand
absolute obedience without regard for the individual rights of others. 4 When crossed, they become intolerant. They threaten interviewees, describing the
steps they will take if the interviewee does not cooperate. Arrogantly passing
judgment, authoritarians humiliate interviewees, stripping them of their
self-respect. They expect to be treated like gods, and they often are, because
of the lack of awareness of their real selves. They are corrupt, prejudiced,
sadistic opportunists exploiting their positions of power to try to earn the
respect of their peers.
Authoritarians wield their power in such a way as to make interviewees
feel helpless, impotent, and fearful, forcing them on the defensive.5 The investigator’s superior attitude tells interviewees that the investigator is
not seeking a problem-solving relationship, that their help is not desired,
and that it is likely that their power, status, or worth will be reduced if they cooperate with the investigation.6 The result is resistance. If the investigator responds aggressively to resistance, someone may get hurt. The modulated
use of power is the only legal and civilized tactic.
The more you understand about what is happening in the interview, the
more likely it is that you will respond in a constructive manner.7 We all act in accordance with our own individual reasoning power; we tend to invent
plausible explanations or rationalizations for our actions. 8 Typically, interviewees use rationalization to preserve their self-image. 9 Your use of power in any form may provoke the interviewee to behave defensively.10 Anxiety does not promote compliance. Therefore, avoid entering into a power
struggle with interviewees; this will only lead to alienation.11
4 Bennis et al., 1973.
5 Bennis et al., 1973, p. 252.
6 Bennis et al., 1973, p. 492.
7 OSS Assessment Staff, 1948, p. 171.
8 Nierenberg, 1968.
9 Berg and Bass, 1961, p. 252.
10 Woody and Woody, 1972, p. 170.
11 Nirenberg, 1963.
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The Positive Application of Authority
The authoritarian interviewer’s negative use of power arises from his feelings
of insecurity and inadequacy. Proficient interviewers, on the other hand, use
power in positive ways as they strive toward personal growth and self-
affirmation. They are empowered with self-appreciation, vision, and pur-
pose. Personal motivation is based on the principle that you are the end result
of what you want to be. Success comes from inner strength, conscious will-
power, and an unwavering determination to succeed. With these you can
develop courage, enthusiasm, confidence, and belief in your own ability.
When the needs of interview participants clash, develop a strategy to use
to your advantage, applying referent power, the power of your position that
symbolizes the organization you work for, in subtle ways. To argue with the
interviewee is self-defeating, as is running away. For interviewees, informa-
tion is power. Faced with a threatening authoritarian, interviewees rarely see
any constructive advantage to giving up what little power they retain. You
should be willing to subtly and indirectly reach a point of agreement where
some of the interviewee’s needs are met. Interviewees may willingly provide
information in return for assurances of confidentiality, protection, or some
other concession.
Interviewees who have been pushed, pressured, bribed, or overpowered
by parents or other authority figures may be guarded, extremely uncomfort-
able, or uncooperative during an interview. Don’t take the interviewee’s
resistance personally. You may merely be a handy authority figure for the
interviewee to lash out at. Try to subtly suggest that power returns to those
who decide to comply.
The interviewing techniques suggested in this book are intended to
encourage your use of positive authority in everything you do—from the
tone of your voice to the way you actively listen. Although you may to some
degree be insecure and self-consciousness in your behavior, your human
interaction skills will improve with practice. It is too easy to use harsh, abrasive methods. If you strengthen your willpower, you will not be easily drawn
into destructive behavior.
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
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open mind. Collect all available evidence fairly and impartially, and allow it
to lead you to a logical conclusion.
Encourage the interviewee’s compliance by deliberately establishing
your neutrality.12 Keep all your remarks neutral, avoiding a critical or judgmental stance.13 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.14
Interview subjects can generally tell your “party line” by your opening
words. 15 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.16 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 inter-
viewee’s truthfulness or innocence until and if 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 to refuse to cooperate. Don’t make
matters worse by taking on 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, irritation, or other emotions. 17 Criminal victims and witnesses may allow their feelings and emotions to cloud the
facts, distorting the information you seek. Do your best to lead inter-
viewees from emotional responses to factual responses based on clear
thinking. 18
Do not allow the interviewee’s mood to determine your mood or com-
posure. Be prepared to put up with a certain amount of verbal abuse from
rebellious interviewees. Your neutral stance in explaining how the inter-
viewee can assist in your inquiry is vital to your success.
12 Dexter, 1970, p. 25.
13 Kahn and Cannell, 1957.
14 Kahn and Cannell, 1957, p. 126.
15 Bennis et al., 1973, p. 490.
16 Dexter, 1970, p. 150.
17 Nirenberg, 1963.
18 Maltz, 1960.
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The Art of Investigative Interviewing
Signaling Your Neutrality
Interviewees can pick up on subtle signals that belie your claims of neutral-
ity. It is nearly impossible for interviewers to eliminate the effects of preju-
dice, hate, and other emotions on their behavior. However, investigators
can control the expression of their personal views and values to avoid
destroying their chances of obtaining an interviewee’s compliance.
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 “Uh-huh” or “Right” 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, the interviewee
may question your neutrality.
Making an Accusation
Why would an interviewee talk openly with an investigator who seems
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 pre-
maturely concluded that they’re lying will become defensive. When you
have been convinced, after analyzing all the evidence, then your personal
views may be more evident. Reserve your opinion until then.
REVIEW QUESTIONS
1. Define the terms power and authority.
2. Why must investigators exercise their power thoughtfully?
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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 share it?
6. Why do some people resist authority?
7. Is it possible for the investigator to hold all the power in an interview?
If so, would this be a good idea? Explain.
8. Name five liability concerns for investigators.
9. Why should investigators keep an open mind when they’re beginning
an investigation?
10. How can investigators adopt a neutral attitude?
11. How can the investigator avoid displaying negative nonverbal signals
during an interview?
CHAPTER 9
Overview of the Interview Process
In this chapter, we will review the different stages of the interview process
and learn how to apply some of the tactical concepts discussed earlier in this
book. You are encouraged to use these tactics to think about interviewing in
new ways. There is an interplay among the stages, approaches, and intensity
levels of the interview process, as the polyphasic flowchart in Figure 9.1
shows. These categories will take on more meaning as we proceed, but
for now, allow the flowchart to serve as a road map for the interview process.
Throughout an investigation, you will study, research, gather, and examine
factual information that will help answer your questions.
THE HISTORICAL PHASE
The historical phase of the interview process begins long before the investi-
gator and the interviewee ever meet. It covers all the attitudes and beliefs that the participants bring to the interview. These influences were learned,
directly or indirectly, from our parents or caregivers in childhood and were
picked up from other sources throughout life. Some of us carry a great deal
of “garbage” in our intellectual and emotional “baggage,” including biases
and prejudices that hamper our productivity and effectiveness. We discussed
the effect of biases and prejudices on our interviews in earlier chapters.
Undoubtedly, our emotional baggage influences and shapes our behavior
during the interview process. Don’t overlook or underestimate the impor-
interview, the more effective you will be in the personal preparation phase,
which we discussed in earlier chapters and which we reexamine now.
THE PERSONAL PREPARATION PHASE
All adults have the opportunity to modify the biases and negative attitudes
they learned while growing up. As investigators, we can take a close look at
ourselves and change those things about us that have a negative impact on
the process of communication. In our personal rebuilding, we can pilot our
abilities to use the positive interview tactics suggested in this book. It is up to us to look into our emotional baggage and modify its contents if necessary.
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The Art of Investigative Interviewing
Figure 9.1 A polyphasic flowchart showing the stages of the investigative interview.
If we take the opportunity to discard much of the garbage, we will lead
healthier lives. Through education, training, and experience, we can discard
our biases and prejudices and become more proficient and effective
investigators.
As we have seen, biases and prejudices lead to misguided observation,
evaluation, and assessment, so professionals don’t knowingly bring them into
their inquiries. They acknowledge that how they treat people is greatly
influenced by their past, but nevertheless, they remain in control of their
own behavior.
All investigators are not equally talented in how they handle human
interactions, but all interviewers can be applied scientists, discriminating
among variables and using systematic, purposeful investigative methods.
Investigators demonstrate their professional adaptability through their will-
ingness to modify their behavior in a never-ending learning process. Their
ethical behavior reveals itself as competence and leadership. Figure 9.2 provides another road map of the interview process, one that illustrates the
thoughts and emotions behind the various stages.
Overview of the Interview Process
91
Figure 9.2 Elements affecting human interaction in the investigative interview. The life experiences of both the investigator and the interviewee come into play during the interview.
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The Art of Investigative Interviewing
THE INITIAL PHASE
The fundamental purpose of the initial phase of the interview process is to
consider detailed information regarding the incident under investigation,
the people who might be involved, and the conditions under which the
interviews will take place. The initial phase consists of three sections: pre-
contact, strategic planning, and contact. The third section covers the first
few critical minutes of each interview. We discuss each section in turn.
Precontact
During precontact (Figure 9.3), the interviewer becomes familiar with the available information about the matter under investigation and the various
suspects and begins to formulate a flexible interview plan. This plan includes
a clear picture of the objectives of the interview and a floating-point strategy.
The Floating-Point Strategy
Investigations are often based on probability and likelihood, and estimating
the probability that a particular person committed the crime is the essence of
the floating-point strategy (FPS). The FPS is a flexible problem-solving process that can be used in all inquiries. The investigator applies the FPS as soon as
most of the elements of the investigative problem are known. The FPS
allows the investigator to reevaluate and, if necessary, modify her operating
hypothesis as new evidence is uncovered. Picture the problem-solving pro-
cess as having numerous points at which you can reevaluate your progress
and determine whether you are on the right track. Your strategy floats from
point to point, never becoming fixed until you are reasonably sure of your
assessment of the evidence.
Figure 9.3 The precontact section of the initial phase. This is the time when the investigator gathers information about both the matter under investigation and the suspects.
Overview of the Interview Process
93
The Preliminary Inquiry
During the precontact section, the investigator collects evidence and