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Transcription

1 I nvestigative interview ing w itness guide Acknow ledgem ent Much of this docum ent is based on m aterials from National Policing I m provem ent Agency (NPI A) in the United Kingdom. The I nvestigative I nterviewing Unit gratefully acknowledges the generosity of: NPI A in allowing the New Zealand Police to use this and all their other 'PEACE' related m aterial Dr Rebecca Milne, for her tim e, expertise and advice that have contributed to the developm ent of this guidance. Other m aterial com es from : Crim inal Justice System (2007). Achieving Best Evidence in Crim inal Proceedings: Guidance on interviewing victim s and witnesses, and using special m easures. London: Office for Crim inal Justice Reform. Milne, R. & Bull, R. (1999). I nvestigative I nterviewing: Psychology and practice. Wiley: West Sussex Ord, B., Shaw, G., & Green, T. (2004). I nvestigative I nterviewing Explained. Lexis Nexis Butterworths: New South Wales Schollum, M. (Sept 2005). I nvestigative I nterviewing: the literature. New Zealand Police: Wellington Purpose This docum ent outlines the skills required to gain com plete, accurate and reliable inform ation from investigative interviews with victim s and witnesses. I t develops on the foundation provided by the I nvestigative interviewing doctrine. Related inform ation More inform ation on investigative interviewing can be found at Services/ CI B Crim e Service Centre/ Service Units/ I nvestigative I nterviewing. Other docum ents in this series can be found at I ntranet/ Police I nstructions/ Police Manual/ I nvestigations/ I nterviewing: I nvestigative interviewing doctrine I nvestigative interviewing suspect guide I f you have any feedback please forward any com m ents to: investigative.interviewing.unit@police.govt.nz Page 1 of 61

2 I ntroduction This docum ent provides guidelines and procedures for: interviewing witnesses, including reluctant or difficult witnesses identifying and interviewing witnesses requiring special consideration the specialist interviewing of adult witnesses. I t is designed to support interviewers at all levels of the I nvestigative I nterviewing Standards and Training fram ework. W ho is a w itness? Witnesses are people who have inform ation about an alleged offence or offender. They m ay be an eyewitness, present at the event, or som eone who can only provide peripheral inform ation. I n these guidelines, the term 'witness'... includes... victim s (defined in section 2 Victim Rights Act 2002 as a person injured or suffering loss or harm as a result of an offence) does not include... suspects Special provisions for dealing with suspects are detailed in the I nvestigative int erviewing suspect guide. W hat is the purpose of interview ing w itnesses? The purpose of interviewing witnesses is to ascertain the witness's account of the alleged event(s) and any other inform ation that would assist the investigation. Guidelines are not prescriptive Every witness is different. Therefore the guidelines are not in a prescriptive form at that m ust be rigidly followed, nor should they im ply that all other techniques are unacceptable. I nstead, interviewers should be flexible, utilising techniques as and when you see fit depending on the interviewee, situation and circum stance. Merely following the guidelines will not m ake a good interview. I nterviewing is a skilled task requiring training, practice and judgem ent. As the interviewer, you m ay decide that in the interests of justice or to prom ote the witness's well-being the interview requires procedures different to those described. Any decisions of this kind should be m ade in consultation with an NCO and, where appropriate, the prosecuting agency. Alw ays behave ethically w hen interview ing Regardless of what approach you take, you m ust still always behave ethically and with the ten principles of investigative interviewing in m ind. Treat all w itnesses as individuals As an investigator, interviewing witnesses is part of your everyday business. Witnesses com e from a wide range of backgrounds and each presents you with different challenges. They all have different needs and concerns, and levels of involvem ent in the investigation (e.g. you m ay have a witness who is a victim of the crim e or a witness with no links to the victim whatsoever but who saw what has occurred). There can never be a one size fits all approach to the interaction with witnesses and individual circum stances should always be taken into consideration. Page 2 of 61

3 Give special care to victim s Treat all witnesses with em pathy and sensitivity. As victim s are at high risk of being traum atised, additional provisions exist to ensure special care is taken. You m ust treat victim s with courtesy and com passion and respect their dignity and privacy (s 2 Victim s Rights Act 2002). Multiple w itnesses I f there is m ore than one witness to an incident care should be taken to m inim ise the risk of m em ory contam ination between witnesses by: separating the witnesses as soon as is feasible and interviewing them individually if the interview is being delayed, consider asking the witnesses not to discuss the incident with other people involved and explaining to them why you are taking this action, i.e. the potential for post-event inform ation to contam inate m em ory. Be aware that a m ore flexible approach is required with witnesses that m ay be stressed by the incident as discussing it with others m ay help therapeutically. W itnesses w ho becom e suspects I f a witness becom es a suspect during interview procedures for interviewing suspects should be adopted including com plying with all legal requirem ents and visually recording the interview. The Crim inal I nvestigations (Bodily Sam ples) Act 1995 section 2 provides a definition of a suspect: 'Suspect, in relation to an offence, m eans any person whom it is believed has or m ay have com m itted that offence, whether or not- (a) That person has been charged with that offence; or (b) There is good cause to suspect that person of having com m itted that offence.' This m eans if there is sufficient evidence to charge, the interviewee should be cautioned. Gathering intelligence from w itnesses The sam e procedures for interviewing witnesses should be applied when gathering intelligence. Page 3 of 61

4 I nterview ing principles and fram ew ork Ten principles of investigative interview ing Ten principles provide an authoritative guide to ethical interviewing. Approach all interviews with these principles in m ind and use them to actively exam ine your own attitudes and behaviours. 1 I nterviewing is at the heart of investigation. 2 The aim of an interview is to discover the truth. 3 I nform ation m ust be com plete, accurate and reliable. 4 Keep an open m ind. 5 Act fairly. 6 Questioning can be persistent. 7 Som e witnesses require special consideration. 8 Suspects m ust be interviewed in accordance with the law. 9 Special care m ust be taken to identify suspects requiring special consideration. 10 Be sensitive to cultural background and religious beliefs. PEACE interview ing fram ew ork Conduct witness interviews using the PEACE interviewing fram ework. Step Action 1 Planning and preparation: Review available inform ation and establish interview aim s and objectives. 2 Engage and explain: Develop rapport and explain interview processes and procedures. 3 Account: Using an appropriate interview m odel gain an account of events and probe the account for m ore inform ation. 4 Closure: Conclude the interview and address any concerns. 5 Evaluation: Evaluate how the inform ation obtained im pacts on the investigation and also evaluate the perform ance of the interviewer. I nterview m odels These three interview m odels are used within the PEACE fram ework: Free recall: encourages cooperative interviewees to give their own account of what happened in their own tim e and without interruptions. Conversation m anagem ent: enables the interviewer to control the interview and elicit as m uch inform ation as possible from a reluctant interviewee. Enhanced cognitive interviewing: builds on free recall using advanced techniques to assist a cooperative interviewee to recall as m uch high quality inform ation as possible. Advice For advice on investigative interviewing related m atters contact the I nvestigative I nterviewing Unit at Police National Headquarters on extension or at investigative.interviewing@police.govt.nz. Form s All investigative interviewing form s are located on 'Police Form s' under 'I nvestigative I nterviewing'. Page 4 of 61

5 Planning and preparing interview s Planning and preparation is one of the m ost im portant phases in effective interviewing. Always plan and prepare, no m atter what type of interview is being considered, to ensure you are ready to conduct an effective and ethical interview. W hat should be covered w hen planning and preparing for an interview? Step Action 1 Consider these factors when planning and preparing for an interview: interview aim s and objectives investigatively im portant topics witness profile: identity factors and current state legal requirem ents interview structure contingencies for interviewee reaction practical arrangem ents, including whether or not the interview should be delayed because the witness requires special consideration (e.g. due to intoxication). 2 Decide if the witness requires special consideration and if they do what initial action you should take. 3 Com plete a written interview plan where possible. I nterview aim s and objectives Develop a good understanding of the investigation and the purpose of the interview by: exam ining all available evidence - witness statem ents, scene exam ination, exhibits, and other supporting docum ents setting the aim s and objectives for the interview. These should focus on the investigatively im portant topics that need to be covered. I nvestigatively im portant topics I dentify topics needing to be explored for the investigation, including: circum stances of alleged offending including what happened: - im m ediately before the alleged offence - during and after the alleged offence all physical and verbal interactions between the witness and the alleged offender or anyone else type and severity of alleged offence offence ingredients and probable defences identity and description of the suspect and other witnesses covering ADVOKATES with eyewitnesses descriptions of the scene, exhibits and other item s of interest how the alleged offence cam e to the notice of police. W itness profile: identit y fact ors Build up a profile of the witness by gaining as m uch inform ation as possible about: nam e and preferred nam e (e.g. Matthew but prefers Matt) gender and sexuality if relevant age and m aturity race (if Maori include I wi and Hapu), culture, religion and first language any physical, intellectual, psychological or psychiatric im pairm ent relationship of witness to the alleged offender dom estic circum stances current or previous contact with public services such as previous police contact, CYFS, health professionals. Page 5 of 61

6 em ploym ent and routines absence or likely absence from New Zealand. Also: consider special needs the witness m ay have, for exam ple, if an interpreter is required conduct a NI A check including crim inal history and records. W itness profile: current state Consider the witness's em otional and physical state including: any traum a suffered fears of intim idation likely im pact of recalling traum atic events on the witness's behaviour im pact on behaviour of physical injuries, intoxication, tiredness and so on (delay the interview if appropriate) whether the witness is currently in a safe environm ent type of evidence the witness is likely to give. I t is param ount you consider the witness's well-being and investigative needs in this decision m aking. I nterview struct ure Based on the inform ation established about the witness and the offence decide: whether the witness requires special consideration whether the interview should be visually recorded and a specialist interviewer engaged what interview m odel to use (generally free recall m odel for cooperative witnesses, conversation m anagem ent m odel for reluctant witnesses). The m odel adopted m ay need to change over the course of the interview how you will set the scene and your first opening question. Contingencies for w itness reaction Consider contingencies for the witness's reaction, including: what to do if they are fully cooperative approaches to take if they becom e difficult to interview or reluctant, say nothing, give sparing inform ation or lie whether to break the interview up over several sessions (this m ay be advantageous if a lot needs to be covered, the incident happened over a num ber of occasions, or the witness finds the interview experience traum atic). Practical arrangem ents Decide: who should be present during the interview, e.g. a support person or interpreter. where and when the interview should take place the pace and likely duration of the interview and need for breaks. Let your supervisor know where you are and that you are interviewing som eone and are unavailable. I f possible, turn your radio and cell-phone off. Consider what is likely to happen after the interview (m edical exam ination, photographs, fingerprints, return hom e). Tim ing of the interview As a general rule the interview should be conducted as early as possible for both investigative purposes and to m inim ise the risk of m em ory contam ination and forgetting. Page 6 of 61

7 Consider the following when m aking a decision when to interview a witness: investigative factors - what are the needs of the investigation? How quickly do we need the inform ation? interviewee factors - what are the needs of the interviewee? Would the interviewee benefit from delaying the interview? I nvolve the interviewee in the decision. m em ory factors - the longer the delay in conducting interview, the greater the room for potential m em ory contam ination and forgetting. I f a witness is traum atised consider delaying the interview. Check with the witness as to their preference, som e witnesses m ay want to be interviewed straight away to get it over with. Also rem em ber som e witnesses, e.g. fam ily violence victim s, m ay be m ore forthcom ing with inform ation if interviewed im m ediately. I n such cases it is im portant to interview the witness as near to the event as reasonable so the investigation can be com pleted with urgency. I nterviews with witnesses who are tired or intoxicated should only be conducted in exceptional circum stances. Preparing the interview location A quiet room that is free from distractions and interruptions allowing both you and the witness to concentrate is an ideal setting. Ask the witness where they prefer to be interviewed. Set up the interview room and arrange the seating - ten to two is the preferred position. Consider willingness to talk in a form al setting to a police officer. Check equipm ent. Make sure you have ready com m unication aids including pen and paper for drawing sketch plans. Consider im plications if a support person or interpreter is required. Provide refreshm ents and tissues where appropriate. Page 7 of 61

8 Engage and explain Preparing the w itness for interview First im pressions do count, so the opening phase of the interview will often determ ine the success of the interview as a whole. The engage and explain interview phase m ay be im m ediately prior to the interview or on a separate occasion depending on the circum stances of the case. I t can also take place in person or over the telephone. Engage the w itness Establish rapport to put the witness as ease and allow for m axim um rem em bering by: introducing yourself and any others present asking the witness what they would like to be called asking when is a suitable tim e for interview, e.g. do they have any pressing needs or com m itm ents? personalising the interview, i.e. treat the witness as an individual and talk to them in a m anner and language they understand discussing neutral topics com m unicating em pathy, i.e. addressing any concerns about events, the interview and the investigation. Maintain im partiality to establish the foundation for a relationship of trust by: keeping an open m ind, i.e. don't pre-judge the witness using open questions and not interrupting - begin with TEDS style questions to encourage the witness to start talking actively listening. Explain interview procedures Explain interview procedures including: reason(s) for the interview - do this in a way that m akes the interview's purpose clear but does not specify the nature of the offence routine(s) that will be adopted - note taking and m ethod of recording the interview structure - tell them they will be asked for their account and then you m ay ask questions to clarify their inform ation Ground rules for cooperative w itnesses Unless the witness is difficult to interview or reluctant, explain the ground rules for the interview by explaining your expectations about each others roles. You w ant the Tell the w itness... w itness to... Concentrate you understand: considerable effort and concentration is required, so they will be given tim e to rem em ber and provide their account this m ay be difficult Report everything you want them to: give an account of all they know in as m uch detail as possible not edit their account but tell you everything that com es to m ind including all the inform ation they are not confident about or think m ay be trivial or partial, inform ation they think you already know take their own tim e and set their own pace Page 8 of 61

9 Take control you weren't there so you don't know what happened you want them to: - do all the talking because they have inform ation you want to know - give you as m uch detail as possible and tell you if they don t know som ething - not be influenced by what they think you or others m ight want them to say - correct you if they feel you have m isunderstood som ething they have said. Page 9 of 61

10 Account I dentifying a suitable interview m odel Different techniques can be used to help witnesses provide a full account of events. The techniques used will depend on your interviewing skills and the witness's level of cooperation. Use this table to help you identify the m ost suitable m odel. Model I nterview ee I ncident I nterview er Free recall Cooperative All Free recall trained (including witnesses requiring special consideration) Conversation m anagem ent All Enhanced cognitive interviewing Difficult to interview or reluctant (including witnesses requiring special consideration) Conversation m anagem ent trained Cooperative Serious or com plex Enhanced cognitive interviewing trained Changing m odels during interview Witnesses can m ove from being cooperative to uncooperative and vice versa during interviews and you m ay need to change your interviewing technique as a result. Revert to free recall m odel where possible. Using the free recall m odel This table details the steps that should be com pleted when using the free recall m odel. I nterview stage Actions Set the scene and Set the scene by using non-suggestive verbal cues to guide initiate free report the witnesses' m em ory back to the tim e and place of the incident. I nitiate a free report by using an open TEDS type question. Ask the witness to give an account of everything they know about the m atter under investigation. Allow for pauses and do not interrupt the witness. Actively listen using m inim al prom pts that do not go beyond the witness s account. Reflect back what was said where necessary. Take notes of areas you wish to obtain m ore inform ation about. I f appropriate, get the witness to draw a sketch plan. Ensure the witness dates and endorses the sketch plan as it m ay later be referred to and used as an exhibit. I f m ore detail is required go through another free report. I dentify and expand witness topics Break down the witness's account into m anageable topics. System atically expand each topic of the witness's account by obtaining a free report with open TEDS type questions. When open questions are no longer fruitful use probing 5Wh + How type questions if necessary. Try to go through the topics in the order the witness gave them in their initial free report. Take notes of what is said to aid your m em ory when preparing a written statem ent. Page 10 of 61

11 I dentify and expand investigatively im portant topics Sum m ary Repeat this process until you have covered all topics. I ntroduce investigatively im portant topics not yet covered. System atically expand each topic of the witness's account by obtaining a free report with open TEDS type questions. When open questions are no longer fruitful use probing 5Wh + How type questions if necessary. Repeat this process until you have covered all investigatively im portant topics. After the witness has provided all their inform ation, sum m arise back what they have told you in their own words. Free recall questioning style Whether or not your witness requires special consideration, you should use these interviewing techniques to m inim ise the risk of influencing what the witness says. Do... Explanation / exam ple Keep questions short and sim ple The younger or m ore vulnerable the person, the shorter and m ore sim ply phrased the questions need to be. Ask questions in a language and m anner the person understands Move to m ore specific closed questions using 5WH's + How when open questions are no longer fruitful and m ore detail is required Begin with the least explicit version of the closed question I f a support person is present check with them wording or phrases you think the witness m ay find difficult or for which the witness m ay have a different m eaning than com m only held Avoid topic hopping Avoid interrupting Avoid repeating questions Avoid developm entally inappropriate questions i.e. open TEDS type questions in sim ple language are the best for the m ajority of interviewees. Avoid why questions unless absolutely necessary and the question is couched in a very em pathetic way - the victim m ay think you are blam ing them and these types of questions are very difficult to answer with factual inform ation. The drawback of using specific closed questions is that the witness m ight respond with a choice without elaborating or be tem pted to guess to assist or please you in the absence of a genuine m em ory. Thus the quality of the inform ation gleaned tends to be poorer than inform ation gained from open TEDS type questions. Exam ples: the term 'penis' m ay not be understood but the term 'dick' m ay. 'aunty' m eans parent's sister to m ost people but to others it m ay include a long-term fem ale fam ily friend. i.e. rapidly m oving from one topic to another and back again. Som e witnesses m ay speak slowly and pause for longer. The witness m ight infer their initial response was incorrect. e.g. som e witnesses m ight find questions relating to tim e, date, height, length, weight, age etc difficult. Page 11 of 61

12 Only use leading questions (one im plying the answer or assum ing facts that are in dispute) as a last resort Avoid asking questions with a 'Yes'/ 'No' answer I f a witness responds to a leading question with relevant inform ation not led by the question, revert to open questions. The witness m ay want to please by saying 'Yes' and avoid discussing uncom fortable topics by responding negatively. Question types This table outlines com m only used question types. Open TEDS type questions Probing 5 W h's + How questions Tell What? Explain Where? Describe When? Show Who? Why? How? Describing people of interest Obtain as m uch detail as possible when a witness describes a suspect or other person whose identity m ay later need to be established. There are three m ain reasons for this: their description m ay be your only opportunity to identify the suspect or person of interest once the suspect has been identified the original description m ay becom e vital evidence during any resulting crim inal proceedings if the witness endorses the description by signature, it can be used to refresh their m em ory before giving evidence in crim inal proceedings (which m ay be m onths or years later). Tools to assist w itnesses describe people of interest 1 0 point description Cover these ten points during an interview when describing a person of interest: Sex Race Age Height Build Hairstyle and colour Com plexion Distinguishing features Clothing Carrying anything? Use open TEDS type questions to get the interviewee to provide a detailed description of the offender e.g. Describe him to m e in as m uch detail as you can Go back to any details they m ay have m issed using m ore open TEDS type questions and finally with probing 5Wh + How type questions if required. ADVOKATES Use the m nem onic 'ADVOKATES' to ensure an eye witness covers all relevant inform ation when describing a suspect. A Am ount of tim e How long did the witness have the suspect in view? under observation D Distance What was the distance between the witness and suspect? V Visibility What was visibility like at the tim e? (including tim e of day, street lighting, etc) O Obstruction Were there any obstructions to the view of the witness? K Known or seen before Had the witness ever seen the suspect before? I f so, where and when? Page 12 of 61

13 A Any reason to rem em ber Did the witness have any special reason for rem em bering the suspect? (e.g., a distinguishing feature or peculiarity, or the nature of the incident itself) T Tim e lapse How long has elapsed since the witness saw the suspect? E Error or m aterial discrepancy Are there any errors or discrepancies between descriptions given in the first and subsequent accounts of the witness? S Salience I t is im portant to exam ine how salient a person is within an event scene. Were there 5 arm ed robbers at the scene or only 1? A person can only process so m uch inform ation at one tim e due to lim ited processing capacity. Page 13 of 61

14 Account: notes and statem ents N ote taking When conducting interviews, you face the formidable task of both actively listening and form ulating questions. Notes: help you later to write the statem ent or interview sum m ary can be used to brief other m em bers of the investigation team are not usually discoverable as they are m ade as part of the investigative process (do not disclose your notes but attach them to the file should defence counsel apply to the court for disclosure). I f you do not take notes, you m ay: m iss pieces of inform ation m ake assum ptions or m isinterpret what was said use your own words or phrases rather than the interviewee s. Be aware that taking to m any notes can be a distraction for the interviewee and interfere with their concentration and ability to recall inform ation. N otebooks Your notebook is a record of your duties, what you did, who you spoke to, your observations, sketch plans or diagram s, initial interview notes and, if absolutely necessary, statem ents from interviewees. Courts readily accept that police m ay refer to notes m ade contem poraneously or as soon as practicable after the event when giving evidence. You m ust record relevant details about the interview in your notebook including: date, tim e and place of the interview interviewee's nam e and contact details. Notebook statem ents Only take statem ents in your notebook in exceptional circum stances, e.g. when it is im practical to conduct a form al interview or when the offence is m inor in nature. I n these circum stances record the entries as you would a written statem ent. Record these in full in notebook form at before the statem ent com m ences. Job sheets Never record interviews in job sheet form at (job sheets are official records, chronologically listed, of action taken, inform ation gathered, people spoken to and exhibits seized). Use a jobsheet to record a conversation with a witness when: they have been spoken to and it is established that they do not need to be interviewed on a m ore substantial basis a pre-interview has been conducted and the decision is m ade to refer the m atter to a specialist interviewer they refuse to be form ally interviewed but have provided investigatively im portant inform ation. W ritten statem ent Most witness interviews result in a written statem ent at the end of the interview to: establish evidence the witness can provide (for both investigative and prosecution processes) or further lines of enquiry refresh the witness's m em ory should the m atter proceed to court Page 14 of 61

15 cross-exam ine the witness should they later give contradictory evidence. The interview record is a com plete record of all inform ation the witness can provide and should also include relevant inadm issible evidence. W hen to record a statem ent Obtain statem ents from anyone who can provide investigatively im portant inform ation including: prospective witnesses witnesses of doubtful reliability any person who can give im portant inform ation in m ajor enquiries spouses of suspects and offenders associates of suspects likely defence witnesses (this helps cross-exam ination and can prevent witnesses from tailoring stories for the defence) people suspected of m aking false com plaints people m aking com plaints against the police. Procedure for recording w rit ten statem ents After the final sum m ary follow this procedure to prepare a written statem ent. Step Action 1 Use police form I I : WS for all witness statem ents. I deally, type the statem ent on the com puter. Alternatively, handwrite on lined paper. (Use one side of the page only. Leave space at the top of each page for the file pin). Only record it in your notebook if the other m ethods are im practical. 2 I n the statem ent's heading enter: the witness's nam e, age and occupation date and tim e of the statem ent your nam e and station. (Do not repeat this inform ation in the text of the statem ent itself). 3 Using your notes, record the statem ent in chronological order and narrative form in the first person. (e.g. 'I noticed a yellow car outside the bank...'). Use the person s own words, phrases and expressions. Cover all inform ation the witness can provide in as m uch detail as possible including: tim e, date and place of the incident circum stances of the incident detail actions and descriptions of people involved or sim ply present details of what the individuals did and said descriptions of property stolen or dam aged, and injuries caused a description of the suspect and how they m ay be identifiable any other inform ation that m ay help to: - locate the offender - trace m issing property - corroborate or refute inform ation further enquiries. Avoid using abbreviations, jargon or correcting the person's gram m ar or vocabulary. I f the person uses slang or colloquialism s, ask them to clarify the m eaning and write the explanation in the statem ent (so the intended m eaning can be clearly understood). Page 15 of 61

16 4 Com plete the coversheet with all the witness's personal details. I f relevant ask the witness to sign consent for police access to personal inform ation relating to the investigation. Com plet ing this task at the end of the interview will help prevent the de-personalisation of the interview through asking these adm inistrative questions. To protect the witness's privacy do not disclose the coversheet without legal advice. Do not : short cut this process as it will reduce the quality and quantity of inform ation obtained start writing until after the witness has given their full account, i.e. an uninterrupted account has been given that has been probed for m ore inform ation and they have answered all investigatively im portant questions. Endorsing the statem ent Once you have recorded everything take these steps to endorse the statem ent. Step Action 1 Ask the interviewee to: read the statem ent (if this is not possible, follow procedure for witnesses not able to read) m ake and initial any corrections or additions and sign at the end of each page 2 Once the interviewee is satisfied with the content of the statem ent you m ust record the s162 Sum m ary Proceedings Act 1957 declaration at the end of the statem ent: - 'Everything in this statem ent is true to the best of m y knowledge and belief, and I m ade this statem ent knowing that it m ay be adm itted as evidence for the purposes of a standard com m ittal or at a com m ittal hearing, and that I m ay be prosecuted for perjury if the statem ent is known by m e to be false and is intended by m e to m islead.' I nvite the interviewee to sign the statem ent with their full signature below the declaration (if they refuse to sign, note this on the statem ent). 3 You endorse the statem ent by: initialling and num bering the bottom of each page writing at the end of the statem ent: - 'Statem ent taken and signature witnessed by: ' adding your full signature, QI D and finish tim e. W itnesses not able to read and w rite I f you are unsure about a witness's ability to read and write follow this procedure. Step Action 1 Ask the witness to read out the first sentence or two to you. I f they have difficulty, offer to read it to them or get a colleague to read it so there can be no allegation of distortion. 2 Sit beside the witness so they can see where you are reading from. 3 Before endorsing the statem ent write the following declaration: 'This statem ent has been read to m e. Everything in this statem ent is true to the best of m y knowledge and belief, and I m ade this statem ent knowing that it m ay be adm itted as evidence for the purposes of a standard com m ittal or at a com m ittal hearing, and that I m ay be prosecuted for perjury if the statem ent is known by m e to be false and is intended by m e to m islead.' Make a note about their reading ability in your notebook so you have a record if you are questioned in court. Page 16 of 61

17 4 The person reading the statem ent endorses the statem ent: 'I have read this statem ent to WI TNESS'S NAME. I have asked them if they wish to m ake any alterations which I have done and initialled with READER'S NAME.' The reader signs off the statem ent and writes the tim e. Page 17 of 61

18 Closure and evaluation Closing interview s Whatever interview m odel has been used close interviews by: reviewing inform ation obtained and confirm ing that everything has been covered (open a new account phase if any inform ation has been om itted) asking if the witness has any questions and answering them appropriately thanking the witness for their tim e and effort advising that if they recall further inform ation about the event after the interview, they should m ake a written note of what they recall and contact you preparing for future events (e.g. referral to support services, photographs, m edical exam ination, court or further police involvem ent with the witness) providing them with your card or nam e and contact telephone num ber returning to building rapport or other neutral topics ending in a positive, polite and prospective m anner. Evaluate inform ation obtained After interviewing a witness: review the inform ation obtained and consider: - the im pact of the inform ation on the investigation - what evidence there is in relation to offences, ingredients and potential defences - descriptions of people, item s and events that m ay be vital to the investigation - the urgency and need for further enquiries consider what follow-up action is required to prepare the witness for any future court proceedings. I t m ay be advantageous to keep in regular contact with the witness especially as court proceedings approach. Self- evaluation Self-evaluate your own perform ance: what did you do well? what could you have done better? what areas can you develop? how will you acquire these skills? Page 18 of 61

19 Difficult to interview or reluctant w itnesses I f the witness is difficult to interview (com pliant but troublesom e to interview) or reluctant (is not forthcom ing with inform ation they have that m ay assist the investigation) follow the usual procedures for preparing for the interview and engaging with the witness. Note that your attitude to the witness will contribute to how they respond to you and determ ine the success or otherwise of the interview. Take particular care to: treat the witness with dignity and respect keep an open m ind - do not assum e they will be uncooperative be patient - it m ay be frustrating but the end result will m ake it worthwhile em pathise with their position be non-judgm ental - this is likely to result in further resistance. W itness's right to decline to be interview ed Witness interviews are always conducted with consent so a witness is not obliged to answer your questions unless there is a statutory obligation (which only exists in special circum stances e.g. under the Land Transport Act 1998). This m eans it is the witness's right to decline to be interviewed and you cannot and m ust not force som eone to speak with you. Procedure w hen w itness refuses to talk Follow this procedure if the witness initially refuses to talk to you or be form ally interviewed. Step Action 1 Spend tim e building rapport with the witness. This m ay take several sessions. Provide the witness with an outline of the offence(s) under investigation, and explain the potential im portance of the inform ation they m ay have and the processes involved with the interview. Give the witness enough inform ation to m ake an inform ed choice as to whether to speak to you, but not provide them with specific details about the allegations or what they are believed to have witnessed. 2 Ask them why they do not want to be interviewed, and Try to address their concerns. I f they refuse to tell you their concerns, consider what they m ight be (from your planning and preparation) and address these. 3 I f the witness then agrees to be interviewed, interview them as you would any other witness. I f they are not forthcom ing with inform ation when using the free recall m odel then use the conversation m anagem ent m odel. 4 I f the witness still refuses to be interviewed but will talk with you inform ally about the offence, obtain as m uch detail as you can from them using open and, if required, closed questions. 5 I f the witness refuses to talk to you at all, that is their right. Avoid over persistence and: ensure you get their full details so they can be sum m onsed if required proceed to the closure phase of the interview. 6 Closure: close the interview as usual and provide them with your contact details should they change their m ind or have any queries later record in your notebook or on a jobsheet: - any inform ation they have provided about the offence - the reasons given for refusing to be interviewed - your opinion on why they refused. Page 19 of 61

20 A detailed account of what was said is vital as the witness m ay later give contradictory evidence or be called by the defence. Should this eventuate your record m ay be needed for cross exam ination. Using the conversation m anagem ent m odel This table details the steps that should be com pleted when using the conversation m anagem ent m odel with a reluctant witness who is not forthcom ing with inform ation when using the free recall m odel (you should already have covered the ground rules with the witness as usual). I nterview stage Actions Free report I nitiate a free report using an open TEDS type question. Ask the witness to give an account of everything they know about the m atter under investigation. Allow for pauses and do not interrupt the witness. Actively list en using m inim al prom pts that do not go beyond the witness s account. Take notes of areas you wish to obtain m ore inform ation about. I f appropriate, get the witness to draw a sketch plan. I f m ore detail is required go through another free report. I dentify and expand witness topics Break down the witness's account into m anageable topics. System atically expand each topic of the witness's account by obtaining a free report with open TEDS type questions. When open questions are no longer fruitful use probing 5Wh + How questions if necessary. The extent you use each question type is dictated by the level of the witness's cooperation. Encourage the witness to do all the talking by using open questions. Be patient, but if one questioning technique is unsuccessful, try another. The level of cooperation m ay im prove during the interview as the witness becom es used to answering questions. The witness m ay only initially answer closed questions but as the interview progresses becom e m ore forthcom ing with inform ation. I n these circum stances, try reverting back to open TEDS type questions. This will encourage them to do m ore talking and save you tim e. Take notes of what is said to aid your m em ory when preparing a written statem ent. Repeat this process until you have covered all topics. I nvestigative im portant topics I nconsistencies Giving sparing inform ation or not telling the truth I f you believe the witness is: being sparing with inform ation, use probing 5Wh + How questions to elicit all the details you require not telling the truth, use open TEDS type questions as m uch as possible, Note inconsistencies and deal with them at the interview's end. Repeat the above process covering all investigatively im portant topics not yet been addressed. Consider inform ation obtained and the witness's current dem eanour. I f appropriate, seek an explanation for any inconsistencies. Alternatively, consider holding back and conducting a second interview after m ore enquiries have been conducted. Page 20 of 61

21 W itnesses that are difficult to interview Som e witnesses m ay be m ore troublesom e to interview because they have difficulty understanding what is required or continuously go off topic. I n these cases you should: be patient. Som e witnesses involve a lot m ore tim e and effort. Consider why they are difficult to interview including whether they require special consideration and if you should delay the interview. Som e m ay go off topic because they find it upsetting to discuss the alleged offence(s) and others m ay sim ply not understand what is expected of them. Always bear in m ind that different people rem em ber things in different ways and what appears to be going off topic to you, m ay sim ply be the witness retrieving the inform ation in the m ost effective way for them. consider re-explaining the ground rules, they m ay sim ply not understand what is required of them. keep using open questions but set clear param eters and re-direct the witness if they go off the topic. I f this does not work introduce m ore probing questions. Be careful not to ask leading questions. a witness m ay not rem em ber all the details of what happened, so do not assum e that they know everything. I f you keep questioning them when they do not know the answer they m ay m ake up inform ation in an attem pt to please you or get frustrated with you and the interview process. Page 21 of 61

22 W itnesses requiring special consideration Defining special consideration A witness requires special consideration when additional m easures need to be taken at interview to m axim ise the accuracy and com pleteness of the inform ation obtained due to: their personal characteristics the circum stances of the offending. Decisions about special consideration should be m ade on a case by case basis. No two witnesses are the sam e and there m aybe one or a variety of reasons why they require special consideration and, as a result, what additional procedures are adopted. Always take into account your responsibilities under the Victim s Rights Act 2002 by treating all witness's com passionately and catering for their well-being. Personal characteristics The personal characteristics that should be considered include the witness's: age or m aturity physical, m ental, or psychological condition physical, intellectual, psychological or psychiatric im pairm ent linguistic or cultural background and religious beliefs. Exam ples include: children and the elderly, intoxicated witnesses, traum atised victim s, witnesses with learning disabilities or m ental health problem s, victim s of fam ily violence and sexual assault, and witnesses with English as a second language. Due to any of these factors the witness m ay be m ore vulnerable than others and find the investigation and prosecution process stressful or even traum atic. Som e m ay also be m ore susceptible to m em ory or com m unication difficulties resulting in the dim inished quantity or quality of inform ation provided. Special m easures need to be taken to support these witnesses and ensure the m ost com plete and accurate inform ation is obtained for the investigation. Circum stances of the offending The circum stances of the offending that should be considered include: the nature of the offending fear of intim idation the investigative im portance of the witness relationship to any party involved in the investigation. I t is especially im portant to m axim ise the accuracy and com pleteness of inform ation from witnesses to serious offences and those that are central to the investigation (i.e. investigatively im portant). Exam ples include: persons that find the body in a hom icide, victim s of sexual or other serious assaults, victim s of hate crim es, victim s of recidivist fam ily violence offenders, witnesses who m ay later becom e suspects, eyewitnesses to serious offences where the identity of the offender is unknown, e.g. robbery. All sexual assault cases should be treated with special consideration. Giving evidence in alternative w ays The Evidence Act 2006 recognises som e witnesses require special consideration because of their personal characteristics or the circum stances of the offending. Section 103 of the Act allows the prosecution to apply to the court for the witness to give their evidence in an alternative way if certain grounds exist. The Judge m ay direct the witness to give Page 22 of 61

23 evidence in-chief and be cross-exam ined in the ordinary or an alternative way. This includes playing a visual recording of the witness's evidence in chief. I f you believe your witness m ay be eligible for giving evidence in alternative ways, com plete initial action procedures for special consideration witnesses. Evidence Act useful for determ ining if special consideration required Section 103(3)(a) outlines the grounds a judge m ust consider when deciding if an alternative m ethod of giving evidence should be used. These grounds are useful for determ ining whether the witness requires special consideration when being interviewed during investigations: age or m aturity of the witness physical, intellectual, psychological, or psychiatric im pairm ent of the witness traum a suffered by the witness witness's fear of intim idation linguistic or cultural background or religious beliefs of the witness nature of the proceeding nature of the evidence the witness is expected to give relationship of the witness to any party to the proceeding absence or likely absence of the witness from New Zealand any other ground likely to prom ote the purpose of the Act. Page 23 of 61

24 Before starting the interview process I nitial actions for all investigators You m ust identify as early as possible if the witness needs special consideration. This table outlines initial actions to take relating to witnesses needing special consideration before the investigative interview com m ences. Step Action 1 Decide if you w ill conduct the interview or whether a specialist interviewer should be engaged (e.g. when an interview needs to be visually recorded or the witness is a victim of sexual assault). Make this decision in consultation with your supervisor. Even if you will not be conducting the interview you m ust still com plete initial actions in a m anner that m axim ises the quality of the evidence obtained. 2 I f it is appropriate for you to conduct the interview, follow initial actions for int erviewers. I f a specialist interviewer is being engaged, com plete the rem aining actions outlined in this table, unless they are delegated to another squad. 3 Gain a brief outline of events by: planning what you are going to say to the witness and how you will say it asking no m ore questions than is necessary (use open TEDS type, not leading questions) to gain an understanding of what has happened, when and where it occurred, and who was involved to: - provide first aid or m edical attention - preserve scenes or physical evidence - determ ine the seriousness of the offence - secure witnesses or identify and detain suspected offenders - support the witness. listening to what the witness is telling you and not interrupting considering while interacting with the witness, what special m easures they m ay need at interview, (e.g. need an interpreter, professional support person, or carer). Always rem em ber a witness m ay be interviewed later on a m ore substantive basis. Take care not to contam inate the witness's evidence before that substantive interview. 4 Accurately record all discussions and ensure you have recorded the witness's full personal details and, if applicable, their carer. As soon as possible, record in your notebook any discussions with the witness, including questions you asked. I nclude details to assist identify special needs the witness m ay have during interview. (This helps other officers taking over responsibility for the investigation, and m ay be required during court proceedings). 5 I nform a supervisor of your actions. The supervisor will ensure that all appropriate action has been taken, and that the investigating officer or a specialist interviewer is aware of all the circum stances. I nitial actions for interview er Before you interview a witness requiring special consideration, decide what additional interviewing procedures are necessary for the witness you are interviewing (e.g. fam ily violence victim s or witnesses with different cultural or linguistic backgrounds). Page 24 of 61