To Be Perfectly Honest. Signs of Deception in the Workplace

Transcription

1 To Be Perfectly Honest Signs of Deception in the Workplace

2 Course Description In today's economic climate we have seen a significant increase of issues that challenge the Human Resources Departments of nearly every business. In this session we will discuss a variety of methods that will assist the human resources professional in identifying deception from the application process to full investigations. We will show real examples of interviews, examine body language and analyze written statements.

3 Looking for signs of deception before understanding the causes. The Cart Before the Horse

4 Employee Theft Pressure Theft Triangle Opportunity Rationalization

5 Opportunity is generally provided through weaknesses in the internal controls. Some examples include inadequate or no: Supervision and review Separation of duties Management approval System controls

6 Pressure can be imposed due to: Personal financial problems Personal vices such as gambling, drugs, extensive debt, etc. Unrealistic deadlines and performance goals

7 Rationalization occurs when the individual develops a justification for their fraudulent activities. The rationalization varies by case and individual. Some examples include: I really need this money and I ll put it back when I get my paycheck I d rather have the company on my back than the IRS I just can t afford to lose everything my home, car, everything

8 Employee Theft Of the three basic reasons employees steal, what can we control? Since most thefts do not involve the use of a specialized skill set in order to be successful, skill is not a factor. Most thefts happen in places where the opportunity to steal is placed in front of the employee many, many times.

9 Employee Theft There are basically three main indicators of internal theft. First, be on the lookout for a conspicuous consumer. Second, be aware of employees who show a life pattern that demonstrates fiscal irresponsibility. And third, be alert for situations where an employee is caught in a real financial squeeze.

10 Employee Theft Think of the Four B s Beer = some type of substance addiction Boobs = some type of sex addiction Betting = some type of gambling addiction Borrowing = some type of spending addiction

11 Employee Theft Gambling, either on or off the company property. Excessive drinking or signs of other drug abuse. Obvious extravagance. Persistent borrowing. Requests for advances in pay. Bouncing checks or writing post-dated checks.

12 Employee Theft and Other Issues Nothing in the workplace is immune

13 Employee Theft/Issues The best thing that we can do to prevent these issues is to be aware that they exist in the first place! Rule

14 The Two Rules Rule 1 - Never, ever use this on your significant other or other adult members of your family. Rule 2 - Your children and other children are always fair game.

15 The Application Application fraud is a legitimate defense to an employee s claim of wrongful termination and can be very helpful in obtaining a quick resolution to a claim of wrongful termination or discrimination in employment. Unfortunately, the use of the employment application is a frequently overlooked step in the hiring process. This critical document includes significant information and should be used for all hires. The application must be signed to be effective and placed in the personnel file.

16 The Application This document should also used in any follow up investigation of an employee. There could be key information helpful in this process Reference Example Address Example Facebook

17 Statement Analysis Generally looking for areas of separation, gaps in time, and disassociation. Exercise

18 Interview vs. Interrogation An interview is defined as; a meeting of people face to face, a meeting in which a person is asked about their views. An interrogation is defined as; words or actions designed to elicit an incriminating statement, to question formally. These are two very different actions; one is designed to gather information while the other is designed to get the truth from someone who doesn t want to tell you the truth. An interview can always become an interrogation, but an interrogation can never become an interview. During an interview we try to establish what the persons views are on a subject or what type of knowledge they have on incident. Many times we can base the truthfulness of the subjects answers based upon on the information we already know to be true and factual. If the subject is deceitful during an interview we then move to the interrogation phase. The interrogation takes our factual information and formalizes it into questions that are designed to obtain the truth. This is done through themes, transition phases, confrontational statements and handling denials and objections. The differences are simple to interview is gather information to interrogate is to get the truth.

19 Legal Issues There are numerous legal issues surrounding the use of interrogation as a means to obtain the truth by law enforcement personnel. Fortunately for private citizens there is currently little or no case law that prevents us from this activity. As with anything else, good judgment and discretion are essential when conducting any interview or interrogation. Before you begin conducting any interviews and interrogations it is always a good business decision to consult with legal counsel to make sure you are operating within the framework established by your company.

20 Miranda and Private Citizens Private citizens are not required to Mirandize a suspect even if there is custody and interrogation. However, you should tread very lightly in this area and be sure of the circumstances surrounding the arrest. Some factors to consider are: Were you directed to arrest the suspect by a member of Law Enforcement? This act places you under State Action and your acting on behalf of the Agency or State it represents. Do you have a provision within your State Law that states you have the right to detain a person suspected of crime within your casino for the purposes of notifying law enforcement? Either one of these situations could place you and your company at risk and it is best that you avoid interrogation altogether.

21 Suggested Guidelines Never promise anything! The suggestion of someone confessing to something they didn t do just so they keep their job or stay out of jail is too compelling. Never threaten physical injury! This tactic, while popular in the movies, is just plain stupid. Never force an employee to remain in the room that the interrogation is being conducted! Do your homework! Investigate the suspects background, know what their job is, understand the case and the crime or incident that was committed. Union employees Always provide a witness for a union employee, unless they specifically request that one not be provided. Get it in writing! Never interrogate if law enforcement has already been notified or are present! This is not attempt to conceal anything, it is just good practice. It prevents anyone from saying you were acting on behalf of law enforcement.

22 What is State Action State Action is an action that is either taken directly by the state or bears a sufficient connection to the state to be attributed to it Note: State actions are subject to judicial scrutiny for violations of the rights to due process and equal protection guaranteed under the Fourteenth Amendment to the U.S. Constitution. Such an action may be the subject of a claim brought under federal law (as section 1983) by one alleging a violation of constitutional rights, privileges, or immunities. (Merriam Webster Law Dictionary 1996)

23 Employee Interrogations Generally, employers can question workers in an effort to discover illegal acts provided questioning is conducted during normal business hours or scheduled in advance, there are no threats or coercion forcing the employee to remain in the room, and the questioning serves a legitimate, reasonable purpose. However, employees may have rights during these interviews. These include: The right to receive an explanation regarding the purpose of the interrogation (i.e., is the person a suspect?); The right to insist on the presence of a representative at the interview (particularly if the worker is a union member and has reason to suspect it may result in disciplinary action); The right to limit questions to relevant matters; The right to refuse to sign any written statements; The right to remain silent; The right to consult a lawyer before speaking; and The right to leave the room at any time. All of the above points must be carefully considered before accusing a worker in an interrogation. You are not obligated to advise the employee of these rights, but you are obligated to comply with these requests if made. You may also terminate the interview at anytime. If a company conducts the interrogation incorrectly, grave legal consequences may ensue.

24 Do s & Don ts for Investigating Employee Misconduct Employee guidelines, such as the following, should be used so that employers conduct thorough investigations of an employee's misconduct and avoid lawsuits for defamation and invasion of privacy: Do ascertain whether legal counsel should be involved, especially if the employee's termination may be challenged. Do conduct a complete investigation. Do obtain corroborating statements from other employees. Do allow the employee to give an explanation of the events. Do conduct a prompt interrogation. Do obtain a signed admission of improper conduct from the employee (if possible). Do advise your other employees that you are not at liberty to disclose the reason for the employee's discipline or dismissal. Do not threaten your employees with prosecution or loss of their jobs. Do not touch your employees or make threatening gestures while you are questioning them. Do not restrain your employees from leaving the room while interrogating them. Do not ask employees about private matters unrelated to their misconduct. Do not give false or inaccurate reasons for termination.

25 The Art of Interrogation We are deterred from wrong doing by punishment. In our society there is an emphasis placed on telling the truth. Guilt is the unresolved need for punishment. This internalized pain can become intolerable, therefore some people confess to relieve the feeling of guilt. People confess for all types of reasons from revenge to low self-esteem. Since the motivation for the act and the subsequent confession may be beyond the conscious level of the suspect, it is up to the investigator to provide the stimulus needed to give the suspect an acceptable solution to their current situation. This is the Art of Interrogation.

26 Preparation Analysis of the case facts will tell the investigator what type of situation they are dealing with. By reviewing the entire case you will have a clear understanding of the circumstances surrounding the event. This will make it easier to overcome any denials the suspect may have and give you the ability to recognize an attempt by the suspect to throw you off the focus of the investigation. Some preparation steps to consider are: Review report and all other documentation Interview witnesses or re-interview witnesses if necessary Review any videotape of the incident Conduct a background on the suspect, if possible, or review the suspects work history Write out pre-interview and non-threatening questions. Bring notepad and pen

27 Proxemics Proxemics is the spatial relationship between the interviewer and the suspect. This relationship is important to understand especially when you are in an interview setting. Knowing when to use to take advantage of this relationship may help you in obtaining the confession. How do we use proxemics in the interview setting? Intimate Zone 0-18 inches Personal Zone feet Social Zone 4-7 feet Public Zone 7-25 feet Knowing when to enter a zone can increase or decrease stress. The intimate zone is reserved for family and close friends. Entering the intimate zone, uninvited, causes stress. An investigator can increase or decrease stress by entering and exiting this zone. After rapport is built the investigator may be allowed to enter the intimate zone and obtain the confession.

28 Interview Room Design The design of the interview room is crucial to creating an environment that is conducive to obtaining the confession. Consider the following items: Location of interview room. Is it in a location that is away from public view? Interview room interior. Is the room sterile? Pictures, certificates and other items are a distraction and cause people to drift away from the focus of the interview. Video and audio recording capabilities. Recording interviews and interrogations serves as a witness to the activity in the room and helps protect you and the suspect. There should be a sign that states the room is being audio and video recorded. Chair for the suspect. The suspects chair should be simple straight back with no arms and non-movable. Chair for investigator. The chair for the investigator should be comfortable and movable. Barriers. Barriers such as desks and other items should never be placed between you and the suspect.

29 Analysis Tip No single verbal or non-verbal behavior, standing alone, proves anything. It is the clusters of these signals that tell us when the suspect is under stress and that may be an indication of deception. It is during these events that you must recognize the clusters and work back to obtain the confession.

30 General Principles Non-verbal behavior is more reliable than verbal behavior. It is an uncontrolled reaction to stress. Exception: Suspects who are aware of behavior symptoms. Non-verbal behavior is responsible for more than 50% of communication. The meaning of verbal communication is supported or contradicted by the non-verbal behavior. Example: The suspect is telling you that they are innocent but their nonverbal communication indicates deception. The behavior of the interviewer has an impact on the behavior of the suspect. Proxemics Eye Contact Tone of Voice Posture Behavior symptoms become more revealing as anxiety in the suspect increases. Stress creates observable behavior. The behavioral analysis interview is designed to create stress in the guilty suspect.

31 Factors that Influence Seriousness of the offense and its importance to the suspect. Example: An employee who embezzled $5, may exhibit more deceptive behavior than an employee who took a can of soda without paying for it. Fear of consequences is usually the primary factor that influences behavior symptoms. Exceptions: Psychopaths have no fear of consequences. Suspects who believe they have nothing to lose. The suspects level of social responsibility. Examples: Status in the community or adverse reaction by family. Intelligence of the suspect. The more intelligent, the more reliable their non-verbal behavior. An intelligent suspect may know the consequences of their actions. They may anticipate stressful questions, creating observable non-verbal behavior. Suspect may be trained in body language. Less intelligent suspects may have less stress. Emotional stability-is the suspect experiencing stress unrelated to the investigation. Determine this prior to interview. Cultural differences-some cultures show respect by appearing submissive or not making eye contact.

32 Evaluation of Behavior Symptoms Look for a change in the suspects normal behavior. Create a control behavior in a nonstress background interview. Check non-verbal behavior for timing and consistency. Are gross body movements occurring during stressful questions? Do these movements occur after most of these questions? Evaluate the suspects truthfulness or deception based on clusters of behavior symptoms. Don t rely on one symptom. Evaluate the totality of the symptoms.

33 Analysis of Non-Verbal Behavior Truthful Attitudes Composed Concerned Direct and Spontaneous Open Unyielding Sincere Untruthful Attitudes Overly anxious Unconcerned Defensive Evasive Acceptant or Apologetic Overly polite Complaining Rationalizing

34 Body Postures Truthful Body Postures Upright, but not rigid Frontally aligned Leans forward with attentive interest More relaxed and casual Smooth changes of posture Untruthful Body Postures Slouches in chair Unnaturally rigid and immobile Lack of frontal alignment Retreats or hides behind barriers Erratic and rapid posture changes Runners position

35 Gross Body Movements Truthful Gross Body Movements Generally does not engage in gross body movement as they answer relevant or stressful questions. Untruthful Gross Body Movements Generally engages in gross body movements when answering relevant or stressful questions, including moving the chair away from the interviewer and attempting to stand up and leave.

36 Grooming Gestures Truthful Grooming Gestures Generally does not engage in grooming gestures as they answer relevant or stressful questions. Untruthful Grooming Gestures Generally engages in gross body movements when answering relevant or stressful questions. They are designed to reduce tension and are inappropriate behavior for an interview or interrogation.

37 Eye Contact Truthful Eye Contact Generally they will look at the interviewer when they answer a question. Normal eye contact is held 30% to 60% of the time between 2 people. Untruthful Eye Contact Generally they will not look directly at the interviewer when they answer a question. They may also display extreme eye contact such as staring.

38 Gestures & Movements Indicative of Deception Retreating of the suspect Attempts to stand up or leave Winding of watch or jewelry Dusting, brushing, lint picking and thread pulling Adjusting or cleaning of glasses Adjustment of clothing or accessories Rubbing and wringing of hands Scratching, stroking, picking, pinching, etc. Hair straightening, pulling, twirling, etc. Clearing of throat, coughing, sniffing, etc. Sighs and yawns, stops breathing during stress questions Nail inspection, biting Nose, ear picking Leg bouncing and feet tapping

39 Supportive & Protective Gestures of Deceptive Head or chin on hand, head slump Crossing of arms, legs, ankles are barriers Hiding of mouth or eyes Gestures toward their body

40 Truthful Verbal Behavior Deny in general Use realistic or harsh words Direct spontaneous answers Stay on topic Do not qualify answers Are unyielding with denials Use clipped word endings Express sincere anger at accusation

41 Untruthful Verbal Behavior Deny specifically Avoid realistic and harsh words Delayed and evasive answers Talk off subject Often qualify answers. Examples: it s possible, maybe, I m not sure May have mental blocks Support their answers with religion or oaths Overly polite Difficult to anger May offer excuses or justifications to support their claim of innocence More likely to question or challenge facts Answers questions too quickly May have memory failure or too good of a memory Repeats the questions before they answer May feign anger initially but lessens as the interview goes on

42 Behavior Analysis Interview A behavior analysis interview is a structured set of questions which are designed to elicit verbal and non-verbal behavior symptoms indicative of truth or deception. General Guidelines Preparation Determine if there are any legal issues. Each question should specifically address the issue under investigation. Questions should be asked in a non-accusatory manner or rapport building manner. Observe and evaluate the suspects behavioral reaction stimulated by the questions. Truthful Deceptive Unable to determine

43 Confrontation Interview The confrontation interview, better known as an interrogation, is proven to be successful in situations where the guilt of the suspect is fairly certain. It is employed after completion of the behavior analysis questions. It operates on the principle of You did it. We know you did it. We have overwhelming evidence to prove you did it. But the reason makes a difference. So why don t you tell me about it. Remember, you will not interview everyone the same way and your style and use of these techniques will vary from suspect to suspect. Components to the Confrontation Interview Psychological Dominance The Confrontation Statement The Transitional Phase Theme Development Handling Denials Overcoming Objections Negative Alternative Questions

44 The Confrontation Statement The confrontation statement assures the suspect that there is no doubt in your mind that they are guilty. This will tend to shake his composure and weaken his alibi or denial, placing him at a disadvantage. Begin the confrontation statement with an actual or improvised fact synopsis. Example: Based upon an extensive investigation that we have conducted, including many interviews, background information and tape reviews, there is no doubt in our minds that you took the money from the main bank. Don t use emotion packed or legalistic words at this point. These words cause the suspect to clam up and manifest moral degradation and legal consequences. Examples: Rob, Burglarize, Stole Use less threatening words or phrases. Examples: Took the money, Hit, Used

45 The Transitional Phase The transitional phase lessens the impact and shock of the confrontation statement and provides a smooth medium to introduce the themes that you plan to use. It avoids awkwardness but does not immediately soften the impact of the confrontation statement. Example: I ve investigated enough of these cases to know that there is usually more than one side to the story in these situations. As a matter of fact, I recently handled a situation very similar to this. A guy from the slot department (theme introduction).

46 Theme Development A theme is a psychological, social or moral excuse for the crime, but not a legal one. It is designed to make it easier for the suspect to confess by allowing him to save face or justify the crime in his own mind. The type of theme you will use will depend on the type of crime that was committed and the type of suspect you have.

47 Theme Examples Sympathy Example: Life s been hard on you. You have a family to support. Anyone under your circumstance would have done the same thing. Pride Examples: It takes a lot of guts to do what you did in front of all those people. In all the years I ve been doing this I have never seen a better plan. Blame Transference Examples: If they paid you guys a decent salary you wouldn t have taken the money to begin with. I don t know how they expect anyone to make their bills every month with everything going on I don t blame you for taking the money. Less Reprehensible Motive Example: Theft- The money was just sitting there and nobody bothered to count it. You are always doing everybody else s job so why get a little extra for yourself. Minimize Moral Seriousness of the Crime Example: Theft- This company makes a lot of money, so what you took a few bucks, its not like your out on the street knocking little old ladies over the head and taking their purses.

48 Handling Denials Expect the suspect to deny the crime. Remember that an alibi is a denial. Allow the suspect to deny the crime or give his alibi, once only. This will allow you to attack his alibi with actual or improvised evidence. It also allows you another chance to analyze his behavior. Don t allow the suspect to deny the crime or recite his alibi again. Repeated denials gives the suspect a psychological boost and makes him very reluctant to tell the truth after so many lies. Prevent repeated denials with verbal and non-verbal communication. Examples: Wait Bill, you re not listening to me. We both can t talk at the same time. Turn away from the suspect or place your hand in front of your face. Return to your themes. Continue to stop denials throughout the interview. Types of Denials Evasive Denial Example: Why would you think that. Qualified Denial Example: On my mothers grave, I couldn t do that. Delaying Tactic Example: Who me? Phony Surprise Example: What! I can t believe this is happening. Even a strong initial denial or alibi from a suspect will change to an objection if handled properly. Continue to reintroduce themes.

49 Overcoming Objections An objection doesn t deny the accusation but attempts to give an excuse why the accusation could not be true. A suspect who moves from denials to objections is weakening. Forms of Objections I couldn t do that. I like my job. I wasn t brought up that way. I don t have to take any money. I make enough to get by. Utilize the objection to re-introduce your theme. Examples: Objection- I couldn t do that. I like my job. Answer- I believe you like your job, Bill. That s why I think this was a spur of the moment thing. Right, Bill." Objection- I wasn t brought up that way. Answer- I know that Bill, I ve checked your background. That s why I think this was a situation where you made a mistake. It was a mistake right Bill. Objection- I don t have to take any money. I make enough to get by. Answer- I understand that you make enough money to get by Bill. But I also understand that getting by sometimes isn t enough. Handling all that money is a tough job and nobody appreciates your hard work. The money hadn t been counted yet and just seemed like a good idea at the time right Bill.

50 Negative/Alternative Questions Once the suspect weakens and moves to objections, negative alternative questions may be useful in breaking his final resistance. Negative alternative questions are those that present 2 choices: One socially or morally acceptable. One socially unacceptable. An affirmative answer to either is equally incriminating. The idea is to get the suspect to except what he did by allowing him to save face. Negative alternative questions make it easier for the suspect to confess. Once they bite on a negative alternative question admissions or confession should follow. Negative/Alternative Question Examples Did you plan to take the money when you came to work or was it a spur of the moment kind of thing? Did you go out looking for a fight or were you a victim of circumstance? Was this whole thing an elaborate scheme to take money from the casino or were you trying to prove a point? Was it your idea to falsify these jackpots or did Mike talk you into it?

51 The Confession Once the confession has been obtained, it is now necessary to address intent, premeditation and diminished capacity. It is also necessary to clarify any issues that may been raised during the interview. Begin with a statement of encouragement. Example: You ve done real well Bill. That took a lot of courage. Let the suspect know that you don t believe his full story and/or you need to clarify some points. Expand and get all the facts. Eliminate mistakes and other soft words. Introduce realistic words. Go over the suspects verbal statement and clarify. Obtain a written confession as a backup to the audio recording and as actual evidence of the confession. Review the confession for accuracy and confirm what the suspect said in the interview. Have the suspect make the necessary changes to the written confession.

52 Conclusion Interview and interrogation is not for everyone. It is very draining and time consuming and should be conducted with the highest level of integrity and commonsense. If you find yourself in a situation that is uncomfortable or you don t feel prepared, it is best that you re-schedule the interview for a later date or time or have any investigator conduct the interview. This will prevent you from making mistakes that could be costly to your organization.