A Guide to Business Organization Flexible_7 pdf

Part II BASIC INVESTIGATIVE SKILLS Chapter 10 INTERVIEWS, INTERPRETERS, AND STATEMENTS WILLIAM F. BLAKE T he private investigator’s principal stock in trade is the ability to obtain information from various sources. This assumes the ability to communicate with others. In a multicultural society such as the United States, the English language ability of some residents poses a problem. Also contributing to this problem are the limited linguistic skills of many investigators. To circumvent these issues, it may be nec- essary to interject a third person into the quest for information. This creates another problem to be addressed. Because communication is a two-way exchange between the speak- er and the listener, it is important to be accurate in the interpretation of the speaker’s words. When conducting the interview, it is important to remember that the job of the investigator is to determine whether an incident occurred and to identify a particular person as being the responsible party. It is important to ensure that the focus of any inter- view is on the incident and not the alleged perpetrator. Being impar- tial requires that all individuals be considered innocent until there is adequate proof that a specific individual is responsible. The professional investigator must ensure that the words spoken during an interview do not suggest to the person being interviewed that a specific response is required; it may deliberately or mistakenly indicate a particular individual is responsible for an incident. The investigator must have many skills to be a highly skillful interviewer— some are instinctive and some must be learned. To achieve the goal of 133 134 Basic Private Investigation impartiality and professionalism, the investigator must have some unique attributes, among which are • Observant of body language and locations • Resourceful • Patient • People oriented • Understanding of human nature • Knowledgeable of the legal implications of his or her work • A skilled communicator • Receptive to different ideas and concepts; impartial and receptive to alternate ideas • Possessed of a sense of confidence and well-being • Dedicated to work • Self-starter • Skeptical • Intuitive • Energetic • Good actor • Capable of good judgment • Logical • Intelligent • Imaginative • Of good character • Professional PLANNING THE INTERVIEW As with any part of an investigation, it is important to prepare for an interview. The manner in which you conduct the interview will be directly related to your success. If the investigator uses a rambling approach to obtain information, she or he sends a message to the per- son being interviewed that she or he is not prepared and can probably be easily misled by the interviewee. A structured approach sends a message of professionalism and competence. The most essential preparation is a complete and thorough under- standing of all available information concerning the matter under in - Interviews, Interpreters, and Statements 135 quiry. The first few minutes of an interview with an individual sets the tone for the rest of the encounter. It is the investigator’s responsibility to create a calm atmosphere in which the interviewee will feel relaxed and willing to communicate. This is especially important when the interviewee is a native of a country where investigators are not respect- ed or use unconventional and frequently repressive interview tech- niques. Cultural awareness is a key component of establishing a respectful rapport with the interviewee. Because of cultural background differ- ences, there may be those who are afraid of anyone who appears to have “authority” over them. This may be caused by a uniformed offi- cer, supervisor, or manager or the manner in which the interviewer speaks. Family and cultural loyalty is also an influence to be over- come. A few minutes of general conversation not related to the matter at issue may help to develop mutual rapport with the interviewee. Initially showing a conversational interest in the interviewee as a per- son is a considerable help in reducing the possible fears of the inter- viewee. INTERVIEW METHODOLOGY The interview format and methodology should be known by all interviewers and interpreters prior to the start of the interview. A sec- ond interviewer should be present during the interview of a person of the opposite sex to reduce the probability of a claim of impropriety on the part of the interviewer. There should be a prearranged signal between the interviewers for when it is desirable to change interview- ers. There should also be a separate signal to be used between the interviewers and the interpreter when there is a need to talk out of the hearing of the interviewee. Caution should be exercised when select- ing the interviewers. If the interviewers are significantly larger in stature than the interviewee, there is always the possibility that the interviewee may claim intimidation because of the size of the inter- viewers. Regardless of stature, an interviewer with a calm, noncon- frontational and respectful demeanor will achieve better results. The physical setup of the interview room plays a significant part in reducing problems of perceived restraint of freedom for the intervie- 136 Basic Private Investigation wee. The ideal setup is with the interviewee in a position in which there is no actual or implied indication that the interviewee is not free to leave the interview at any time. The primary interviewer should be directly across the table from the interviewee to maintain eye contact. The room furniture should be limited to a table and chairs for the interviewee and the interview team. The walls should be free of all dis- tractions such as pictures and related items. The interpreter should be seated where he or she is not directly facing the interviewee, although in a position to observe the facial expressions and body language of the interviewee. The use of audio and visual recording equipment is a matter of personal preference. However, it is wise to advise the inter- viewee that such equipment is being used. As a private investigator you are not required to advise individuals of their Miranda rights unless you are conducting an interview under the direction and control of a law enforcement officer or prosecutor. Using an off-duty law enforcement officer who may be acting in a security officer or private investigator capacity can create problems. Prior to using such a person to conduct an interview, it is wise to obtain written legal advice concerning the interview tactics. WEINGARTEN RIGHTS There are additional legal requirements when the person being interviewed is a member of a labor union. Principal among these are the requirements of NLRB v. J. Weingarten, Inc., 420 U.S. 251, which was decided by the United States Supreme Court concerning the rights of unionized workers. The pertinent parts of this decision are: A. Weingarten rights apply only during investigatory interviews. An investigatory interview occurs when: (1) management questions an employee to obtain information; and (2) the employee has a reasonable belief that discipline or other adverse consequences may result. For exam- ple, an employee questioned about an accident would be justified in fearing that she might be blamed for it. An employee questioned about poor work would have a reasonable fear of disciplinary action if he should admit to making errors. Interviews, Interpreters, and Statements 137 B. Under the Supreme Court’s Weingarten decision, the following rules apply to investigatory interviews: 1. The employee can request union representation before or at any time during the interview. 2. When the employee asks for representation, the employer must choose from among three options: a. Grant the request and delay questioning until the union repre- sentative arrives; b. Deny the request and end the interview immediately; or c. Give the employee a choice of: (a) having the interview with- out representation or (b) ending the interview. C. If the employer denies the request for union representation and continues the meeting, the employee can refuse to answer ques- tions. D. Employers sometimes assert that the only function of a union stew- ard at an investigatory interview is to observe the discussion; in other words, to be a silent witness. This is incorrect. The steward must be allowed to advise and assist the employee in presenting the facts. When the steward arrives at the meeting: 1. The supervisor or manager must inform the steward of the sub- ject matter of the interview; in other words, the type of miscon- duct being investigated. 2. The steward must be allowed to have a private meeting with the employee before questioning begins. 3. The steward can speak during the interview, but cannot insist that the interview be ended. 4. The steward can object to a confusing question and can request that the question be clarified so that the employee understands what is being asked. 5. The steward can advise the employee not to answer questions that are abusive, misleading, badgering or harassing. When the questioning ends, the steward can provide information to justify the employee’s conduct. E. An employer does not have to inform an employee that he or she has a right to union representation. 138 Basic Private Investigation QUESTIONS AND ANSWERS REGARDING WEINGARTEN RIGHTS Steward’s Request Q: If I see a worker being questioned in a supervisor’s office, may I ask to be admitted? A: Yes. A steward has a right to insist on admission to a meeting that appears to be a Weingarten interview. If the interview is investiga- tory, the employee must be allowed to indicate whether he or she desires the steward’s presence. Coercion Q: An employee summoned to a meeting with her supervisor asked for her steward. The supervisor said, “You can request your stew- ard, but if you do, I will have to bring in the plant manager and you know how temperamental she is. If we can keep it at this level, things will be better for you.” Is this a Weingarten violation? A: es. The supervisor is raising the specter of increased discipline to coerce an employee into abandoning her Weingarten rights. Can The Employee Refuse To Go To Meeting? Q: A supervisor told an employee to report to the personnel office for a “talk” about his attendance. The employee asked to see his stew- ard, but the supervisor said no. Can the employee refuse to go the office without seeing his steward first? A: No. Weingarten rights do not arise until an investigatory interview actually begins. The employee must make a request for represen- tation to the person conducting the interview. An employee can only refuse to go to a meeting if a supervisor makes clear in advance that union representation will be denied at the interview. Medical Examination Q: Our employer requires medical examinations when workers return from medical leaves. Can an employee insist on a steward during the examination? Interviews, Interpreters, and Statements 139 A: No. A run-of-the-mill medical examination is not an investigatory interview. Lie Detector Test Q: Do Weingarten rights apply to polygraph tests? A: Yes. An employee has a right to union assistance during the pre- examination interview and the test itself. Sobriety Test Q: If management asks an employee if he will submit to a test for alco- hol, does Weingarten apply? A: The employee must be allowed to consult with a union represen- tative to decide whether or not to take the test. Locker Search Q: If a guard orders an employee to open a locker, can the employee insist on a steward being present? A: No. A locker search is not an investigatory interview. Counseling Session Q: An employee was given a written warning for poor attendance and was told she must participate in counseling with the HR depart- ment. Does she have a right to a union steward at the counseling sessions? A: This depends. If notes from the sessions are kept in the employee’s permanent record, or if other employees have been disciplined for what they said at counseling sessions, an employee’s request for a steward would come under Weingarten. If management gives a firm assurance that the meetings will not be used for discipline and promises that the conversations will remain confidential, however, Weingarten rights would probably not apply. Private Attorney Q: Can a worker insist on a private attorney before answering ques- tions at an investigatory interview? 140 Basic Private Investigation A: No. Weingarten only guarantees the presence of a union represen- tative. Recording the Interview Q: Can a supervisor tape-record an investigatory interview? A: This depends. The Weingarten decision itself does not forbid an employer from tape recording an investigatory interview. If this represents a new policy on the part of the employer, however, the steward can object on the ground that the union did not receive prior notice and have an opportunity to bargain. Questions About Others Q: If a worker is summoned to a meeting and asked about the role of other employees in illegal activities, can the worker insist on assis- tance from a union representative? A: Yes. Although the employee may not be involved in wrongdoing, he or she risks discipline by refusing to inform on others or admit- ing that he or she was aware of illegal activities. Because what he or she says at the meeting could get the employee into trouble, he or she is entitled to union representation. Obstruction Q: The company is interviewing employees about drug use in the plant. If the union representative tells the employees not to answer questions, could management go after the union representative? A: Yes. A union representative may not obstruct a legitimate investi- gation into employee misconduct. If management learns of such orders, the representative could be disciplined. WHAT ARE THE RIGHTS OF A NONUNION EMPLOYEE IN A UNIONIZED BUSINESS? For various reasons, it is not uncommon to have a mixture of union and nonunion employees in the same business entity. Some individu- als may choose to not be a member of the union. Others may be ex - cluded from union membership because of their supervisory or man- [...]... WILLIAM F B LAKE uccess as a businessperson can be difficult to achieve and very easy to lose Many elements contribute to success The primary elements include experience, appearance, and reputation Experience and appearance are easy to define and develop A reputation as a competent professional is much harder to define and achieve One aspect of your reputation that is frequently overlooked is the quality... freely and voluntarily make this statement No offer of any benefit or reward has been made to me and no one has threatened me to make this statement.” • On top of each continuation page: Statement of (interviewee) taken at (location), dated (current date) continued • At the end of the final page: “I have read this statement that begins on Page 1 and ends on Page This statement is true and correct to. .. belief WHAT IS AN APPROPRIATE STATEMENT FORMAT? The statement should include the beginning and ending time and date of the statement This information can be placed either at a single location within the parameters of the statement form or separately at the beginning and ending of the statement It should also show the location where the statement was taken The page number and total number of pages should... becomes a permanent part of “your record.” Good reports are easily forgotten, but bad reports will remain a part of “your record” for many years • A professional-quality report will demonstrate your abilities, not only to the original recipient but also to everyone who has an opportunity to see it This is a prime marketing strategy and may lead to future referrals • It is critical to remember that anything... professionalism and respect, it will have an impact on the 144 Basic Private Investigation attitude and cooperation of future witnesses They will be more cooperative and ready to assist rather than resist future requests for assistance Never end an interview with a curt “Okay Thank you.” You should let the interviewees know you appreciate what they have done and that they have performed a valuable service... on each page The following recommended statements should appear on the statement form: • As an introductory paragraph: “I (interviewee), residing at (complete address), telephone number (work, residence, and cellular), date of birth, having been informed by (investigator’s name) that he is a private investigator and not a law enforcement officer and is conducting an inquiry on behalf of (client’s name),... United States an interpreter for a common language costs about $600 per day whereas for a less common language the cost may be $1200 or higher In the international environment, the U.S Embassy business center normally can provide advice on interpretation services In interna- 146 Basic Private Investigation tional areas, the prevailing local rate will be significantly different, depending on the area Less... knowledge and belief I have initialed all corrections and signed the bottom of each page.” 148 Basic Private Investigation • If the statement is notarized: State of _ County of “Sworn and subscribed to before me (Notary’s Name), at (location) by (interviewee’s name), this day of month, year.” Printed name and signature of Notary, Notary Stamp and My Commission expires (date) SUMMARY The art... commitment to a specific set of facts and reduces the probability of later disputes and changes in information The use of a handwritten statement based on a request to “write down what you know” is unprofessional and leads to much extraneous information to the exclusion of that which is necessary On many occasions, the handwriting will be undecipherable and confusing, even if prepared by the investigator... leads to confusion and emotional tension and destroys the established rapport The long pause—silence—may lead the interviewee to assume you are not satisfied with an answer and to voluntarily provide additional information There may be some subtle signs of submission by the interviewee They include uncrossing arms and legs; neutral facial expression; leaning forward in a slumped position; paying attention . appearance, and reputation. Experience and appearance are easy to define and develop. A reputation as a com- petent professional is much harder to define and achieve. One aspect of your reputation. not apply. Private Attorney Q: Can a worker insist on a private attorney before answering ques- tions at an investigatory interview? 140 Basic Private Investigation A: No. Weingarten only guarantees. English, external language expertise will be required. An interpreter is not nec- essarily a translator nor is the translator an interpreter. An interpreter deals with spoken communications and the translator