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University of New South Wales Faculty of Law Research Series |
Last Updated: 21 October 2010
Interrogating myths
A comparative study of practices, research, and
regulation
Criminal Investigations Workshop Canberra 10-11 December 2009
David Dixon[1]
Abstract
This paper is concerned with the questioning of suspects about criminal offences, which is widely recognised to be a standard, indeed often essential, tool of criminal investigation. The first part of the paper challenges an image of interrogation which, it will be argued, is misconceived and misleading. It is concerned with the common tendency to understand interrogation through a series of myths and ‘common sense’ understandings which are unsupported by research evidence and which lead to inappropriate policy responses. In particular, they divert attention and understanding away from the mundane reality of interrogation as carried out routinely by investigators. One of the myths to be considered is that safeguards for suspects’ rights make successful criminal investigation impossible. In challenging this, the paper will comment briefly on contrasting modes of regulation of police practices in interrogating suspects, focusing on the benefits and limits of electronic recording.
Secondly, the paper contrasts the ways in which jurisdictions (principally in the US, the UK and Australia) have responded to concerns about practices in the police interrogation of suspects. Since the mid-1990s, a stark contrast developed between the strategy of ‘investigative interviewing’ in England & Wales (and increasingly in Australia and elsewhere) and the methods taught to US police offers via the ‘Reid Technique’ and similar training programs. It will be argued that this contrast must be understood in the context of differing responses to miscarriages of justice and investigative failures (caused, at least in part, by inefficient interrogation techniques) and the knowledge which investigations of these miscarriages produced.
Introduction
This paper is concerned with the questioning of
suspects about criminal offences, which is widely recognised to be a standard,
indeed
often essential, tool of criminal investigation. The first part of the
paper challenges an image of interrogation which, it will
be argued, is
misconceived and misleading. It is concerned with the common tendency to
understand interrogation through a series
of myths and ‘common
sense’ understandings which are unsupported by research evidence and which
lead to inappropriate
policy responses. In particular, they divert attention and
understanding away from the mundane reality of interrogation as carried
out
routinely by investigators. One of the myths to be considered is that safeguards
for suspects’ rights make successful
criminal investigation impossible.
In challenging this, the paper will comment briefly on contrasting modes of
regulation of police
practices in interrogating suspects, focusing on the
benefits and limits of electronic recording.
Secondly, the paper contrasts
the ways in which jurisdictions (principally in the US, the UK and Australia)
have responded to concerns
about practices in the police interrogation of
suspects. Since the mid-1990s, a stark contrast developed between the strategy
of
‘investigative interviewing’ in England & Wales (and
increasingly in Australia and elsewhere) and the methods taught
to US police
offers via the ‘Reid Technique’ and similar training programs. It
will be argued that this contrast must
be understood in the context of differing
responses to miscarriages of justice and investigative failures (caused, at
least in part,
by inefficient interrogation techniques) and the knowledge which
investigations of these miscarriages produced.
The mundane reality of police interrogation
Perhaps the most significant achievement of the
researchers who established policing as an area of serious inquiry in the 1960s
and
1970s was to emphasise the mundane, everyday reality of most policing
practice. Peace-keeping, order maintenance and service provision,
not law
enforcement, were what patrol officers did (Reiner 2000; Dixon 1997: 11). These
studies fundamentally changed our understanding
of policing, challenging the
dominant image of police practices and encouraging the development of new
policing styles (such as community
policing) which responded to public demand
for policing services. While some of these researchers studied detective work
(Ericson
1981), it attracted less attention than patrol policing.
There is
now a considerable body of literature on police interrogation. A series of
empirical studies in England and Wales which was
prompted by inquiries into
malpractice and miscarriages of justice has provided a new basis for
understanding and policy. This paper
draws on my research in England (Dixon
1997) and particularly Australia, presenting some data from a study of
electronically recorded
interrogations (Dixon 2007). In both jurisdictions, the
emphasis was on everyday policing. In particular, the Australian research
drew a
random sample of all interrogations across the state of New South Wales for a
year, consequently providing significant insight
into everyday practices.
However, there continues to be a mass of legal and psychological literature
particularly in the United States
which relies on a misunderstanding of police
interrogation which is as damaging as the discredited idea that street-level
police
work is primarily concerned with law enforcement. If the image of police
interrogation which continues to inform much debate has
a connection with
reality, it is with controversial cases involving serious crimes. In part, my
argument is the simple point that
most criminal investigation is not about
murder or other very serious crime and that we need to understand the everyday
reality.
However, I will also argue that the place of interrogation in the
investigation of very serious crime needs to be understood differently:
interrogation seeks not just a bare admission, but a series of statements
covering intention and other matters which the prosecution
will have to prove
(Innes 2003).
Myths about police questioning of suspects
... the popular public perception (is) that police interviews are lengthy, gladiatorial conflicts, where police officers employ a repertoire of skilful psychological tactics to undermine a determined suspect's resistance to confess (Pearse & Gudjonsson 1996: 63-4)
The interrogation of suspects is a practice over-laden with myths. These appear to stem from three sources, which flow into each other.
Myths grow in darkness, in this case, the secrecy of the investigative process, particularly inside police stations. Until quite recently, police interview rooms have been inaccessible. As Baldwin suggests,
Because of the secrecy that has always surrounded police-suspect interviews and the traditional reluctance of police officers to allow outsiders access to the interview room, debates on the crucial question of interview procedures have had to be conducted in something of an information vacuum, and in consequence they have tended to be dominated by views from the police service (1993: 334).
Ironically, as will be confirmed below, many of these are 'misconceived or
erroneous' (Baldwin 1993: 334). While some researchers
have been able to observe
interrogation by being present in the interview room (eg Bottomley et al 1991;
Dixon 1997; Leo 2008), doing so has obvious limitations. The introduction of
electronic, particularly audio-visual, recording of interrogations has
transformed
research possibilities (athough, as will be noted below, the
limitations of recording must be acknowledged). Observation of randomly-chosen
interviews, uncontaminated by the researcher’s presence, is now possible.
While Baldwin is correct that police views dominate, it should be noted that
others complement them. When those who have been subjected
to police questioning
have had the opportunity to speak out, it has usually been to complain about
malpractice, so emphasizing conflict
and drama.
Another significant location
for discussion of police questioning has been academic psychology. While some
psychologists have made
major contributions to understanding (and reforming)
police interrogation (Gudjonsson 2003), others have tended to concentrate on
dramatic, atypical cases, particularly those involving murder. For a discipline
which makes so much of its claims to being a science,
there has been a
surprising tendency to offer unsubstantiated generalizations. For example, Shuy
claims that 'many, if not most,
persons from whom (law enforcement agencies) try
to elicit confessions are unwilling to reveal all they have done' (1998: 2). It
will be shown below that the reality is very different, at least in Australia
and the UK.
Secondly, the growth of these myths was closely linked to the
police attempt to construct a self-image of crime-fighting professionalism
in
the twentieth century (Manning 1997). Interrogation must be understood as the
definitive skill of the thief-taking detective who,
in mid-century, achieved
iconic status within western police forces. This was the distinctive product of
a much broader development
in policing which had emerged in the later part of
the nineteenth century – the self-promotion of police as specialists,
indeed
‘professionals’, in crime-fighting by means of law
enforcement. Amongst police, the detective became pre-eminent, his
(usually)
status recognized by allowances and higher pay and (ironically in an occupation
which so prides its distinctive, disciplined
character) freedom from wearing
uniform. As the monopoly which the public police won for themselves came to be
challenged between
the 1960s and 1990s, it became increasingly clear that this
development had not been inevitable, that policing is not satisfactorily
defined
by reference to law enforcement (Bittner 1990), and that, ironically, the police
had chosen a mission which (because of the
inevitably limited capacity of police
to control crime) was to be quixotic (Manning 1977: 16-17). However, claims of
police responsibility
for declining crime rates in the 1990s led to the
renaissance of a model of crime-fighting professionalism (Dixon 2005).
In
this distinctive feature of police culture, the ability to interrogate and to
get confessions was the key skill of the detective.
However, this heroic
construction was an ideal, not a representation of reality. As will be shown
below, the role of officers who
question suspects is quite different from the
myth. It is from this background that there emerges the 'elaborate mythology
(which)
surrounds the subject of police interviewing ... (I)t is extraordinary
how often one encounters the confident expression by police
officers (and
others) of views that one would imagine would be confounded by daily experience'
(Baldwin 1993: 331). An example came
in a seminar given by the author at the NSW
Police Academy (now College) in which a trainer vehemently claimed, on the basis
of extensive
operational experience, that most suspects refuse to answer
questions in interviews. As will be shown below, this is very far from
the
truth. The issue was not just this officer’s wish to present a particular
view of policing practice, but a cultural belief
which is a product and
prominent part of broader attitudes towards criminal justice. Such myths are
significant: police refusal to
accept empirical evidence about use of the right
to silence drove a successful campaign to restrict the right to silence in
England
and Wales (Dixon 1997: ch.6).
Thirdly, fictional representations of
police work have had a significant influence both on public perceptions and on
police self-perceptions.
In a multitude of books, films and television series,
the hero has been the detective who solves the case. Clues lead to the suspect,
then the interrogation provides the classic dramatic finale in which a
confession is obtained by the skilled detective. Crime, investigation,
interrogation, confession provide an often irresistible structure for script
writers feeding the public appetite for TV cop shows.
Occasionally, the
detective is anti-heroic: from Law and Order (the British 1970s version,
not the Dick Wolf productions) to the Australian Blue Murder, to the
American The Shield , detectives have been depicted as being morally
indistinguishable from their prey. However, more often, the detective has faced
the
moral dilemma of achieving good ends by bad means: the ‘Dirty
Harry’ problem which has spawned its own literature (Kleinig
1996). Much
more commonly than either of these, the detective uses his (usually)
professional skill – the accumulation of evidence,
moral pressure,
persuasion, deception - to get the suspect to confess.
Ever since police
became the subject of popular drama, police departments have sought to project
an image of police as professional
crime-fighters. Most well-known (and most
influential) was the use of the popular media to construct an image of the Los
Angeles
Police Department (Domanick 1994). The impact of such images does not
merely fall on the public: it may also shape a police department’s
self-image, setting an ideal for police officers as well as for members of the
public. Most police recruits’ knowledge of policing
comes from fiction
rather than personal experience. Any tendency to treat the role of media as
trivial must surely be dismissed in
the wake of the apparently significant
influence of 24 on interrogation practices by some US investigators post
9/11.
Unfortunately for researchers watching large numbers of audio-visual
records, the image of reality is much more mundane than TV drama.
Just as
Ericson found that ‘the bulk of the patrol officer’s time was spent
doing nothing other than consuming the petrochemical
energy required to run the
automobile and the psychic energy required to deal with the boredom of it
all’ (1982: 206), so
it sometimes seemed in my research that a typical
interview is an undramatic, non-contentious affair, in which the leading
officer
shuffles through fact sheets and witness statements without looking at
the suspect who sits looking bored at the end of the table,
while the second
officer stares at the recording machine and cleans out his ears. There is no
drama, no conflict, and little tension.
As elsewhere in the job, ‘the
mundane reality of everyday policing ... is often boring, messy, petty, trivial
and venal’
(Reiner 2000: 89).
[2]
The following
sub-sections examine several key myths about police interrogation
• Suspects resist and interviews are tension-filled, difficult encounters.
While they disagree about much else, a fundamentally
shared assumption of US interrogation manuals (such as Inbau et al. 2001) and
of
their academic critics (Leo 2008) is that suspects will resist interrogation:
it is this resistance which requires the techniques
described in such manuals
and which is criticised by such academics. However, as Baldwin suggests, the
expectation that interviews
will be ‘complex or difficult encounters with
subjects who are likely to prove awkward or aggressive' is not matched by the
reality observed in English (and Australian) police stations. The predominant
impression left by the interviews in my research is
of police officers carrying
out routinized, bureaucratic functions – not engaging in battles of wits
with determined adversaries.
Vigorous challenges to suspects’ accounts
are surprisingly rare (Dixon 2007: ch 4 & 5). Primarily, this is due to the
structural forces which determine suspects’ compliance and the legal
function of the interview: these will be discussed below.
However, it is also
necessary to appreciate the social reality of policing as an occupation which is
often misunderstood by commentators
who depict officers as relentlessly
committed to crime control. On the contrary, it is necessary to see policing as
a job performed
by workers who have the substantial yet limited commitments and
interest in their work of most workers. This is missed in many
accounts of
police culture which present an over-socialized picture of officers (Dixon 1997:
161).
As Baldwin suggests, most interviews ‘involve relatively simple
and straightforward interchanges with reasonably compliant suspects'
who were
'such co-operative individuals that they should have presented no serious
difficulties to a moderately competent interviewer'
(Baldwin 1993: 331, 332).
There are many structural pressures which lead suspects to cooperate:
the coercive social environment in which interviews take place, the physical isolation of suspects, the pressures that might have been exerted before the recorder was turned on, the possibility of caution rather than prosecution, the existence of the discount in sentencing for those who plead guilty, or advice received from lawyers (Baldwin 1993: 332).
In New South Wales, the guilty plea discount has a statutory basis: courts
must take account of a defendant’s guilty plea, and
of when it was made.
If the penalty is not reduced, the court must record the reason for its
decision.[3] Suspects
who have previously experienced the criminal justice process will be aware of
this: in some NSW courts, a notice is pinned
to the door of the court informing
defendants that a guilty plea will be rewarded. Further, the isolation of
suspects is greater
than in England: as will be noted below, lawyers are almost
entirely absent from the pre-charge process in Ausralian police stations.
While many suspects confess, the reality of what suspects say often does not
fall neatly into denial or confession. Some suspects
admit to one offence, but
deny that which police are primarily investigating. Notably, suspects routinely
admit to possessing, but
deny supplying, illegal drugs. The pressure on such
suspects to cooperate in order to avoid supply charges was frankly illustrated
by an interviewer’s comment in a case in our
sample[4]
You cooperated and everything. That will be it. Mate, if we wanted to be arseholes, we’d give you – you’d be charged with other things. (013)
While such suspects are understandably keen not to be charged with supplying
illegal drugs, many of them apparently regarded possession
charges as products
of an anachronistic prohibition. Guilt was seen as a technical matter: there was
nothing morally wrong or socially
deviant about their activity. It was,
according to the suspect in 046 ‘a lot of hassle over ten bucks of pot,
isn’t it?
I’m a silly boy aren’t I?’.
Other suspects
make statements about their conduct which amount to admissions (notably of
assaults or of complicity in offences),
but which they appear not to recognize
as such, seeing their actions as either justified or innocuous. In still
others, the situation
is even less clear, with suspects and police alike unsure
about what the offence is alleged to be: officers were (perhaps understandably)
unsure about how to classify the man who, in the backyard of a suburban home,
fired an arrow from a powerful sporting bow straight
up to see how high it would
go. His neighbour was less concerned about the ascent than the descent, which
ended in his garden.
We attempted to replicate Baldwin’s allocation of
suspects to categories of cooperative/submissive, remorseful/tearful,
cocky/self-assured
and awkward/difficult to interview (1993: 332). In brief, we
found that these categories overlay a more general condition: whatever
their
mode of expressing it, most suspects displayed a resigned acceptance of their
position. Typical was the suspect in 018, described
in fieldwork notes as
‘cooperative, resigned, pissed off, faintly amused’ at the heroin
possession charge which he faced
(Dixon 2007: ch 3).
If resistance is rare,
this is not surprising given the pressures noted above. An example of an awkward
suspect was 075 who was questioned
about an assault and about illegal drugs
found in his home. He refused to answer some questions, answered others
obstructively (eg
saying he did not know how to spell his own name and refusing
to agree that the interviewers’ standard statement about how
many people
in the room was correct), rejected the scales used to weigh the drugs, and
alleged that police had assaulted him during
the arrest and planted some of the
drugs. What was striking and is relevant in the present context is not these
allegations per
se, but the interviewing officers’ apparent surprise and
upset at their making. An uncooperative, disruptive antagonistic suspect
was,
apparently, not part of these officers’ normal experience.
Refusal to
cooperate in the form of exercising the right to silence, despite claims to
contrary, is rare in both England and Australia
(see p.12 below and Dixon 1997:
ch6; 2007: 92-100). This was illustrated by the tension caused by a
suspect’s attempt to refuse
to answer questions in 253: the interviewers
were clearly not used to dealing with this response. Such rarity should not be
surprising
given the difficulty of remaining silent and the costs of doing so.
This finding undermines a myth which police officers have often
encouraged. In
England and Wales, police complaints about suspects who exercised their right to
silence were a key tactic in the
campaigns for extended police powers which
began in the 1960s. The extensive English academic research on the right to
silence (notably
highly reputable research carried out for the Royal Commission
on Criminal Justice) shows that the extent of its use is exaggerated
and that,
when suspects are silent, there may be reasons other than an obstructive,
lawyer-encouraged attempt by a guilty suspect
to stand on rights (Dixon 1997:
ch.6).
It may be due to an officer’s questioning style: ‘One of
the primary causes of such resistance (silence, non co-operation,
hostility,
lying evasion, denial of knowledge and culpability) is, in fact, the
interviewer's behaviour' (Milne & Bull 1999:
71). Unskilful as well as
aggressive questioning can cause the problem for police: non-response may be
encouraged by the common tactic
of reading a witness statement and asking
‘what can you tell me about that?’, to which the answer
‘nothing’
or ‘no comment’ may be counted as silence, but
which may, in context, be a genuine and appropriate answer. For example,
in 231,
the suspect denied having been present when a car was stolen, but the
interviewer continued to read the victim’s account
of the theft. As he had
already said he was not there, the suspect could do little but say
‘nothing’ when the interviewer
asked repeatedly ‘what can you
tell me about that?’
In other circumstances, silence may be due to a
suspect’s general attitude to police. For example, in 006, the suspect had
admitted
possessing and using marijuana, but then smiled, looked at the ceiling,
and ignored a series of questions designed to produce more
specific admissions
of use. Silence may not be motivated by an attempt to avoid charge, but rather
by individual and cultural commitments
to non-cooperation with police (Dixon
1997: 256-8).
On the other hand, silence may be less obstructive than
answering in some cases: for example in 035 a juvenile suspected of stealing
a
Playstation answered all questions, but did so in a way that treated the
interview as a farce. He gave three inconsistent accounts
of how he obtained it.
When asked what he intended to do with it, he replied facetiously ‘Take it
to the police station’.
The interviewer’s response was to abandon
his attempt to conduct an investigative interview, and he simply went through
the
motions of putting accusations to the suspect.
Such cases illustrate one
of the many problems in counting instances when the ‘right to
silence’ is exercised. Much commentary
on this assumes that silence is a
common-sense, unproblematic category, which it is not. The wide variation in
estimates of silence
by academic researchers and police officers in England
stemmed, in part, from this problem: does ‘silence’ just mean
not
speaking or saying ‘no comment’, or does it include
‘non-answers’ such as that quoted in the previous
paragraph? How is
selective answering to be treated? These issues have been discussed in detail
elsewhere (Leng 1993), their relevance
for present purposes is to undercut the
idea that ‘common sense’ is a good guide in assessing police
interrogation.
A factor which runs counter to the image of the
tension-filled encounter is that some suspects appear to get some satisfaction,
even enjoyment from the interview. This may be expressed in pedantic attempts to
insist that certain details should be recorded precisely
as they describe. For
example, in 205, a suspect whose life had spiraled out of control through
gambling and a shambolic conspiracy
to defraud, seemed to take pride in the
precision with which his confession was made. (Sometimes, as shown in the
following subsection,
such precision is an attempt to resist police control of
the interview.) Such suspects, particularly some drug users, appear to get
something from being taken seriously, being the focus of attention, even if the
outcome is to be a
conviction.[5]
Some
suspects deal with their situation by tactics which, incidentally, defuse
tension. A notable example was 263, an elderly man
suspected of bank fraud who
described himself as ‘presently unemployed’, but with ‘strong
prospects’ of architectural
work. He mentioned several times in the
interview that he was an architect. Setting up fraudulent accounts in
fictitious names
was justified (if not explained) as part of his efforts to
improve his job prospects: he admitted that, ‘This is an unorthodox
way of
approaching it’. What is relevant here was the way in which he treated
the interview as if it were a professional transaction,
remaining business-like
and aloof. In this way, the suspect distanced himself from the reality of his
predicament. His choice of
role (‘professional person’, not
‘criminal suspect’) determined the nature of his interaction with
the interviewers.
• Police dominate interaction with suspects
A crucial part of standard guides to police interviewing (notably and most influentially Inbau et al. 2001) is that officers must dominate the suspect. In consequence, detailed guidance is provided about how police should specify the suspect’s physical position, and so on. Clearly, suspects are controlled while in custody, and such control has both physical and psychological dimensions, even in mundane matters such as access to food and toilet facilities. Officers appear to appreciate this. For example, in 041, there was a subtle negotiation of power between interviewer and suspect as the former responded to the latter’s challenging manner
He told the suspect that ‘it is required’ that he give his name. After the suspect did spell his surname, the constable then asked the suspect to spell it again, saying he could not be heard. He asked the suspect to lean forward, to keep in the picture of the video. He asked him to take his hand away from his mouth when he spoke. And he asked him to stop swaying in his chair. In each instance, the request was explained as facilitating the interview (stopping the chair noise, allowing the suspect to be heard clearly, etc), but at the same time these requests could be interpreted as the interviewer attempting to control a cocky suspect.
In addition, as discussed elsewhere (Dixon 2007: ch 4), interviewing officers
exercise close control over the contact between the
suspect and third parties.
However, the effective domination of suspects by police should not be
overstated. Our samples included several categories of cases
in which police
control was disrupted. First, a suspect may not be overawed by police for the
simple reason that he or she is innocent
and confident that their innocence will
be established. For example, in 074 a juvenile suspect had been arrested at a
school where
there had been a burglary. He claimed that he had been playing
football with friends in the grounds and that he had climbed onto
the roof of a
walkway merely to retrieve the ball. He was relaxed throughout, joking with
police and the independent person. When
asked if any promise, threat or
inducement had been offered, he answered 'I wish'. The police cliché
– suspects who
have nothing to hide have nothing to fear – seemed to
underlie this suspect's approach. Similarly, in 278a, a juvenile (who
had been
arrested for possessing coins which the police suspected had been stolen) coolly
corrected the interviewer twice:
Q: Wouldn’t it have been wise to tell me you had coins in your pocket?
A: You didn’t ask me that. You asked, ‘What are you doing in the city?’
Q: I know I said that. Why didn’t you tell me you were selling coins?
A: ...I wasn’t doing nothing wrong. That’s all you had to know...
Q: Do you agree when I asked you if you intended to sell these to the shop owner you said, ‘No’?
A: You asked me if I asked the shop owner if he wanted to buy these and I said no.
Q: You are right...
He was not intimidated, and confidently and intelligently stood his ground in
dealing with the accusation against him without appearing
cocky.
Irrespective
of guilt or innocence, some suspects are socially and intellectually more
skilled than their interviewers. For example,
in 230, the officers were clearly
not prepared for the interview, and the suspect coolly rejected allegations in
witness statements
which police read out, asking for comment. Somewhat similarly
in 001, the suspect successfully deflected police suspicion that he
had intended
to sell the (considerable quantity of) illegal drugs found in his possession.
His self-assured, confident manner contrasted
markedly with that of the gauche
interviewers. At one point, an officer asking a question seemed simply to run
out of words:
Q: 'Do you agree that, um...'.
The suspect broke in to answer the question that he wanted to be asked:
A: 'I agree that what I had in my hand was illegal. I have no excuse for it. I'm not above the law. I do regret it. It's just a habit.'
Similar cases were noted by Moston and Engelberg, who reported that
'Interviewers would appear unsure of what question to ask and
often gave the
impression of being more nervous than the suspect they were questioning' (1993:
224). The suspect in 001 emphasized
his attempt to define the nature of the
interaction by thanking the officers at the end of the interview, shaking hands
with the
adopting officer, and telling him that the interviewers ‘did
their job 100%’.
In the preceding subsection, examples were given of
suspects attempting to distance themselves from reality, thereby turning the
interview into a non-confrontational encounter. Doing so could undermine police
domination of the encounter. In other cases, the
resistance was more specific.
For example in 003, the suspect confessed to numerous armed robberies. The
interview consisted of
a recurrent pattern of questions and answers about each
incident. A witness statement reported the time of one offence as being
9.55am.
It became clear that this was a typographical error: it should have read 9.55pm.
While the interviewers were mildly exasperated
by this apparent pedantry, the
suspect refused to accept responsibility for the alleged offence, insisting that
he had not robbed
the premises in the morning. Despite his predicament, he
wanted some control, however nebulous, over the situation. Similarly, in
038 a
suspect refused to agree to a formulaic, insignificant ‘Do you agree...?-
(DYA) question about the place of arrest because
he did not know the name of the
street. In 092, a suspect who gave a patently ridiculous explanation of
possessing drugs[6]
nevertheless argued with the officers over the precise dimensions of the foil.
The most common group of suspects to be considered in the context of
non-domination of interviews were those who were ‘repeat
customers’
for whom the process of detention and questioning held no surprises. They had
been through it frequently enough
that they were not overawed or intimidated.
Drug users were prominent among this group. Occasionally, drug-affected suspects
went
to sleep during an interview. A memorable case involved a heroin addict on
rohypnol, a self-described ‘crim’ (038) who
provided a comical
account of being ‘taken for a gig’ by a woman who got him to break
into a house in which she had supposedly
left some property and being chased
down the street by the irate resident, who was wearing a towel and carrying a
baseball bat. Through
this story, the sadness of a life involving repeated
contact with police was all too evident. One more arrest and interrogation
held
no surprises or fears for this defendant.
Other suspects expressed their
lack of concern about their situation in different ways, as in 244 where the
somewhat intoxicated suspect
laughed about an alleged assault, referring to the
victim as ‘the dickhead upstairs’. Such suspects’ coolness
appeared
to stem from previous experience, as in 240 where a convict was
interviewed in gaol about another offence. He was polite, but dismissive
of and
unperturbed by the interviewers’ allegations. In 057, the suspect
expressed his disrespect for his interviewers by
stating his occupation as
‘thrill seeker’, putting his foot on the interview table,
identifying himself in a CCTV picture
as a ‘good looking bloke, eh’,
and telling the interviewer that he found the interview boring.
In 041, the
suspect’s disrespect for police even was more overt:
The suspect sat pulling at his finger knuckles, one at a time, and made each one crack. After he completed this for both hands, the partner announced aloud that the suspect had been cracking his knuckles. This was done for the benefit of the transcriber. The suspect responded:
Do you have to say stuff like that? It’s stupid.
The interviewer did not reply. The suspect continued.
How come police officers are so straight? I did nothing wrong. You don’t even drink, do you, and stuff like that. But when you drink you can’t go out and have fun. You can’t go out running in the streets.
(041).
By contrast, some suspects demonstrated their experience in dealing with
police by seeking to disrupt accusations against them by
a display of geniality
and relaxed affability. For example, in 021 stolen property had been found
hidden in the roof cavity of the
suspect’s house. He claimed that he had
bought the items from young people who were going from door to door, but that he
had
no idea at the time of purchase that they were stolen, and that he had only
hidden them when he heard that the vendors had been arrested.
On its face, this
was a highly unlikely story. However, the suspect maintained a relaxed air,
which the officers’ rather stiff,
stilted, repetitive questioning did not
disrupt. He actively cooperated by locating the serial number on one item when
the interviewing
officer was unable to do so, and even expressed sympathy for
victims of break and enters and condemned the perpetrators.
As these
examples suggest, the police interview is a much more complex and contested
social field than is usually assumed.
• Suspects crack, shifting from denial to full confession
The drama of fictional interviews builds up to the
moment when the suspect, worn down or outwitted by the interviewing detective,
cracks and confesses. Such events are very rare. In both my Australian
samples[7], only 2% of
interviews involved a suspect shifting from denial to full confession in the
course of an interview. Many suspects -
24% in sample 1 and 22% in sample 2 -
confess from the start. Others (50% in sample 1, 16% in sample 2) make partial
admissions:
typically, these cases feature suspects who admit to possessing and
using illegal drugs, but deny selling them. Many suspects (12%
in sample 1, 53%
in sample 2) denied committing any offence throughout the interview. Very few
– 4% in sample one and 3% in
sample 2 – refused to answer
questions.[8]
In
this crucial respect, our data confirm the findings of other researchers:
Baldwin (1993: 333) found only 3 of 600 cases in which
the interviewer's
persuasive skill induced confession to offences of any seriousness (and only 6
other shifts from denial to confession).
Pearse and Gudjonsson (1996: 72) report
that only 2 of 161 suspects shifted from denial to confession: they conclude
that 'suspects
enter a police interview having already decided whether to admit
or deny the allegations against them – regardless of police
interviewing
techniques' (Pearse & Gudjonsson 1996: 73).
In some cases, the
expected confession never arrives:
As one watches this (record) there is an expectation of a confession. The highly emotive suspect (who at the beginning of the interview has his neck bent, his face looking down at the interview table and his hands over his face and then over his head) gives the impression of a man about to tell all. The suspect appears to cry during the interview (tears seem to be wiped away off his cheek) and his voice quivers, encouraging the impression that the confession is forthcoming. But by the end of the interview the confession has not arrived. After or in spite of such emoting, the suspect makes no more admissions by the end of the interview than he did at the beginning. At first and at the end, he said he was in possession of marijuana and cannabis plants, but he did not sell drugs. He said he was in possession of a Sharp TV, but he did not know it had been stolen when he bought it from an acquaintance. (108)
The suspect was aware of the consequences of confessing to anything other
than possession. Meanwhile, the interviewing officers did
little other than show
(and ask him to account for) exhibits suggesting involvement in supply –
bags and scales – and
ask if he agrees they are suspicious. ‘Only to
a police officer’, he replies.
Even when a suspect does shift from
denial to confession, this is not necessarily due to police interviewing skill.
For example, in
005, the suspect denied having made a fraudulent application for
a credit card. However, when he was shown the document, he immediately
acknowledged having signed and submitted it. His 'resistance' was perfunctory,
and the police effort in overcoming it was minimal,
involving the pre-interview
collection of evidence and its presentation, rather than interview tactics. This
example illustrates
the general conclusion in English research that the crucial
determinant of confession is the weight of evidence against the suspect,
rather
than how he or she is questioned (Moston & Engelberg 1993).
In 130, the
suspect was questioned about an explosion in a toilet block at his school. He
initially denied involvement, but when he
was confronted with evidence from his
mother that he had exploded a home-made device at their house, he admitted the
offence at school.
It was the mother’s statement, not the interviewing
tactics that produced this admission. In 113, the suspect evasively said
that he
was ‘not sure’ why he had taken the fly screen from a house window.
However, this resistance was perfunctory:
he had admitted to attempted burglary
in a preparatory interview, and confirmed this when the interviewer read his
record of the
exchange from his notebook, asking the suspect DYA questions.
Similarly, 123 was counted as a ‘denial to confession’
interview.
However, the suspect ‘cracked’ when confronted with an admission
that he had made earlier:
At the beginning of the interview, the suspect stated he had no idea the rolls of material that he purchased may have been stolen. He appeared calm and at ease with his responses. In the middle of the interview the interviewer then asked a challenging question based on one earlier admission by the suspect.
Q: When I spoke to you earlier do you agree I asked you if you knew it was stolen and you said, ’I had a sneaking suspicion it may have been’)
A: Yes, I did say that, yes, sir.
The suspect was visibly shaken as he
answered.[9]
In 205,
appearances were deceptive. Initially, this seemed to be a clear example of a
suspect cracking, turning from lies and denials
which were challenged by police
in an initial interview, to full confession in a subsequent interview. However,
by the end of the
interview, it had become clear that the suspect had decided to
confess (and implicate others in the offence) not because of anything
the police
had done, but because his co-offenders had ‘shafted’ him in
disposing of the stolen goods.
It would be wrong to assume that not getting
the suspect to shift from denial to confession amounts to failure. Officers
frequently
point out that an implausible denial is almost as good as a
confession and certainly better than admissions accompanied by factual
confusion, justification, or excuse. In the case of the suspect found with
stolen property in his kitchen ceiling (021: see above),
the denials were
thoroughly unconvincing. Similarly, in 064 a man was interviewed about the theft
of a remover’s trolley from
a truck which he had hired. He consistently
denied stealing it. However, police had evidence that he sold an identical
trolley (same
colour, same faulty wheel) to a second-hand shop. His claims that
this was a different trolley, one that he had found it on a rubbish
tip, were
not merely thoroughly unconvincing: they seemed clearly to indicate guilt.
Another example is 276a, in which police searching the suspect’s
vehicle found: more than one kilo of cannabis, 1.3 grams of
speed; a black bag
that contained small, re-sealable plastic bags and a small box of rubber bands;
four syringes; two sets of scales;
other drug paraphernalia; and a police radio
scanner. The suspect
claimed that when in Adelaide a male asked him casually if he wanted some marijuana, apparently as this male ‘wanted to get rid of it’. He did not know this person who then, according to the suspect, gave him $3,000 worth of marijuana ‘on credit’. The suspect said that as he neither knew the man’s name nor his address, he would return to Adelaide in the future and look for this same man (whose name he did not know) and he would pay him the money owed. Similarly, the suspect said also that the large quantity of cannabis obtained was purely for personal use. The small re-sealable bags could be used for keeping fruit purchased en route, during the drive. The two sets of scales were stored in the suspect’s vehicle to ensure that when he did buy marijuana (for personal use) he obtained the correct amount.
The unconvincing nature of these claims simply harmed the suspect’s
case.
In these interviews, police unsuccessfully sought admissions, but did
not seem unhappy with the outcome. By contrast, in 249, the
interviewer made no
attempt to ‘crack’ a man denying sexual assault offences. Instead,
he merely gathered the suspect’s
account, but did so in a hostile,
detached way which did not produce a confession, but which both jarred the
suspect, and could have
left the audience (prosecutor, judge, jury) in no doubt
about the detective’s view of his
guilt.[10]
• Police are skilful interviewers
Police interviewers are almost always presented in
fiction as competent and effective. If they have any failing, it is that they
use
morally dubious tactics in order to pressure suspects into confessing.
However, such failings are excused, because the audience is
assured (indeed has
often already been shown) that the suspect did indeed commit the crime. This
belief in competence and efficiency
is reflected in police self-perceptions. As
noted above, interviewing skill has traditionally been regarded as the mark of
the good
detective: 'few officers see themselves as being poor interviewers, and
a potent police culture exists which perhaps inhibits them
from doing so'
(Baldwin 1992:28)
Baldwin’s research in England pricked this bubble
of aura and ego. He found not only that interviewing skills were poor, but
that
there was a notable gap between self-perception and reality: sometimes the
poorest interviewers think they are skilled and it
is ‘the officers who
are most in need of training or guidance who feel that they need it least'
(Baldwin 1992:28). More recently,
one senior English officer, exasperated at
hearing his officers interviewing burglary suspects, suggested that some of them
were
‘so inept at interviewing suspects that viewers of television dramas
such as Inspector Morse would have a better chance of
solving
crimes’.[11]
The interviewing quality in sample 1 was generally not good, although not as
bad as that reported by Baldwin. Most common were basic
problems of interview
technique: officers stare at the recorder machine and shuffle papers rather than
interact with suspect. The
fact that a suspect provides a confession does not
necessarily reflect on the interviewer’s skill. Indeed, in some interviews
the opposite seemed more appropriate: for example, in 123, the interviewer was
unprepared, shuffled through documents without looking
at the suspect, and asked
badly phrased, awkward questions. Nonetheless, the suspect was so cooperative
and submissive that he confessed
anyway. Another problem concerns legal
adequacy. While, as will be argued below, a key function of interviews is to
provide evidence
for court, essential elements of offences were sometimes not
covered: for example 131 concerned an alleged assault, but the interviewer
did
nothing to clarify whether there was an intention to injure or whether the
incident was, as the suspect claimed, mere horseplay.
The introduction of
investigative interview training drawing on the English PEACE model has improved
standards in NSW (Dixon 2007:
ch 5). From the perspective adopted in such
training, effective interviewing does not require bravado, acting, deception,
psychological
games, or violence. Much more useful are the simple interpersonal
skills which are effective in interviews in other social settings
- looking at
the person you are talking to; being polite and, within obvious constraints,
friendly; indicating that you are listening;
asking questions which follow up
cues from suspect. While the product may not be a dramatic confession, it may
well be useful information
in a legally packaged form. This packaging is
discussed further below.
• Suspects’ deception can be visually detected
The youngest, and perhaps
the most potent, myth is the belief that deception by a suspect can be readily
identified from ‘body
language’ and that doing so is core detective
work. According to Moston and Engelberg, in England, a 'dangerous mythology
pervades
the police service which suggests that the ability to detect deception
is an essential component of interviewing competency' (1993:
226-7). (This, in
turn, relies on a myth discussed earlier that many suspects seek to deceive
their interviewers). This myth provides
a notable example of how expert
knowledge (in this case, from psychology) has been transformed into popular
understanding. One of
the most disturbing encounters early in our research was
with a judge who confidently claimed (on the basis of a session at a weekend
professional training course) to be able to assess the veracity of witnesses by
observing whether they glanced to left or right.
Professional training
courses, schlock psychology texts, and soft-news media and fictions (notably the
regrettable Lie to Me TV series), have all played their part in
popularizing the belief that body language can be read in order to detect
deception. As
in drug courier profiling, criteria are broad and flexible.
According to members of the FBI’s Behavioral Analysis Program,
deception
may be indicated both when people avoid eye contact and when they seek it:
‘frequent liars ... increase eye contact
because they learned that
investigators often gauge veracity by strong eye contact’ (Navarro &
Schafer 2001: 10). In New
South Wales, the potential for using interpretation
of the suspect’s behaviour in evidence is acknowledged in the adaptation
of the caution, which now warns a suspect that ‘whatever you say or do
will be recorded and may be given in evidence’
(NSW Police 1992: 19).
This is not the place for an extensive review of the literature on this
topic. It is sufficient for present purposes to point to clear
research evidence
which establishes that, whatever a highly trained psychologist may be able to do
in detecting deception, an ordinary
police officer (or indeed prosecutor, jury
or judge) cannot do so accurately, and that standard interview training does not
increase
the capacity to correctly identify deception.
Consistently, research shows that individuals achieve accuracy around, or worse than, chance, in detecting deception and are only marginally better with truthful responses .. It would seem that professional investigators differ from lay-people only in being more confident in their performance (Mortimer & Shepherd 1999: 302, see also Vrij 1999).
Research has consistently demonstrated that interviewers cannot detect deception through non-verbal cues. Indeed those cues which interviewers ‘read’ as indicators of lying often are a result of their own behaviour (eg being too close to the interviewee) and are instead signs of anxiety with the situation ... (M)ore experienced officers are more confident that they can spot deception but they are, in fact, no more accurate (Milne & Bull 1999:64: see Memon et al 1998)
... the detection of deception is an unreliable process ... training almost universally fails to enhance competence in any such ability (Moston & Engelberg 1993: 226)
Police commitment to detecting deception is indicated by an article by the
FBI agents mentioned above who acknowledge that even experienced
investigators’ success at detecting deception is no better than chance and
that ‘no particular nonverbal or verbal cue
evinces deception’, but
then proceed to provide the familiar list of verbal and nonverbal cues which
supposedly indicate deception
(Navarro & Scafer 2001: 9).
Moston and
Stephenson warn that unjustified confidence about detecting deception may lead
to miscarriages of justice. If officers
become convinced of guilt, their claims
that they have detected deception may induce a false confession by pressurizing
the suspect
into accepting the interviewers’ account of what happened
(1993b: 107). How this could happen is illustrated by Navarro &
Scafer’s claim that deception is indicated by ‘stalling
tactics’ such as asking ‘Where did you hear that?
Where’s this
information coming from? Could you be more specific? or How dare you ask me
something like that?’ (2001:
12) These could be perfectly appropriate
responses to an inaccurate allegation, yet police are encouraged to treat them
as signs
of guilt.
As Vrij indicates, '(t)he main problem is that there does
not exist typical non-verbal or verbal behaviour which is associated with
deception. That is, not all liars show the same behaviour or say the same
things’ (Vrij 1999: 325). Conversely, behaviour associated
with deception
(such as avoiding eye contact and fidgeting) may have very different meanings
according to the social or cultural
group of the suspect. Most significantly,
some Aboriginal people and some people of Asian background may regard eye
contact with
a person in authority such as a police officer as uncomfortable,
disrespectful and inappropriate. Police officers need to be strongly
warned
that amateurish attempts at psychological assessment may lead their
investigation badly astray.
Fortunately, this danger has already been
recognized in New South Wales, and the identification of deception is not part
of formal
interview training. However, there are other pressures in play. As
suggested by the anecdote above, there has been considerable interest
in the
detection of deception from the judiciary. This appears to have driven a good
deal of the pressure for the showing of ‘ERISPs’
(electronic records
of interview with suspected persons) in court, the improvement in picture
quality, and, most significantly, the
introduction of video technology which
provides an image alternating between a general picture of the interview room
and those present
to a close-up of the suspect. Indeed, the alternating image
system was described by the commander of the electronic recording unit
as the
‘Justice Hunt solution’, after the judge who had lobbied for this
new technology.
Alternating images have both advantages and disadvantages.
The most obvious advantage is that for the first time the viewer can see
a
large, clear image of the suspect’s face during the interview. After
years of (at times frustrating) attempts to make out
how the suspect looks (Are
his/her eyes closed? Is he/she falling asleep during some questions? How
serious an injury is that mark
on the forehead which is a blur from the
distance? Is she visibly alcohol affected?), it is good to be offered such a
large clear
image of his or her face. The size and clarity of this image of the
suspect greatly reduces what previously may have remained in
the realm of guess
work.
Among the disadvantages are that other persons present in the
interview are only seen briefly, if at all. The video records the whole
interview table only for some 20 seconds every three minutes, before reverting
to the face of the suspect. For most of the time,
the interviewers are not on
screen. Often in alternating image videos, the adopting officer enters, performs
his/her role and leaves
without appearing on screen. Moreover, if the ERISP is
to be used to ‘legalize’ exhibits (see below), interviewers will
have to put them in the suspect’s face to ensure that they are seen.
Similarly, we may not see the notebooks from which DYA
questions are asked to
legalize pre-ERISP statements. If ERISP is to be used as a mechanism of
supervision and accountability of
interviewing officers, something is lost by
focusing on the suspect.
While both prosecution and defence may gain some
advantage from the close-ups showing the suspect’s condition, there are
grounds
for concern about potential interpretations of these images by both
prosecutors and judges. 073 illustrated the potential problem.
In close-up,
the suspect in this ERISP appears somewhat shifty as he moved his eyes from side
to side. However, the brief wider
focus showed that these eye movements were a
normal mode of interaction with two interviewers who were both attempting to
maintain
eye contact with him, as a mutual interaction. Seeing him reacting to
questions rather than seeing him as one of three people exchanging
questions and
answers invited incomplete or inaccurate interpretation.
In particular,
there is the danger of encouraging uninformed interpretations of body language.
It is notable that more than half
of both judges and prosecutors in our
questionnaire
study[12] agreed or
strongly agreed that a suspect’s demeanour during interview indicates
whether he/she is telling the truth. Given
the finding of social psychological
research on the identification of deception, it is some relief that police were
much less likely
to agree.
Table 1: ‘A suspect’s demeanour during the interview indicates whether he/she is telling the truth’
|
Police
N=123 % |
Prosecutors
N=71 % |
Defence
N=77 % |
Judges
N=49 % |
Agree/Strongly agree
|
28
|
56
|
26
|
57
|
Disagree/strongly disagree
|
32
|
10
|
38
|
20
|
Neutral
|
36
|
28
|
35
|
16
|
Don’t know
|
3
|
6
|
1
|
2
|
No response
|
1
|
0
|
0
|
4
|
Social psychological research has demonstrated convincingly that focusing the video camera on the suspect alone influences the viewer’s perception. The viewer is more likely to believe that a confession is voluntary if the camera focuses on the suspect than if it focuses either on the interviewing officer or on both together. So far as possible, the ERISP camera should provide an objective account: returning to a system in which both police and suspect are shown equally would reduce the tendency to bias (Lassiter et al. 1986, 1992). Less instrumentally, the focus on the suspect indicates a shift in the purpose of ERISP from being a device designed to prevent disputes over admissibility of evidence to being an investigative tool in own right (by recording ‘evidence’ of deception).
• Interrogation is a search for the search for truth
When police officers are asked to explain their purpose in interviewing suspects, they typically refer to the process as ‘a search for the truth’. This is attractive rhetoric, but is problematic as a description of what occurs in interrogations. First, it must be acknowledged that an adversary system of justice deals in contested versions of reality, not in absolute truths. Sometimes in complex and controversial cases, ‘what really happened’ is inaccessible. We may have to accept that we do not know what happened, let alone why. None the less, trying to find out what happened is appropriate. However, in dominant US interrogation models, confession is more valued than truth. As will be noted below, a widely approved interrogation tactic is to suggest to the suspect a version of events which makes confession easier by minimising guilt. As Kassin et al summarise:
Minimization tactics are designed to provide the suspect with moral justification and face-saving excuses for having committed the crime in question. Using this approach, the interrogator offers sympathy and understanding; normalizes and minimizes the crime, often suggesting that he or she would have behaved similarly; and offers the suspect a choice of alternative explanations – for example suggesting to the suspect that the murder was spontaneous, provoked, peer-pressured, or accidental rather than the work of a cold-blooded killer. (2009:120)
Kassin et al’s major concern about this tactic is, properly, the
potential for false confessions and miscarriages of justice.
Here, my concern is
more limited: whatever such interrogation tactics do produce, the truth (if this
means an accurate account of
what happened and why) is not the
objective.
Secondly, ‘searching for the truth’ has too often been
the gloss on a method of interrogation which consists of the interrogator
seeking the suspect’s confirmation of (confession to) a case theory (a
‘truth’) to which the interrogator is already
committed. Take, for
example, these exchanges in the interrogation of George Heron about the murder
of Nikki Allen:
A I am telling the truth ...
A I didn’t kill her
A I am not admitting to somet’t (I didn’t do)
The interviewing officers’ commitment to the
‘truth’ that Heron was a murderer produced a confession so
unreliable
that the trial judge excluded it. It is now widely acknowledged in
England and Wales that ‘case theories’ can be dangerous
if they make
officers unwilling or unable to consider any other ‘truth’.
At a
prosaic level, the rhetoric of ‘search for the truth’ has
problematic aspects which go the heart of the real role
of interrogation in
everyday criminal investigation. Confirming findings of English researchers, our
Australian data suggest that
most interviews are better seen as a process of
information gathering and packaging. If finding truth means getting a suspect to
shift from denial to confession, it rarely occurs. More typically, the
interviewers obtain the suspect’s account and, while
they may check it
against other information available to them, there is little in the way of
aggressive or even active challenging
(Dixon 2007: ch 5). This restriction is,
as discussed below, a response to concerns about instances in which
‘searching for
the truth’ led police into responsibility for grave
miscarriages of justice, not least because what was really involved was
not a
search for an unknown truth, but a search for confirmation of a
‘truth’ to which police were already committed.
As Ashworth
suggests, employing the rhetoric of truth is too readily linked to a
consequentialist logic that ‘the end may sometimes
justify the
means’ (Ashworth 1998: 108).
If the interview is not a search for
truth, nor is it the recording of an objective account. It is should be trite
to say that any
account is a selective construction of reality processed through
memory:
memory for a complex event is largely constructive. What a person encodes is not recorded in memory ready to be played back like a video-recording. Instead the event is reconstructed using the information the person has encoded about the event and also by using information that the person has about the world in general (Milne & Bull 1999: 17).
The interview is an interactional sequence which produces accounts of action,
intention and motive. Crucially, prompts from interviewers
also shape the
reconstructed account: experience has shown the vital need for interviewing
officers not to prompt suspects by leading
questions, providing information or,
more generally, excessive reliance on case theories. However, it is necessary
not to emphasize
the link between construction and police malpractice. This is a
significant weakness of McConville et al’s influential research
monograph
The Case for the Prosecution (1991) which treats case construction as a
tool of police malpractice rather than a necessary and inevitable (if open to
abuse)
part of the information work done by criminal investigators.
Police
interviewing of suspects involves a very particular form of account
construction, which I will refer to as ‘legalization’
which involves
the interviewer organizing and ‘framing’ the suspect’s account
according to legal criteria (cf Dixon
1997; Innes 2003: ch 3).
A
considerable academic literature has shown that the professional policing model
which became hegemonic in the mid-twentieth century
misrepresented the reality
of criminal investigation (Reiner 2000: 118-21). It showed that most such work
is not detection, but the
transformation of an incident into a case and an
individual into a defendant by the collection, categorization and presentation
of
evidence.[15]
As Ericson's account explains, police officers ‘make crime’ by
translating the original material (hunch, suspect, physical
evidence, witnesses)
into legal categories, (1981b: 7-20). Interrogation is an especially important
site for the 'legalization'
of accounts. Because this point is often
misunderstood, it perhaps bears repeating that my argument is not that case
construction
indicates police malpractice, but rather that it is a necessary and
inevitable part of the processing of information which criminal
investigation
entails.
As Ericson (1981) and Manning (1997; Manning & Hawkins 1989)
suggest, the legal processing of a case is information and communication
work.
The rules of substantive and procedural law provide the language and framework
of the accounts which must be given of suspects’
and police
officers’ actions. To Ericson, detectives are 'accountants' who 'explain,
justify, and legitimate their actions
with respect to what they think are the
appropriate rules, and these rules are used in conjunction with their accounts
to orient
their actions' (1981: 16-17; see also id. 1982: 13-14; Manning 1997;
Van Maanen & Pentland 1993). An important function of this accounting is to
confirm the action's legitimacy and justification:
law provides the pigeonholes
into which the actions of suspect and police officer alike can be slotted
(Bittner 1990: 194, 197, 246).
However, legalization is not synonymous with
legitimation: both more and less than is involved here. All describing and
accounting
for action involves active interpretive work. Incidents are
reconstructed as stories, in which legal definitions and requirements
provide
cues, plots and character development (Manning 1992; cf. Bennett & Feldman
1981: 4-5; Shearing & Ericson 1991).
In subsequent research on legal
decision-making, Manning has adapted Goffman's concept of framing (1992; cf.
Manning and Hawkins
1990; Innes2003: 54-66). Policing activities are fitted into
legal frames as cases are 'legalized'. Interrogation provides a good
example:
there is a significant (but, as yet, inadequately traced) link between the trend
in areas of modern substantive criminal
law towards requiring proof of
subjective intention and police use of interrogation in order to obtain
confessions (Sanders 1987;
Fletcher 1976: 525-7;). A problem with the 'framing'
metaphor is that it can suggest the placing and presentation of given material
within boundaries which provide definition without affecting substance. Law does
more than this, shaping the matter to which it is
applied. This limitation makes
it more attractive to think in terms of law in policing as a discourse, allowing
for a more active
role for participants and for the interpretive shifts in
constructing cases which have been suggested above.
The criteria for
legalization in police interviews with suspects are of two main kinds. The first
is the legal requirements for proving
a case. The second is the construction of
an accepted, recorded account of events and police-suspect interaction before
the ERISP.
John Baldwin identifies the former process well, contrasting it with
the concept of the ‘search for truth’ which was
discussed above.
Interviews with suspects are:
conducted within a particular context, namely the context of proof. Although it is the current fashion in official police circles to identify the purpose of questioning as being a ‘search for truth’ or as some neutral collection of information from suspects, it has to be remembered that running through all police interviewing is the expectation that, for any offence, there are a number of clearly defined features – or points to prove – which will need to be addressed .... (T)he idea that police interviewing is, or is becoming, a neutral or objective search for truth cannot be sustained, because any interviewing inevitably involves exploring with a suspect the details of allegations within a framework of the points that might at a later date need to be proved (Baldwin 1993 327).
A critical perspective on this is provided by McConville, Sanders and Leng, who argue that police use ‘legal-closure’ and ‘imperfect syllogistic’ questions as an interviewing tactic, for example getting suspects to unwittingly adopt a description of their behaviour which fits a legal offence. The apparent purpose of such questions is
to invite the suspect to provide information but in reality (they) force information into a legally significant category in the hope that the suspect will 'adopt' it. This may involve introducing some matter not previously mentioned or it may reshape what has been said so that it now 'fits' into an appropriate legal category (1991: 70).
Most importantly, suspects have to be led to speak an account of their
actions which satisfies legal requirements of mens rea, so
that, for example,
reference is made to stealing, rather than simply to taking, or to acting
recklessly, rather than accidentally
(McConville et al. 1991: 70-1).
As noted
above, this concentration on legalization as a manipulative tactic draws
attention away from the unproblematic, necessary
practice of legalizing accounts
as part of the process of case construction. An example from our cases is 129,
in which a man suspected
of sexual assault was interviewed three weeks after
initial questioning:
This ERISP appeared to be tying up loose ends in preparation for the suspect’s court appearance the following week. The interviewers reviewed some of the major claims in the suspect’s version of events (notably his claim that sex was consensual). The interviewer informed the suspect that the day after the alleged assault the complainant attended a hospital where evidence was collected by a doctor. The interviewer informed the suspect that he had arranged for a police doctor to take a sample of blood from the suspect, if he agreed. The interviewer used the ERISP also to formally inform the suspect that two micro-cassette tapes and another larger cassette obtained from the suspect’s answering machine had been returned from police custody to the suspect’s sister, at the request of the suspect’s solicitor. The ERISP also was used to clarify further a possibly misunderstood question (from the first interview) in relation to the date of an AVO (Apprehended Violence Order) violation.
Nor should attempted legalization be seen as inevitably providing benefit to
police. As Baldwin suggests, '(o)fficers can be ... preoccupied
with
establishing relevant ‘points to prove’, albeit tackling the
question mechanically and inexpertly, almost regardless
of suspects' responses'
(Baldwin 1993: 340). A poorly constructed question such as ‘At any time
prior to or after sale of that
camera did you form the belief that the goods may
have been stolen?’ invites the negative response which it received in 017.
The need to fit accounts into legal frames 'makes for a somewhat staged and
artificial encounter' (Baldwin 1993: 351). Suspects who
are asked, for example
whether they had permission to take goods which police allege they stole and
whether they know that it was
wrong to take the goods often regard their
questioners with bemusement or even disdain: yet these questions cover elements
of the
theft offence. Similar problems occurred in some interviews about drug
offences: for example in 148, the interviewer asked the following
questions:
Did you know... that you were smoking cannabis?
How did you
know you were smoking cannabis?
Can you tell me how you knew it was
cannabis?
Does cannabis give you certain effects?
The suspect, clearly unaware of their purpose, was bemused. Another suspect expressed his opinion of the interviewer’s questions in 276:
Q: What makes you believe it is cannabis?
A: Silly questions, man, fair dinkum. I have just told you I’ve been smoking it. It’s cannabis, all right?
The suspect then turned to the interviewer’s partner to share his amusement.
Similarly, in 286a, there was this exchange:
Q: Can you tell me why you have all these drugs?
A
(laughing): I’m a drug addict.
The need to legalize causes some interaction to be stilted. For example, in
130, the interviewer repeatedly specified the location
of the alleged offence
(‘in the toilet block at X High School’). Doing so ensured that
there could be no misunderstanding
and that each Q&A could be used in
evidence independently. However, such formalism disrupts any attempt to conduct
a natural
conversation of the kind likely to produce useful information.
The
function of the police interview as a legalization process means that assessing
police interviewing according to generalized standards
of interviewing is often
inappropriate. (Baldwin 1993: 327). Unfortunately, some psychologists often
ignore the legal context and
functions of police interviewing: for example, Shuy
(1998: 9) simply refers his readers to criminal procedure textbooks. It is
indicative
that more than half of the (English) National Crime Faculty’s
guide to investigative interviewing is concerned with legal matters
(NCF 1998:
73-153).
Appreciating the significance of legalization is vital for an
assessment of interviewing practice:
If interviewing techniques were to be assessed in terms of the police claim that they are geared to an objective search for the truth, then they would emerge as thoroughly deficient. But this is to miss the point of interrogations, a central feature of which is concerned with future rather than past events. Interrogations are conducted with an eye to the possibility of any subsequent trial. In that sense, their importance is concerned as much with what may be claimed later in court as with the circumstances of what happened in the original incident ...(T)he central purpose of the interview is to make any contested trial unlikely (Baldwin 1993: 351).
Such ‘legalization’ in police interviews with suspects comes in
two forms. First, closed questions are used to ensure
that the legal
requirements to prosecute successfully are satisfied. In particular, this means
proof of intention is supplied when
this is a component of an offence. Suspects
will also be asked closed questions which are intended to elicit a well-ordered,
comprehensive
account of what happened. The answers may also provide a basis for
checking against other information, or other statements made by
the suspect.
Closed questions will often be used when checking or challenging the
suspect’s account which the interviewer elicits
at the beginning of the
interview: this is key component of the PEACE model.
Secondly, police use
interviews in order to construct an accepted, recorded account of events and
police-suspect interaction (including
interviews) before the electronically
recorded interrogation. As Baldwin stresses, the priority is to 'limit,
close-down, or pre-empt
the future options available to the suspect' (1993:
351). A key to doing this is to use the interview as an opportunity not just
to
ask the suspect about the alleged offence, but also about his or her treatment
by police. The aim is to lock the suspect into
an account which will prevent
him or her from subsequently challenging police accounts of or raising
complaints about police activities.
In this sense, interviewing practice
corresponds closely with the concern to use electronic recording as a means of
preventing disputes
in court and allegations of police misconduct. Large
sections of the interviews in our samples were concerned, not with the alleged
offence, but with the interaction between police and suspect before the ERISP
began. Legalization involves the suspect being asked,
in a series of questions
beginning with the phrase ‘Do you agree..?’, to confirm the police
account of matters such as
initial contact, search, seizure of arrest, transport
to station, weighing and packaging of illegal drugs. In one extreme example
(246), a suspect was asked 96 ‘Do you agree?’ questions in 15
minutes. Most importantly and potentially problematically,
‘DYA’ is
used to incorporate into the electronic record an account of questions and
answers in earlier interviews.
DYA questions in ERISPs are used extensively
to produce a record of what happened when police arrested a suspect and/or
searched his
or her person, vehicle of premises. If the suspect agrees with the
police account, he or she will find it difficult subsequently
to dispute the
police account or to make allegations of wrongdoing against police. As might be
expected, DYAs are particularly useful
in dealing with alleged drug offences.
One Sample I ERISP suggested that the interviewer was so task-oriented in
having the note book adopted that the suspect’s attempt
to add a comment
was overruled.
The notebook interview is read, including admissions, ‘Yeah, I did it.’ When the suspect interjects during the reading of the notebook interview, the interviewer said, ‘I will just read this and then I’ll ask you about that.’ He proceeded to read, and the suspect’s objection to the account to which he was asked to agree was ignored. (158).
It remained unknown whether the suspect intended to qualify his admission in
some way or how important the substance of the comment
might have been
One
suspect attempted to correct information recorded in a note book interview:
The interviewer asked the suspect if he agreed that his earlier answers to police questions had been recorded in the officer’s note book. The suspect agreed, but immediately added that he had two problems with what had been recorded. Firstly, the constable had measured the length of the skid mark with his foot. In his notebook, he wrote down 27 metres, but in his report he stated 25 metres. Secondly, in his report, the constable wrote that the other car had pushed the suspect’s car five metres, whereas the suspect remembered it being two metres.
The interviewer listened to the suspect’s comments on these discrepancies, but did not make follow-up questions. The suspect raised the issue of the skid marks another few times during the interview (033).
As this suggests, legalization is not the sole province of the interviewers. The suspect in 121 apparently appreciated this. When asked at the end of the interview whether he had anything else to say, he responded:
I want you two police officers to state that I haven’t said anything off the record... that could be put in court evidence to make me look bad ... that I haven’t said anything else other than what’s on this tape.
Legalization may encourage participants to keep some information off the
record. In 003, the suspect began to explain his relationship
with a co-offender
by saying that they met in gaol: the interviewer interrupted ‘Don’t
say anything about that’.
In summary, this subsection has shown that
the ‘search for truth’ is both epistemologically and practically a
poor description
of what occurs in many police interrogations.
• Innocent people don’t confess to crimes
It is generally believed that ‘an innocent person will not falsely confess to police unless he or she is physically tortured or mentally ill’ (Leo 2001: 37). As Leo says,
This myth is ... completely false. The social science research literature has amply demonstrated that contemporary methods of psychological interrogation can, and sometimes do, cause cognitively and intellectually normal individuals to give false confessions to serious crimes of which they are entirely innocent (Leo 2001: 37; see also Gudjonsson 2003: 9).
In fact, it is clear that no special skill is required to produce a false
confession: persistent questioning, misrepresentation of
other evidence, and the
unintentional ‘leaking’ of information to suspects can produce
unreliable confessions, particularly
(but not necessarily) if the suspect is
vulnerable through, inter alia, youth, mental illness, or intellectual
disability. The short-term
benefit – relief from the questioning –
may seem worthwhile, even if its long-term cost may be enormous. Confident
belief
that people will act rationally and in their best interests is
inappropriate and potentially very misleading in the context of police
interrogation.
Developments in DNA science have fundamentally changed the
situation, providing something closer to positive proof of innocence. DNA
analysis may prove not only that the convicted person was not guilty, but may
identify the real offender. The results of the Innocence
Project have raised
major concerns about the integrity of the US criminal justice process: one
quarter of those exonerated by DNA
had confessed to the crime of which they were
wrongly convicted (Scheck et al. 2000).
In some crucial cases, it has been
definitively shown that suspects confessed to crimes which they did not commit.
There is space
here to comment on just two. First, the Central Park jogger case,
in which a woman was viciously raped and beaten in Central Park.
For many, the
case defined and symbolized the dangerousness of New York in the early 1990s.
According to the confessional accounts
which convicted 5 young men (four of
which were video-recorded), the attack was an incident of racially motivated
‘wilding’.
However, we now know that the five had not attacked the
woman: her attacker was a man acting alone who eventually came forward, his
confessions confirmed by DNA testing of the semen he left on the woman’s
clothing. The five who were convicted had confessed:
but these confessions were
preceded by the police showing one of the suspects photographs of the victim and
taking them to the crime
scene, were at times self-contradictory, and drew on
information leaked by interrogators (eg about the weapon used). The suspects
were (perhaps unintentionally) offered an inducement to cooperate, and were
detained and questioned for 14 to 30 hours (Kassin 2002,
2003).
In the
Cardiff 3 case, three men were convicted of the brutal murder of a young woman,
Lynette White who was a sex worker (Sekar
1997). According to the
prosecution’s lurid account, five men and two women had been present at
the murder. One man confessed:
the women gave witness statements. But again, it
eventually emerged that the killer was not one of those charged or convicted,
but
one man (a client) acting alone. There had been no witnesses. Again, the
killer was traced by use of DNA testing. The confessions
and the witness
statements were false. These cases are important because they provide
unchallengeable evidence that people can
confess to appalling crimes of which
they are not guilty. This does not involve an uncritical faith in science: the
limitations of
DNA analysis have to be acknowledged. Nonetheless, the myth that
innocent people do not confess to crimes that they have not committed
has been
exposed by the establishment not just that people were not guilty, but that they
were innocent.
• Safeguards for suspects’ rights make successful interrogation impossible
The image of criminal justice as balancing crime
control and due process structures continues to structure public understanding
and
debate. Police have often encouraged the belief that suspects rights and
police effectiveness are at opposite ends of a see-saw:
if one goes up, the
other must go down. Nowhere has such rhetoric been more prevalent than in
discussions of interrogation. A notable
example is the resistance by some US
police to electronic recording of interrogation and the interrogation
trainers’ insistence
that effective interrogation requires the isolation
of the suspect (Inbau et al 2001).
It is mark of the parochialism of so
many criminal justice policy-makers and commentators that such claims continue
to be made.
The experience of England and Wales since the mid-1980s should be
well enough known to require cursory description. The Police and
Criminal
Evidence Act 1984 introduced wide-ranging protections for suspects, including
time-limited detention before charge, contemporaneous
(now electronic)
recording, and access for vulnerable suspects to ‘appropriate
adults’ and for all, crucially, access
to publicly-funded and organised
legal advice schemes. Criminal investigation is regulated by a complex network
of legal and administrative
rules. The secrecy of police stations was
challenged: officers became used to seeing solicitors, social workers, family
members and
researchers in custody areas. And, despite the fears of many, the
sky remained in the heavens, suspects continued to confess, and
police
effectiveness was not reduced. On the contrary, the general response of police
was retrospectively to welcome the new criminal
process. Such changes of heart
were even more marked when Australian jurisdictions introduced electronic
recording: after years of
dogged resistance and obstruction, police came to
realise the great benefits that it brought them (Dixon 2007: ch 1).
When,
under pressure to respond to demonstrated miscarriages of justice, it is
accepted that reform is needed, a characteristic response
in Australia and the
United States has been to over-rely on one regulatory tool - electronic
recording. In the United States, calls
for comprehensive recording have become
almost de rigeur in recent papers. A disappointing characteristic of almost all
such discussion
is a parochial failure to refer to the long experience of
Australian jurisdictions which have been using audio-visual recording for
almost
two decades, not just in field trials, research experiments or selected cases,
but routinely for questioning about all indictable
offences. The Australian
experience provides important guidance for other jurisdictions considering the
routine, compulsory audio-visual
recording of police questioning of
suspects.
The key findings of my empirical research (2007) are that the
concerns usually expressed about electronic recording have not been
substantiated. The interrogator’s job has not become impossible: suspects
continue to make confessions and admissions. As seems
typical, police opinion
has shifted from antagonism and scepticism to acceptance and enthusiasm. The
removal of the taint of verballing
has benefited the criminal justice process,
both ideologically by increasing public confidence and instrumentally by
reducing the
court time spent on challenges to confessional evidence. However,
there are problems. Audio-visual recording may be highly problematic
if it is
used, as appears typical in the US, to record only a repeat of a confession made
during previously unrecorded questioning.
While audio-visual recording makes
simple verballing impossible, inadequate legal regulation of the process means
that recorded
interviews are often preceded by unrecorded questioning which may
undermine the reliability of any subsequent recorded confession.
Secondly, there
is a worrying tendency amongst some criminal justice professionals (notably
judges) to believe that they can use
the recorded image to read the
suspect’s body language. The general problems of reading deception from
body language were noted
above. They are compounded by the influence of the
visual image. Thirdly, electronic recording is regarded as a panacea which makes
other regulation superfluous. Notably in Australia, this has meant that while
some of the structure and terminology of PACE have
been imported from England
and Wales, there seems at best limited commitment to import the spirit of PACE.
Just one example will
be given here – the almost complete absence of
solicitors from Australian police stations. While Australian jurisdictions
provide
various rights of access, these remain hypocritically empty rights
because no funding is provided for legal advice schemes.
Comparing interrogation models
In a criminal justice world increasingly characterised by policy transfer and convergence, interrogation bucks the trend, with notable differences between dominant and approved models in the US and the UK (with Australia, New Zealand and some European countries following the latter). Not long ago, the situation was more normal/expected, with US criminal justice having a significant influence on the UK (Walkley 1987). The first objective of this section of the paper is to examine some of the conditions of this policy divergence
• Interrogating in the USA
The dominant US model requires little description to
anyone who has watched fictional TV ‘police procedurals’ such as
Law & Order: once a suspect has been identified through preliminary
investigation and questioning, accusatory interrogation techniques are used
to
draw out a confession. The suspect resists, but the expertise of the police
detective leads him or her to crack and to confess,
providing neat dramatic
closure.
A key source of these fictions is the training manuals used by US
police. There are a number, but the most successful and influential
is Inbau
& Reid (Inbau et al 2001), ‘the most influential approach and the
predominant model of interrogation used by law
enforcement professionals in the
USA’ (Borum et al 2009: 117) which has developed through a number of
editions into the ‘Reid
nine step technique’. The history of this
manual is almost a history of modern interrogation in the USA. As Richard Leo
has
shown, its origins were in the reaction against the violence in treatment of
suspects which became a scandal in the 1930s. Police
sought alternatives to
violence and found it in psychology: indeed, the history of interrogation
provides a great casestudy of the
influence of psychology in American life.
Psychological pressure is therefore at the heart of police interrogation in the
USA (Leo
2008).
In the Reid Technique, a suspect is only interrogated after
initial informal interviewing makes the investigator confident of his
or her
guilt. This is a crucial stage, because thereafter the investigator’s aim
is to obtain a confession confirming the original
suspicion. To this end,
psychological pressure is put on the suspect building up anxiety and
facilitating confession. The suspect
is helped to confess by, for example, the
investigator suggesting accounts of what occurred which minimise the
suspect’s culpability,
immorality or social abnormality. Interrogators may
lie to suspects, typically about the evidence available against him or her. Like
most other US interrogation styles, the Reid Technique puts considerable
emphasis on the ability of interrogators to read the suspect’s
body
language.
Whatever else the Inbau & Reid model may be, it has to be
understood as a commercial product. In the vast literature which has
accumulated
on privatization of policing in recent decades, remarkably little attention has
been paid to the role of corporate providers
of training and other services
(including interrogation). The Inbau & Reid model is a product which has
been sold in the form
of both manuals and training courses. Others compete in
the criminal justice market place, but Reid & Co retains a dominant
position.
Such companies increasingly go beyond training, providing contracted
interrogation services either in an advisory or operational
capacity. Given
these commercial realities, it is little wonder that those associated with Reid
& Co fiercely defend their brand
(eg Buckley 2000).
Also like other US
training manuals, Reid & Co claim that their technique is validated by long
operational experience and success.
Its critics argue that there has been no
scientific evaluation. Indeed, Borum concludes his review by stating
‘Almost no empirical studies in the social and behavioral sciences
directly address the effectiveness of interrogation in general
practice, or of
specific techniques in generating accurate and useful information from otherwise
uncooperative suspects’ (2006:
18).
Borum et al are scathing about the
‘lack of science’ underpinning ‘nearly half a century of US
doctrine’ (2009:
123). One area in which there has been very extensive
research is the detection of deception: as noted above, the general conclusion
is that the ‘lie-signs’ of which so much is made are (a) culturally
specific (so, most obviously, gaze aversion indicates
respect for authority
rather than deception in some cultures) and (b) while highly trained
psychologists may be able to identify
deception at a higher rate, most police,
prosecutors, judges and jurors will do so at a rate little better than chance.
There is no doubt that such techniques produce confessions: this is why they
have been so consistently popular in US law enforcement.
The key problem is
that the reliability of such confessions cannot be guaranteed: as will be shown
below, the concern over miscarriages
of justice have made this a major issue. As
noted above, the step from interview to interrogation is vital and, however much
Inbau
et al defend their model, it is its Achilles heel. It is now almost a
cliché to point out that many investigations have gone
astray (and some
led to miscarriages of justice) by investigators deciding too early that their
‘case theory’ is correct,
then interrogating to have it confirmed,
and ignoring inconveniently contrary evidence or alternative lines of inquiry
along the
way.
• Investigative interviewing and PEACE
In contrast, the UK model sees questioning as investigative rather than
accusatory. This approach has been widely adopted in Australia
and New Zealand,
and is attracting increasing interest in continental Europe (Williamson et al
eds, 2009). The title ‘investigative
interviewing’, not
interrogation, is deliberate and significant. Officers are warned against
assuming the suspect’s guilt
and encouraged to investigate with an open
mind. Investigative interviewing is structured around the mnemonic PEACE, which
means:
preparation and planning; engage and explain; account, clarification and
challenge; closure; evaluation Rather than directive questioning,
the
investigator is trained to allow the suspect to provide their own account of
events, which can then be checked and challenged
if necessary against other
evidence. Questioning of suspects is downgraded: it is just one of a series of
skills, including questioning
witnesses. Deception of suspects and psychological
coercion of the kind used in the Reid Technique are unacceptable, and any
resulting
evidence should be inadmissible. PEACE is more important for its
impact in undermining previously accepted strategies than for the
specific
techniques of information gathering and checking which it incorporates. At its
heart is a simple, but crucial shift of emphasis:
rather than setting out to
gain a confession which confirms a case theory to which the officer is firmly
committed, the interrogating
officer is encouraged to get the suspect’s
account and then to check its authenticity by questioning and testing it against
other evidence.
Like the Reid Technique, investigative interviewing
has to be understood as a product. While the commercial aspects of it are less
significant, it would be naïve to overlook its material dimension: books
are sold and academic and practitioner careers have
been progressed on the back
of investigative interviewing. However, this is a secondary element.
Investigative interviewing was
championed by a moral and policy entrepreneur in
Tom Williamson, an influential senior police officer whose commitment to
improving
investigative practice had a strong ethical foundation. Investigative
interviewing was developed by a network of psychologists and
police
practitioners. Its influence spread through a network of police trainers and
academic psychologists, notably through the International
Investigative
Interviewing conferences
• Miscarriages of justice
In order to understand how and why interrogation has
diverged so markedly in the UK and the US, the role of miscarriages of justice
must be understood. Reform of the criminal justice process in England and Wales
was driven by a well-documented series of major miscarriages
of justice
beginning with Confait and running through a series in which the
Guildford 4 and Birmingham 6 were the most publicised. These provided a
background of distrust
of police and shaken confidence in beliefs about the
matchless superiority of English justice.
However, two less well known cases
had the decisive influence on interrogation policy by making the police realise
that change was
needed (and that if they didn’t change themselves, that
change would be imposed). First, in the Cardiff 3 case, the Court of
Appeal
delivered damning criticism of police practices. As had been happened in the
Confait case twenty years before, subsequent disclosures caused even more
problems for the police: Sekar’s relentless investigative
journalism and
the development of DNA science proved not just that the Cardiff 3’s
conviction had been legally unsustainable,
but that it was factually wrong:
someone with who they had no connection was eventually convicted. The second
case was a miscarriage
of a different kind: not a false conviction, but a
botched investigation which led to no conviction and the escape from justice of
the murderer of a child (which may or may not have been the accused: the way a
suspect was interrogated made the line between truth
and conjecture
indiscernible. George Heron’s ‘confession’ was the product of
interrogators who used techniques
familiar in the US – identification of a
‘good suspect’, followed by pressure, misrepresentation of witness
evidence,
and the offering of culpability-reducing ‘themes’.
However, the prosecution did not make it past the legal first base
of a Crown
Court trial: the confession was excluded, and the case collapsed. Heron was
released to a life of hiding from the family
of his alleged victim’s
family. Largely overlooked by lawyers because it did not reach their notice via
an appeal court report,
how then did a failure by a provincial police force have
such an impact? The answer lies in an internal report reviewing the case
which
included the participation of Tom Williamson, a senior police officer who became
the key figure in the development of a new
model of interrogation.
Appalling
as the miscarriages of justice in England and Wales were, they are overshadowed
by what happened in the USA. Researchers
and activists associated with the
Innocence project and its off-shoots have proved that scores of Americans were
sentenced to death
for crimes that they did not commit. If they were saved from
execution by positive proof of innocence, the conclusion is unavoidable
that
some innocent people were executed after making false confessions. While one
might have expected a liberal-democratic society
to treat wrongful incarceration
and probably execution of the innocent as a national disgrace. Instead,
electronic recording (or,
sadly, ‘recordation’) of confessions has
been promoted and, it appears, widely accepted as a panacea.
• Developments in US interrogation
It would be wrong to exaggerate the distance between
policing practices in the US and the UK. Most obviously, the fact that
investigative
interviewing is the approved model in the UK does not mean that it
is universally applied. Indeed, the major evaluation by Clarke
and Milne
reported PEACE’s impact to be quite limited. No doubt, Inbau & Reid is
still read by some UK police. More significantly
however, there is growing
interest in the USA in alternative approaches to interviewing. Notably, perhaps
surprisingly, some such
interest has come from those responsible for questioning
terrorist suspects.
Since the revelations of how terrorist suspects were
treated in Guantanamo Bay, Afghanistan, and the American gulag of secret
prisons,
there has been much debate about the definition, morality and legality
of torture. There has been less intense discussion of whether
practices such as
water-boarding are ‘even effective, necessary or useful’ (Borum et
al 2009: 117 ). It is sometimes
regarded as unnecessary or distasteful to go
beyond the ethical/legal debate except to repeat the accepted wisdom that
torture produces
unreliable information. Recently, this area has been subjected
to valuable expansion and deeper analysis by American officials with
operational
experience in questioning terrorist suspects. Their conclusion is that the
debate about the ethics of torture is made
virtually redundant for policy
purposes by, first, the appreciation that the ‘ticking bomb hypothetical
which structures much
of the torture debate is ‘rife with assumptions
that run counter to nearly any “real-world” intelligence
interrogation’
(Borum et al 2009: 115) and that non-coercive means are
more effective in obtaining information from suspects.
‘Some in the US law enforcement community believe that experience with
detainees in Guantanamo Bay, Afghanistan, and Iraq –
both positive and
negative – generally support the effectiveness of
“rapport-based” methods and reveal the myriad
of problems that are
associated with more coercive or aggressive tactics’ (Borum et al 2009:
118 ).
These experiences led to the development of what is hailed as a
‘new era in US intelligence interrogation’. Almost inevitably
it
seems, this has been christened with a grisly neologism – ‘educing
information’[16].
‘The term educe was chosen because it denotes a drawing out or
elicitation of information, specifically information that may be hidden,
unexpressed,
or latent’ (Borum et al 2009: 119). This approach is much
closer to investigative interviewing than to the Reid technique:
it is not
coincidental that one of the authors, Michael Geddes, has been an active
participant in International Investigative Interviewing
conferences. EI seeks
information rather than a confession not just (as in investigative interviewing)
because of the problems in
an accusatory approach but also because the primary
objective is to gain ‘actionable intelligence’ which can be
connected
to other information resources (Mackey 2004) rather than evidence
against the individual suspect. It will be of great interest to
see the extent
to which this penetrates the US law enforcement community, not least how Reid
& Co respond to the potential challenge
to their market position.
Conclusion
How do the models of interrogation outlined above fit with the account of police interrogation which was developed in the first part of the paper by challenging a series of eight myths? As this sort of critique informed the debate in England and Wales, it is not surprising that investigative interviewing’s conception is nearer to what I suggest is reality than the American model, exemplified by the Reid Technique. The myths are put in four groups for the purpose of this concluding comment.
While the American model assumes that properly trained officers will acquire the skill necessary to break down resistant suspects (which includes dominating the suspect through isolation and behavioural control), the investigative interviewing model downgrades confession as the objective of questioning suspects in favour of information gathering. In the latter, training focuses on basic principles of good interaction rather than specialist skills (although such training is also provided in the higher ‘tiers’ of the model: see below).
While this appears to be taken for granted in most American studies, almost the opposite is true among exponents of investigative interviewing (at least as regards everyday policing). This stark contrast between the US and the UK would have to be explained in part by the very specific role which attempts to find a scientific replacement for the third degree played in the history of American interrogation (Leo 2008: ch3) but also more deeply in cultural transatlantic contrasts.
The American model assumes that miscarriages of justice are rare and that if they do occur in the context of interrogation, it is because the suspect was particularly vulnerable through youth or intellectual disability. Leo’s research on miscarriage cases shows that this assumption is quite wrong (2008: ch 6). The continuing problems which American jurisdictions are having in coming to terms with the evidence that many people have been wrongly convicted are surely due at least in part to this fundamental misunderstanding of how cases miscarry. As research into the impact of Miranda and subsequent Supreme Court cases has shown, suspects’ rights remain more significant as rhetoric than as substance (Leo 2008). In England and Wales, miscarriages have become major public scandals in a way that the American (and, despite Chamberlain the Australian) cases have not. This recognition led directly to PACE and accompanying reforms of justice processes in which provision of substantial rights for suspects has been achieved without reducing efficiency (indeed from many perspectives increasing it)
Why do suspects confess? The short answer, of course, is police interrogation, since suspects almost never confess spontaneously but virtually always in response to police pressure. (Leo 2008: 162)
(Confessions) are actively elicited, and often demanded of the suspect, then jointly shaped, typically after sustained psychological pressure (Leo 2008: 119)
This would suggest that there are much greater differences between the
American and the English (and Australian) justice processes
than previously
thought. However, there appears to be no convincing evidence that this is the
case: similar pressures for cooperation
and non-conflictual settlement
characterise both systems. Indeed, bargaining (over pleas, charges and
sentences) is even more structured
into the American system than its
comparators. It is hard, therefore, to avoid the conclusion that the American
literature does not
tell the full story. Inbau & Reid and the authors of
training manuals have no more incentive to de-emphasise the conflictual
elements
of interrogation than a dietician has to say the way to lose weight is simply to
eat less. Richard Leo presents his Police Interrogation and Criminal
Justice as ‘a comprehensive study of police interrogation in
America’ (2008:5). It is perhaps better read as a study of how
non-compliant
suspects in serious
cases[17] are
questioned by detectives. The last point is significant: all Leo’s
interrogators were detectives (and all apparently men),
so we are left to wonder
about the role of uniformed officers (and female detectives) in questioning
suspects. Leo’s paints
a picture of detectives characterised by
‘one-sided scepticism, conviction psychology, and game approach to
interrogation’
who are ‘motivated by a means-end rationality in the
interrogation room’ (2008: 23) and for whom interrogation is ‘a
strategic, multistage, goal-directed, stress-driven exercise in persuasion and
deception’ (2008: 119). This is an example of
what I described above as an
over-socialised account of police work. The empirical base for his book is
observation of ‘more
than one hundred interrogations’ inside the
Criminal Investigation Division of the Oakland Police Department, as well as
sixty
video-taped interrogations by two other police departments, followed by
‘several hundred more electronically recorded interrogations
by American
police departments across the United States’ (2008: 5). Given that
electronic recording in the US has, until recently
been reserved for very
serious cases (and has usually been the recording of a rehearsed confession), it
seems likely that Leo’s
data do not provide the basis for a
‘comprehensive study’: this would need to be of a sample randomly
chosen from all
interrogations.[18]
Leo’s account of American interrogation may be accurate as regards
serious, contested cases, but it is not a convincing account
of everyday
investigative practices in the cases which make up the bulk of the criminal
justice process’s workload. I pick
Leo’s book for critical comment
not because it is bad: on the contrary it is by a long distance the best book in
the field,
providing an excellent account of the rise of modern interrogation
and of miscarriages of justice. Indeed, it is the only substantial
empirical
study carried out in the USA. As Leo notes, ‘though interrogation is
central to the study of policing, the criminal
investigation process, and modern
detective work..., criminologists and sociologists have largely ignored
it’ (2008: 5). A
factor which seems inexplicable is the dearth of
field-based, empirical research on US police interrogation. So much talent, so
many
resources ... so many case-focused law journal articles, and so few
sociological or criminological studies. Perhaps if this gaping
hole could be
filled, a different perspective on American interrogation would emerge.
A
final word on the mundane reality of policing: very few police officers will
ever interrogate a murder suspect. Most of them, however,
will question the kind
of suspects who feature above in cases drawn from my research: people who
shoplift food from supermarkets,
steal trolleys from hired vans, blow up school
toilets, or use illegal drugs. This mundane reality needs to be recognised by
researchers,
practitioners, and policy makers.
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[1]
Dean, Faculty of Law, UNSW, Sydney. This is a working draft: please contact the
author before citation:
d.dixon@unsw.edu.au
[2]
An obvious criticism of these comments will be to say that it is naïve and
that the real action (including threats, inducements
and violence) takes place
elsewhere, before the recorder is turned on. My response is in the section on
regulation below and, at
more length, in Dixon 2007: ch 2.
[3] Crimes
(Sentencing Procedure) Act 1999
s.22.
[4] For details
of the samples and methodology, see Dixon 2007:
ch2.
[5] The desire
for a ‘turn in the spotlight’ may be connected to more grotesque
examples of public confessions on TV shows
like Oprah and Jerry Springer.
[6] He had no idea
how the heroin had got into his wallet, and had found the bag of marijuana in
grass at the side of the road. Moreover,
he had dropped it when his bicycle went
over a bump, not because he knew police were following
him.
[7] For details,
see Dixon 2007 ch2. A strength of these data is that the samples were randomly
selected from, respectively, all interrogation
in one year and all
interrogations by officers who had received investigative interviewing training.
[8] For further
details, see Dixon 2007: ch 4. In both samples, a number of records were
indecipherable for technical reasons.
[9] Such cases also
raise questions about the reliability of such confessions made in
‘informal’ interviews and of the propriety
of allowing them and
subsequent recorded confessions to be used as evidence (Dixon 2007: 45-54).
[10] It is of course possible that suspects in our sample were subsequently re-interviewed. For example, the interviewee in 206 was suspected of armed robbery, but the interview in our sample was merely a preliminary discussion about his earlier movements. In 225 the suspect was questioned about a fraudulent mortgage application. However, it was clear that the interviewer was interested in this suspect primarily as a lead to more significant players in a series of organized frauds. It is often not clear at the end of the interview whether the suspect is to be charged.
[11] Mike Todd,
Greater Manchester Police, quoted, Weekly Telegraph 27 August 2003,
p.2.
[12] For
details, see Dixon 2007: 27-8 & ch
6.
[13]
[14] R v.
Heron, unreported, Leeds Crown Court, 1 Nov. 1993; see Dixon 1997: 172-6;
Gudjonsson 2003:
96-106
[15] For a
more detailed analysis, see Dixon
1997.
[16] Other
examples are the redesignation of interrogators as ‘HUMINT (human
intelligence) collectors’ or ‘educing information
professionals’ (Borum et al) and the ‘recordation’ of
interrogation
[17]
Leo qualifies the second quoted statement above with ‘especially to
serious crimes’ (2008: 119), which undercuts the
claim to
generalisability
[18]
For an example of how this can be done, see Dixon 2007: ch 2
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