John Gaspar

July 22, 2022

article

"Ethics and the Investigative Process" by Anthony Luizzo and John Gaspar

John Gaspar

July 22, 2022

article

Published in PI Magazine

WHY REPUTATION MATTERS

A father in his seasoned years counseled his only son. He said, “I came into this world with only one item of value – MY NAME – and that I leave you as pristine as I got it. This I am sure has been said many times by many parents over the years. Echoing this sentiment, a famous author Tene Edwards said: “Know your worth. You must find the courage to leave the table, if respect is no longer being served.” 1

DIFFERENCE BETWEEN “MORALS” VS. “ETHICS”

According to dictionary.com, whilst these terms are closely related concepts, “Morals” refers mainly to guiding principles, and “Ethics” are specific rules and actions, or behaviors. Oftentimes, a moral precept is an idea or opinion, and an ethical code is a set of rules that define allowable actions or correct behaviors.2

To support a greater understanding of ethics, we need to review its historical origin. The word ethics is derived from the Greek word ‘ethos’ (character), and the Latin word ‘mores’ (customs). Together they define how individuals choose to interact with one another.3

In ancient Athens, a culture that nourished honest practices, knowledge, art, cultural philosophy, freedom of speech, and ethos, young Greeks traveled to Athens to study under Pythagoras, Archimedes and Hippocrates (father of modern-day medicine), and of course Socrates.4

In ancient times Greeks would travel to Athens to the Polis to verbalize arguments, champion their message, and speak truth to power. The Polis was constructed as an amphitheater for all to be heard. At the Polis, ancient Greeks could turn a flicker into a flame defending their fact-based points of view. Like Moses, often credited as being the first computer savvy human, who downloaded the Ten Commandments, the concept of the Polis and freedom of speech (expressions) gave birth to the word politics.

In the marketplace of ideas, some believe this historic journey influenced the authors and “under pinners” of the United States of America’s Declaration of Independence and Constitution. I wonder if perhaps we could learn from the past. In 753 B.C and 1453 A.D, legal principles of Roman law were integrated into their society and displayed publicly so people seeking remedies to problems could get justice. The vital component of these principles was property rights for women and children.5 In many respects, the early Greeks realized that the philosophy of established law evolves over time and were shrewd enough to make the necessary course corrections to bring existing law up to date.

Ethical standards of the professional

In the court of legal wisdom, licensed professionals are required to follow a code of ethics that applies to their individual professional specialty. These professionals are held to a higher standard because they have undergone extensive background screenings and vetted for integrity.6

What is a position of trust?

According to Wikipedia, a position of trust is any position that requires its holder to enjoy the trust of those who elected or chose them. Wikipedia goes on to highlight other common definitions that involve positions involving responsibility for “cash – keys – minors,” and positions of authority over others .7

What is business ethics?

According to an article in Business Ethics by Alexandra Twin dated August 29, 2021, business ethics is the study of business policies regarding potentially controversial subjects including but not limited to governance, insider trading, bribery, discrimination, corporate social responsibility, and fiduciary couplings.

Why institute business ethics policies?

Instituting ethical standards helps to establish trust between consumer and business owner. As Martin Luther King was quoted as saying, “darkness cannot extinguish darkness; only daylight can.” Learning from both Dr. King and the early Greeks, it’s important that corporate America establish in-house Polis-like amphitheaters to properly air ethical grievances -- before they are turned over to the legal system for adjudication.

ETHICS FOR INVESTIGATORS

Over the past decade, policing in America has undergone considerable scrutiny involving its handling of shootings, warrant searches, etc.

These issues are not just of recent vintage, according to an excellent 1962 article in the Journal of Criminal Law and Criminology – Vol. 53 Issue 2 June Article 16 by Arthur S. Jr. Aubry. The author goes on to hypothesize that although law enforcement personnel do go through continuous and systematic evaluation anent the “rules of conduct,” there are always some individuals who have no interest in good conduct, and only seek selfish interests. The author goes on to state that there are a considerable number of independent investigators who function outside of the agency structure and are not bound by the stricter ethical standards imposed by these agencies.

ETHICS RULES FOR INVESTIGATORS

When sitting down to piece together an ethics policy for private investigative firms, it’s important to remember what former president Theodore Roosevelt once said, “the only man who never makes a mistake is the one who normally does nothing.” Seeing that criminology is a hands-on type of profession that is normally fraught with personal danger, mistakes will undoubtedly happen. It’s important for investigative professionals to always remember – people lie, but forensic facts do not. And ethical remedies do not work if they are not followed.

Ethics policy considerations for investigative firms should include:

1. Formulating of a comprehensive employee screening / substance abuse evaluation program.

2. Requiring appropriate ID documentation

3. Formulating a contract that details hourly fees, fees for services, court appearance fees, travel-related expense fees, etc.

4. Instituting an in-house employee training program

5. Promulgating rules for contacting management to report ethical misdeeds

6. Taking responsibility / being accountable

7. Maintaining professionalism/standards

8. Being truthful

9. Avoiding abusive, discriminatory, harassing practices passively and/ or actively

10. Maintaining a violence-free workplace

11. Treating employer property as your own

12. Establishing a no sexual harassment policy

13. Refraining from illegally disseminating intellectual property

14. Adhering to privacy statutes

15. Furnishing reasonable expectations to clients

16. Instituting a fair pricing policy

17. Turning down opportunities that require expertise that you may not have i.e.: Forensic Hypnosis for memory recall, CSI, Technical Surveillance Countermeasures (TSCM) Analysis, Polygraphs, etc. Hire the expert(s) and apply their expert findings in your investigative report.

18. Establishing a corporate code of ethics

These and other considerations help form the sum and substance of an investigative company’s ethics program. Pulling the ethics building thread even further, as past presidents of investigative, security management and fraud prevention organizations we know firsthand the central role that these organizations play in helping to keep its members safe and on the path of righteousness.

PERSONAL LESSONS LEARNED BY THE AUTHORS

A wise ethical man ‘Mike’ once told me that the work I do has my signature on it. This comment came about when I was working as an alarm installer. I was up on a ladder mounting a siren. After the installation was completed, I could see the mounted box was slightly askew. Mike my partner noticed me looking at the mounted device and said to me, “What do you think?” I said it was good enough. He went on to hypothesize that everything in life that you do has your signature on it. “Do you want your signature on this install?” I remedied the situation.

My dad Michael was one of the most ethical people I knew. He was an honest role model. He did not say much, yet when he spoke it had great value. One time I asked him about the fees we were charging on a job we were working on. Since we received a huge discount from the jobber, I was thinking of asking him if we should raise the price of the job to further bolster our bottom line -- my dad said, “Johnny if you are asking the question, you already know the answer.” So, I say to all our fellow investigators, “If you are asking yourself the question, you already know the answer.”

CONCLUSION

In today’s politically correct environment, investigative firms would be wise to put their company’s ethics policy on their radar screen. Investigative entrepreneurs should never let innovative ideas hide in the darkness, they need to stop making excuses and start making changes. In the court of educated opinion, well-schooled business executives instinctively know that innovation is nurtured in the windmills of one’s mind.

Some of the items raised in this article should be a wakeup call that it’s time to put the pedal to the metal and begin moving from battle speed to attack speed to ramming speed. The truly wise executive knows that vertical walls turned horizontally become bridges to a better workplace. Update your company’s ethics policy now!

Decrypting the Interrogation Process: Balancing Quality and Efficiency

John Gaspar

March 13, 2020

Published in PI Magazine

BY ANTHONY J. LUIZZO AND JOHN M. GASPAR

March/April 2020 | www.pimagazine.com

DEFINITION OF INTERROGATION

An interrogation is analogous to essentially peeling back an onion layer by layer on people’s lives, places and/or things. Seasoned sleuths systematically probe and draw out information from willing and/or unwilling individuals by asking precise and trenchant questions to test the validity of information. An interrogation is quite different from an interview in that the interviewee is often directly or indirectly connected to the incident under review. Further information on interviewing can be found in a November/December 2019 article by the undersigned: “Demystifying the Investigative Process” – PI Magazine. Prior to performing an interrogation, investigative sleuths normally spend countless hours following leads and testing theories before walking into the interrogation room armed with a strong cross-examination strategy.

SPECIAL VIRTUES THAT ALL GOOD INTERROGATORS POSSESS

Good interrogators are taught to always remain composed, never interrupt and/or disrupt the ebb and flow of the interrogation, listen twice as much as talk, never be afraid to leave the land of the familiar for the land of the unfamiliar, and always shine a bright light on inconsistencies. These and other attributes help to make a solid soldier in the war on criminality.

DIFFERENCE BETWEEN LAW ENFORCEMENT AND PRIVATE SECURITY INTERROGATION?

Law enforcement interrogators must follow strict legislative requirements, including Mirandizing interviewees when setting out to perform an official interrogation, whereas private security interrogators have fewer legislative restraints placed upon them. According to the Encyclopedia Britannica: interrogation, in criminal law involves questioning by police to obtain evidence. Private investigators also have the power to interrogate suspects but lack the power to compel testimony or detain witnesses and are not required to Mirandize suspects. Consequently, private investigators can be more creative in their efforts to legally extract truthful information from unwilling witnesses and suspects during interrogations. Differences do exist, however, in the way an interrogation is conducted. Police normally have the benefit of extensive resources far beyond what their private counterparts have, such as access to criminal reports, subpoena process, crime labs, video footage, etc. Moreover, they can take their investigation to another jurisdiction(s), including state and federal task forces, and share information. Private security interrogations do not enjoy the enormous resources that their counterparts have at their disposal. The big difference between conducting a police interrogation versus a private security interrogation is that private security interrogators do NOT have to advise the persons of interest of their constitutional rights—an exception may be if the interrogation is being performed on behalf and/or promoted by the law enforcement.

WHAT ARE THE OBJECTIVES OF AN INTERROGATION?

Plain and simple, the objective of an interrogation is to gather and test the validity of information. The investigator(s) working the case need to:

1. Learn the facts and develop the evidence

2. Extract truthful information from reluctant, evasive, lying or hostile witnesses

3. Decipher the plan or conspiracy

4. Identity possible suspects, accomplices or conspirators

5. Obtain corroborating testimony, supportive evidence and admissions of guilt or confession

6. Recover purloined fruits of the criminal enterprise

7. Establish guilt or innocence of the suspect(s) being interrogated

8. Obtain written, audio statements, admissions or confessions

9. Ascertain related evidence, such as hideouts, weapons, gang affiliations

10. Locate and catalog all case-related evidence

THE ABCs OF SELECTING INTERROGATORS

Selecting the right person to perform an interrogation begins and ends with EDUCATION, PERSONALITY, AND TEMPERAMENT. Specifically, the person must be inquisitive, possess an excellent moral compass, embrace truthfulness, retain excellent interpersonal skills, and enjoy laboring in criminological career surroundings. All interrogators should have the ability to:

• Pay attention to detail

• Conduct independent research

• Examine physical evidence

• Decipher human motive responses

• Solve problems

• Listen intently

Further guidance can be found in an excellent criminal justice degree school guide: “How to become a criminal investigator” https://www.criminaljusticedegreeschools.com/criminal-justice-careers/criminal-investigator/

PREPARING THE PRE-INTERROGATION CHECKLIST

Before conducting an interrogation, it’s critical that interrogators prepare a needs assessment checklist to ensure that the interrogative exercise goes off without a hitch. One of the most important attributes that an interrogator needs to bring with him or her into the interrogation room is patience. Other considerations include:

• Framing an appropriate game plan

• Selecting the right interrogation site

• Arranging room furniture, lighting, water glasses, ashtray

• Allowing ample time for the interrogation

• Devising an appropriate questioning strategy

• Outfitting the room for audiovisual serviceability

• Ensuring that note-taking does not interrupt the ebb and flow of the interrogation

ARRANGING THE INTERROGATION ROOM FOR OPTIMUM EFFECT

The physical layout of an interrogation room should be designed to maximize a suspect’s discomfort and their overall sense of powerlessness from the moment he or she steps into the room. The room should have video/audio capability and related signage announcing that the session will be recorded. The room should be a small soundproof chamber with limited seating and bare walls, and the interviewee should never be physically seated near light fixtures or thermostats. Additional information on interrogation logistics can be found in an excellent book Criminal Interrogation and Confessions by F. Inbau, et el: Abe Books – 1967.

HOW IS AN INTERROGATION PERFORMED?

In general, an interrogation takes place in a formal interview room and is often tape-recorded. It’s important to note that a video recording is always preferred over a non-video session. For the most part, the seating should be comfortable, and the chairs positioned for a face-to-face confrontation. It’s important that the interrogator not stand over the interviewee so as not to make him or her feel intimidated. The interviewee should be offered a cold beverage and/or food and advised of where the restroom is located. Prior to beginning the interrogation, an interrogation schematic needs to be prepared. Interrogation schematics often include the who, what, when, and where of the incident under review. It is said that “doing one’s homework helps to ensure success of any and all undertakings.” Further information on interrogation and process can be found in an excellent book by Rod Gehl and Darryl Plecas, “Introduction to Criminal Investigation: Process, Practices and Thinking” – Justice Institute of British Columbia Press: August 1, 2017.

UTILIZING INTERPRETERS

It’s always a good idea to have a certified non-partial bilingual interrogator available to perform the interrogation. If an interpreter is required, however, it’s important to make sure that all communication is between the interrogator and the interpreter, and not between the interviewee and the interpreter.

WHAT IS SOCIAL MEDIA HARVESTING?

Social media harvesting is a way to collect data unobtrusively and automatically from social media platforms, such a Facebook and the like, by employing simple programming tools to extract relevant messages from these platforms for various research purposes. Data harvesting, as its agricultural name suggests, is like gathering crops because it involves collection and storage with the expectation of future reward. Data can be harvested in different ways, ranging from simple copy-and-pasting to more complicated programming strategies. Media mining is the process of obtaining data from social media sites and the internet. There are many social media research companies available to investigators. The prices of these services range from $5 to $500.00.

WHAT IS A FORENSIC INTERROGATION?

A great many private investigative firms are called by major corporations to perform financial investigations. Company X believes they have a financial loss problem. Oftentimes, these specialized investigations require specialized audit-related investigative expertise that not all private investigation firms offer. Over the past forty years, however, private investigators and accounting professionals began working and training together to perform these specialized forensic investigative assignments. Looking back at the evolution of forensic auditing and investigations, it was not until the savings and loan crisis of the 1980s and 1990s hit businesses smack in the pocket that forensic audit investigation made its official debut. In response to the hue and cry from business to do something, professional organizations specializing in fraud examination began making their debut. One such organization, the Association of Certified Fraud Examiners, began cross-training security and accounting professionals to find fraud forensically. Further information on how investigators and accountants often work together on a financial investigation can be found in an article co-authored by the undersigned, “Team Partners in Fraud Detection” (October 1992) The CPA Journal. The article crystallizes how these new team fraud fighters go about conducting a forensic audit investigation. It’s important to note that, as of today, forensic accounting professionals’ number in the tens of thousands.

WHAT ROLE DO BACKGROUND CHECKS PLAY IN AN INTERROGATION?

As a matter of course, once the interrogation is completed, it’s time to commence verifying the information gleaned from the interrogation. Beyond reaching out to verify persons, places and locations, etc., the tool often used to assist interrogators in ascertaining information accuracy about individuals is the background check. According to an excellent article featured in Good Hire -- https://www.goodhire.com/blog/complete-guide-to-background-checks “The Complete Guide to Background Checks,” a background check, simply put, is a process a person or company uses to verify that a person is who they claim to be. The purpose of a background check is to furnish helpful information about a person’s history. Additional information on performing due diligence and background checks can be found in an article written by the undersigned, “Background Checks: A Diagnostic Tool to Decipher Deception”: (2014) Journal of Healthcare Protection Management – Vol. 30., No.2, pp 57-65.

CONCLUSION

Conducting an interrogation is a five-phase undertaking.

1. Phase one - selecting the right interrogator

2. Phase two - selecting the right interrogation facility

3. Phase three - selecting the right interrogative game plan

4. Phase four – selecting the right question/note taking strategy

5. Phase five – selecting the right interpreter arrangement

The information herein is intended to offer a road map for security administrators to follow when formulating interrogation policy. Seasoned security administrators instinctively know that programmatic success is never permanent and only rented and should always be on the lookout for skilled artisans to shepherd their institution’s interrogative exploits!

REFERENCES:

Luizzo, A. & Gaspar J. “Demystifying the Investigative Process” PI Magazine – November /December 2019 pp. 6-9. “How to become a criminal investigator” https://www.criminaljusticedegreeschools.com/

criminal-justice-careers/criminal-investigator/

Inbau, F. et el: “Criminal Interrogation and Confessions” Abe Books – 1967.

Gehl, R. & Plecas, D. “Introduction to Criminal Investigation: Process, Practices, and Thinking” Justice Institute of British Columbia Press – August 01, 2017.

Luizzo, A & Calhoun C. “Team Partners in Fraud Detection” CPA Journal – October 1992.

Good Hire: The Complete Guide to Background Checks” https://www.goodhire.com/blogcomplete-guide-to-background-checks

Luizzo, A., et el: “Background Checks: A Diagnostic Tool to Deciphering Deception”

Journal of Healthcare Protection Management – Vol. 30., No. 2. pp. 57-65 – 2014.

Anthony J. Luizzo, PhD., CFE, CST, PI (ret. NYPD) is a member of the board of advisors of Stage One Screening Solutions, LLC & Vault Verify, LLC. He was a former Detective Specialist with the New York City Police Department and held senior executive security positions with the NYC Mayor’s Office of Economic Development and NYC Health & Hospitals Corporation (largest public healthcare system in the united states). He is the past president of the Society of Professional Investigators and former elected eastern region governor for the Association of Certified Fraud Examiners and founding member and president emeritus of the New York Chapter: Association of Certified Fraud Examiners. He is a former editorial advisory board member: Reuters/ WG&L/RIA Group – Thomson Publications.

John M Gaspar, B.S, M.S, CFE, BAI CSI is a licensed private investigator in the State of Florida. Presently, the President of All Florida Investigations & Forensic Services, Inc. He is a former President of the Society of Professional Investigators (SPI), current board member of FAPI, Intel Net Education Board BAI program Director , former Keiser University Academic Dean & Department Program Coordinator for CSI, St John’s University adjunct professor C.J, Bethune Cookman University adjunct professor C.J, retried Daytona State Colleges Adjunct Professor and FDLE Instructor for advanced and specialized courses. John is a retired NYC Detective working in Major Case Squad, Retired Flagler County Florida Detective Supervisor in charge of the Economic Crime Division. He has written curriculum for FDLE, NYPD, Keiser University Daytona State College on Criminal & Crime Scene Investigations. John’s published works include: Fraud Magazine November/ December 2013 Volume 28, the “Shutter Bug case” ($800,000 Construction Fraud Scheme), and Co-authoring “Demystifying the Investigative Process” -PI Magazine November/ December 2019.

John Gaspar

November 12, 2019

Demystifying the Investigative Process

John Gaspar

November 12, 2019

Private Investigators – read PI Magazine

PI Magazine Article

Published in PI Magazine - Nov/Dec 2019

Generic definition of an interview

Over the years, many investigators have come up with several generic definitions for the investigative exercise. Our definition: “an investigation is the medium through which facts are discovered, gathered, preserved and prepared as evidence for legal proceedings”.

The difference between an interview and an interrogation?

An interview is a leisurely conversation with a person of interest which can elevate to a fact finding excursion where warranted. An interrogation is a probing conversation with normally unwilling or unknowing subjects to extract secretive information. The primary objective of the interrogation is to obtain incriminating evidence and ultimately get to the truth of what happened.

A window into the investigative process

One of the tenets of the investigative process is to gather as much pertinent information as possible during the interview. Oftentimes the interview is analogues to a written play and the interviewer and interviewee are the lead actors. The interplay between both are analogues to a well-rehearsed symphony wherein the interviewer tries to marry the apparently connected to the unconnected and the interviewee tries to either answer the questions forthrightly or attempt to dance around the truth. The investigative process follows the universal academic learning model: “assess the facts, criticize assertions, and integrate conclusions”. From the business perspective, private investigators often term this exercise “connecting the dots” or “pealing the onion”. As the layers of the onion are pulled back the onion begins to reveal its true nature.

Whether performing a law enforcement or business-related interview/interrogation, it’s most important to always come to the interview or interrogation prepared. Being prepared includes but is not limited to:

• using control type questioning – a control question is an incident-related query intended

to elicit a psychological response

• observing kinetics

• establishing rapport

• controlling the flow of the interview

• allowing uninterrupted dialogue

• keeping an open mind

• following the facts wherever they may lead

Investigative experts instinctively know that active listening is the fulcrum upon which effective interviews are constructed. Often the interviewee is ready and able to tell what he or she knows, and interviewers should always allow him or her to tell their story uninterrupted. At times, interviewees are not interested in cooperating and in these instances the interviewer needs to wear two hats and try to conduct both the interview and interrogation in one session. This takes tremendous skill and should only be performed by seasoned sleuths. The interrogation on the other hand, is a formal session designed to elicit a confession of guilt and involves probing and extracting information from an unwilling subject by asking trenchant questions. The objective is to seek evidence and an admission of responsibility or guilt. The interviewer needs to leave the impression that the incident at hand has already been solved and that the interviewee is somehow involved.

Interview types:

Initial Interview – identifies the circumstances surrounding the incident, lists possible witnesses/suspects, catalogs physical evidence and classifies the incident as a crime, civil event or as an informational report.

Canvas Interview- is usually completed as a follow-up to the initial interview and involves canvassing of neighborhoods, searching out witnesses and following any and all possible leads. Oftentimes these canvasses are door to door inquires of residences, business establishments, bus stops, delivery carriers (Federal Express, USPS, Parcel Post etc.,) and transportation companies (Uber, taxi cabs, car services, buses). In many instances the canvasser is searching for evidentiary materials including: video camera footage, eye or ear witnesses, or any related information that can shine further light on the incident under scrutiny.

Victim Interview – often involves searching for the who, when, why, how and where of the incident.

Witness Interview - the object of these interviews is to obtain eye-witness information from a wide variety of locations (stores, apartment complexes, shopping malls, etc.) captured during the initial interview leading to sketch characterizations and other evidence-related exhibits.

Suspect Custodial Interview – is defined as the questioning of a person regarding their involvement or suspected involvement in a criminal offence or offences. As a matter of course, suspect interviews are performed by law enforcement officers as part of their regular criminal justice process.

Non-Custodial Interview: these interviews are usually performed by private security personnel and are fact finding exercises. In this type of interview its important that the interviewer establishes rapport with the interviewee and ensures that the interviewee is comfortable and relaxed.

National vs. international investigative considerations

In a June 1995 article by the undersigned “Investigating in a New Environment” – Security Management Magazine discusses the unique differences associated with performing investigations in foreign lands. It’s important to recognize that performing investigations and conducting interviews and interrogations abroad could be a perilous episode indeed. Seeing that many corporations have multi-national footprints, the way interviews and interrogations are performed internationally should be carefully researched.

First and foremost, it’s imperative that investigative professionals entering these markets understand that they pose a markedly different and sometimes dangerous, cultural and legal landscape. Many issues that are taken for granted in domestic investigative interviewing and interrogating exercises must be addressed in the context of the host country’s political, legal, and cultural climate. One of the most important issues that needs to be researched before commencing to interview and/or interrogate anyone is to seek legal counsel and checkout the host country’s legal system thoroughly. Every country has its own legal system, which affects all aspects of the criminal and civil justice process, including security and investigations. These systems vary greatly from country to country.

Permissible investigative approaches in Mexico, for example may be prohibited in France. Protections that are taken for granted in the United States pertaining to search and seizure, self-incrimination, Miranda Warnings, interview taping, etc. most likely are quite different than our justice system requirements. The major exceptions to this rule are the United Kingdom and India. The U.S. legal system, of course is an outgrowth of the English common law system, and many of the principles of the American justice system apply therein. Beyond the legal system, its equally important that the investigative specialist become extremely familiar with the host country’s culture and language. It’s also important that the investigative professional read as much about the host country as possible before endeavoring to jump in and perform any due diligence excursions.

Aspects of preparing for the interview / interrogation: the homework phase

The key to ensuring success is to be prepared. A successful interview and/or interrogation begins and ends with getting all your ducks in a row before beginning the exercise. Before contacting a witness or the subject of an investigation, whenever possible, review police / civilian reports, CSI reports, do comprehensive background/ social media searches, (CAD) computer assisted dispatch reports on the subject and location. When possible talk directly to the responding officers and/or interested parties to obtain detailed accounts of the incident. Finally, it’s most important that the interviewer determine whether one party or two-party consent is required for electronically taping potential proceedings. This is especially important if electronic taping is to become part of the investigative envelope.

Preparing for the interview:

Interview tips:

• pre-plan interview questions

• put the interviewee at ease-develop a rapport

• structure interview questions so that they are easily understood

• show a personal interest in the interviewee

• always keep interviews conversational

• listen carefully to verbal and non-verbal dialog

• refrain from interrupting the interviewee

• determine information requirements before beginning the interview

• schedule interviews at the time of the day when you have the most personal energy

• select an interview location free from distractions

• always allow ample time to conduct the interview

• always maintain control of the interview flow

• try to establish rapport with the interviewee

• always accept emotive responses without criticism

• refrain from taking extensive notes during the interview – shorthand helps

• refrain from interrupting the interviewee

• always leave the door open to follow-up interviews

• obtain a written statement of facts at the conclusion of the interview

• when using interpreters, make sure that all communication takes place between the

interviewer and interviewee – not between the interpreter and the interviewee

Note taking tips:

• Refrain from trying to write verbatim responses-audio or video taping should be practiced whenever possible (in many states you need to let all parties consent to the being recorded).

• Avoid becoming distracted by your note taking

• Always preserve interview notes for future use

Shorthand note-taking suggestions:

• Q&A: question and answer

• RQ: repeat question

• RA: repeat answer

• IE: interviewee

• IR: interviewer

• IW: interview

• MVI: motor vehicle information

• PI: police information

• AKA: aliases

• MPH: miles per hour

• POB: place of birth

• DOB: date of birth

• NA: not applicable

• ID identification

• CM: crime method

• ICB: internal control break – fraud and audit term

• SSF: security system failure

• AF: audit failure - fraud audit term

• SF: security failure

• BSR: background search required

Interview methods:

1. Good Guy – Bad Guy-One interviewer attacks the interviewee – whilst the other defends

2. Role Reversal – The interviewer reverses roles with the interviewee i.e. “if you were

looking into this matter, what would you do?

Interview techniques

• Pregnant Pause – Asking a question……. pausing, this often-uncomfortable silence

creates the opportunity for the interviewee to continue conversing

• Trade Off Technique – offering a promise of helping the interviewee by suggesting that

their assistance will be taken into consideration later if necessary

• Breaking Down the Story Technique – the gradual process of obtaining the truth by

pointing out inconsistencies in the facts, thus hopefully getting the interviewee to make

broader remarks and possible admissions

• Graceful Exit Technique – Allowing the interviewee to furnish excuses for their

behavior by offering a sympathetic ear – thus keeping the door ajar for future

interactions.

Deceptive behavior traits: types of liars:

• Panic Liar – Rarely wishes to face the consequences of his or her confession

• Occupational Liar – has lied for years – it’s a way of passage

• Tournament Liar – Loves the challenge lying brings

• Ethnological Liar – taught over the years to never squeal on another

• Sadistic Liar – Will never give the interviewer the satisfaction

• Psychopathic Liar – No conscience whatsoever.

Helpful investigative hints

More astute interviewers never fail to take special notice of the clothing, jewelry, tattoo’s, accents and other personal identifiers. To the perceptive sleuth a college ring identifies schools attended, sports jackets, elbow patches and button-down shirts signify possible academician affiliation, bow ties often signify non-conformist characteristics, lapel pins showcase organization / association affiliation, and the list goes on and on. It really pays to observe!

Performing due diligence: testing information accuracy

Once the interview and/or interrogation is completed, it’s time for fact-testing. Each assertion offered during the interview and/or interrogation must be truth-tested. Witnesses must be located and interviewed, background checks and related due diligence performed, tips and leads verified, etc.

Conclusion

In the court of protection wisdom, conducting interviews and interrogations is truly both an art and a science. The art involves setting the proper environment and stage for the interview, whilst the science embodies using your observation and intuitive abilities to capture the ever-elusive truth. Interviewers spend countless hours probing, examining, researching, listening, observing and pondering before they tear a page from their “RX” pad and begin preparing their final report.

References

• Lyman: publisher Pearson 6th edition ibsn# 3-978-0-13-506057-5

https://pressbooks.bccampus.ca/criminalinvestigation/chapter/chapter-9-interviewingquestioning-and-interrogation/

• Luizzo, A. Van Nostrand G.: “Investigating in a New Environment” – Security

Management Magazine – June 1995.

• Luizzo, A. “Interview Vs. Interrogation”: Financial Fraud Report - Warren Gorham &

Lamont / RIA Group Reuters - Thomson Publications - December 1999.

• Luizzo, A., Calhoun, C., “Fraud Auditing: A Complete Guide”: The Foundation for

Accounting Education / New York State Society of Certified Public Accountants – 1992, Rev. 1995.

About the Authors

Anthony j. Luizzo, PhD, CFE, CST, PI (Ret. NYPD) is a member of the Board of Advisors of Vault Verify, LLC. He is a former detective specialist with the New York City Police Department’s Crime Prevention Division and held senior security positions with the NYC Mayor’s Office. He is a past President of the Society of Professional Investigators (SPI) and president-emeritus and founding member of the NYC Chapter: Association of Certified Fraud Examiners. He has written dozens of articles for professional journals and magazines and is the co-author of “Fraud Auditing A Complete Guide” a fraud detection/prevention workbook for CEOs, CFOs, and Security Administrators published by the Foundation for Accounting Education and the New York State Society of Certified Public Accountants: 1992 Rev. 1995. He is a former editorial advisory board member: Reuters/WG&L/RIA Group – Thomson Publications.

John M Gaspar, B.S, M.S, CFE, BAI CSI is a licensed private investigator in the State of Florida. Presently the President of All Florida Investigations & Forensic Services, Inc. He is a former President of the Society of Professional Investigators (SPI), current board member of FAPI, Intel Net Education Board BAI coordinator, former Keiser University Academic Dean & Department Program Coordinator for CSI, St John’s University Adjunct professor C.J, Bethune Cookman University adjunct professor C.J, retried Daytona State Colleges Adjunct Professor and FDLE Instructor for advanced and specialized courses. John is a retired NYC Detective working in Major Case Squad, Retired Flagler County Florida Detective Supervisor in charge of the Economic Crime Division. He has written curriculum for FDLE, NYPD, Keiser University Daytona State College on Criminal & Crime Scene Investigations. John’s published works include: Fraud Magazine November/ December 2013 Volume 28 the “Shutter Bug case” ($800,000 Construction Fraud Scheme).