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 Why Some People Lie ....................................................................162
6.5 Confront Objections and Overcome Denials .................................165
6.6 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 Information Gathering and Fact-Finding Considerations ..............209
7.5 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
7.6 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
7.7 State Tort Law Issues .....................................................................227
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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
7.8 Negligent Investigation ..................................................................242
7.8.1 A New Tort Action ...........................................................242
7.8.2 Implicit and Explicit Duties to Investigate ....................... 244
7.9 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 Investment and Cost Management ................................................289
9.2 Establish Milestones and a Budget.................................................291
9.3 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 best-practices, 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 ap
pearance 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 investiga-
tions 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 organiza-
tion 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 fruit-fulness 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
Investigative Interviewing: Psychology, Method and Practice Page 2