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Investigative interviewing witness guide
Acknowledgement
Much of this document is based on materials from National Policing Improvement Agency (NPIA) in the United Kingdom. The Investigative Interviewing Unit gratefully acknowledges the generosity of:
- NPIA in allowing the New Zealand Police to use this and all their other 'PEACE' related material
- Dr Rebecca Milne, for her time, expertise and advice that have contributed to the development of this guidance.
Other material comes from:
- Criminal Justice System (2007). Achieving Best Evidence in Criminal Proceedings: Guidance on interviewing victims and witnesses, and using special measures. London: Office for Criminal Justice Reform.
- Milne, R. & Bull, R. (1999). Investigative Interviewing: Psychology and practice. Wiley: West Sussex
- Ord, B., Shaw, G., & Green, T. (2004). Investigative Interviewing Explained. Lexis Nexis Butterworths: New South Wales
- Schollum, M. (Sept 2005). Investigative Interviewing: the literature. New Zealand Police: Wellington
Purpose
This document outlines the skills required to gain complete, accurate and reliable information from investigative interviews with victims and witnesses. It develops on the foundation provided by the Investigative interviewing doctrine.
Related information More information on investigative interviewing can be found at Services/CIB Crime Service Centre/Service Units/Investigative Interviewing. Other documents in this series can be found at Intranet/Police Instructions/Police Manual/Investigations/Interviewing:
- Investigative interviewing doctrine
- Investigative interviewing suspect guide
If you have any feedback please forward any comments to:
- investigative.interviewing.unit@police.govt.nz
Introduction This document 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.
It is designed to support interviewers at all levels of the Investigative Interviewing Standards and Training framework.
Who is a witness?
Witnesses are people who have information about an alleged offence or offender. They may be an eyewitness, present at the event, or someone who can only provide peripheral information.
In these guidelines , the term 'witness'... includes... does not include...
victims (defined in section 2 Victim Rights Act 2002 as a person injured or suffering loss or harm as a result of an offence)
suspects
Special provisions for dealing with suspects are detailed in the Investigative interviewing suspect guide.
What is the purpose of interviewing witnesses?
The purpose of interviewing witnesses is to ascertain the witness's account of the alleged event(s) and any other information that would assist the investigation.
Guidelines are not prescriptive
Every witness is different. Therefore the guidelines are not in a prescriptive format that must be rigidly followed, nor should they imply that all other techniques are unacceptable. Instead, interviewers should be flexible, utilising techniques as and when you see fit depending on the interviewee, situation and circumstance.
Merely following the guidelines will not make a good interview. Interviewing is a skilled task requiring training, practice and judgement. As the interviewer, you may decide that in the interests of justice or to promote the witness's well-being the interview requires procedures different to those described.
Any decisions of this kind should be made in consultation with an NCO and, where appropriate, the prosecuting agency.
Always behave ethically when interviewing Regardless of what approach you take, you must still always behave ethically and with the ten principles of investigative interviewing in mind.
Treat all witnesses as individuals
As an investigator, interviewing witnesses is part of your everyday business. Witnesses come from a wide range of backgrounds and each presents you with different challenges. They all have different needs and concerns, and levels of involvement in the investigation (e.g. you may have a witness who is a victim of the crime 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 circumstances should always be taken into consideration.
Interviewing principles and framework
Ten principles of investigative interviewing
Ten principles provide an authoritative guide to ethical interviewing. Approach all interviews with these principles in mind and use them to actively examine your own attitudes and behaviours. 1 Interviewing is at the heart of investigation. 2 The aim of an interview is to discover the truth. 3 Information must be complete, accurate and reliable. 4 Keep an open mind. 5 Act fairly. 6 Questioning can be persistent. 7 Some witnesses require special consideration. 8 Suspects must be interviewed in accordance with the law. 9 Special care must be taken to identify suspects requiring special consideration. 10 Be sensitive to cultural background and religious beliefs.
PEACE interviewing framework
Conduct witness interviews using the PEACE interviewing framework. Step Action 1 P lanning and preparation: Review available information and establish interview aims and objectives. 2 E ngage and explain: Develop rapport and explain interview processes and procedures. 3 A ccount: Using an appropriate interview model gain an account of events and probe the account for more information. 4 C losure: Conclude the interview and address any concerns. 5 E valuation: Evaluate how the information obtained impacts on the investigation and also evaluate the performance of the interviewer.
Interview models
These three interview models are used within the PEACE framework:
- Free recall: encourages cooperative interviewees to give their own account of what happened in their own time and without interruptions.
- Conversation management: enables the interviewer to control the interview and elicit as much information as possible from a reluctant interviewee.
- Enhanced cognitive interviewing: builds on free recall using advanced techniques to assist a cooperative interviewee to recall as much high quality information as possible.
Advice
For advice on investigative interviewing related matters contact the Investigative Interviewing Unit at Police National Headquarters on extension 44662 or at investigative.interviewing@police.govt.nz.
Forms
All investigative interviewing forms are located on 'Police Forms' under 'Investigative Interviewing'.
Planning and preparing interviews Planning and preparation is one of the most important phases in effective interviewing. Always plan and prepare, no matter what type of interview is being considered, to ensure you are ready to conduct an effective and ethical interview.
What should be covered when planning and preparing for an interview?
Step Action 1 Consider these factors when planning and preparing for an interview:
- interview aims and objectives
- investigatively important topics
- witness profile: identity factors and current state
- legal requirements
- interview structure
- contingencies for interviewee reaction
- practical arrangements, 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 Complete a written interview plan where possible.
Interview aims and objectives
Develop a good understanding of the investigation and the purpose of the interview by:
- examining all available evidence - witness statements, scene examination, exhibits, and other supporting documents
- setting the aims and objectives for the interview. These should focus on the investigatively important topics that need to be covered.
Investigatively important topics
Identify topics needing to be explored for the investigation, including:
- circumstances of alleged offending including what happened:
- immediately 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 items of interest
- how the alleged offence came to the notice of police.
Witness profile: identity factors
Build up a profile of the witness by gaining as much information as possible about:
- name and preferred name (e.g. Matthew but prefers Matt)
- gender and sexuality if relevant
- age and maturity
- race (if Maori include Iwi and Hapu), culture, religion and first language
- any physical, intellectual, psychological or psychiatric impairment
- relationship of witness to the alleged offender
- domestic circumstances
- current or previous contact with public services such as previous police contact, CYFS, health professionals.
Consider the following when making a decision when to interview a witness:
- investigative factors - what are the needs of the investigation? How quickly do we need the information?
- interviewee factors - what are the needs of the interviewee? Would the interviewee benefit from delaying the interview? Involve the interviewee in the decision.
- memory factors - the longer the delay in conducting interview, the greater the room for potential memory contamination and forgetting.
If a witness is traumatised consider delaying the interview. Check with the witness as to their preference, some witnesses may want to be interviewed straight away to get it over with. Also remember some witnesses, e.g. family violence victims, may be more forthcoming with information if interviewed immediately. In such cases it is important to interview the witness as near to the event as reasonable so the investigation can be completed with urgency. Interviews with witnesses who are tired or intoxicated should only be conducted in exceptional circumstances.
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 formal setting to a police officer.
- Check equipment.
- Make sure you have ready communication aids – including pen and paper for drawing sketch plans.
- Consider implications if a support person or interpreter is required.
- Provide refreshments and tissues where appropriate.
Engage and explain
Preparing the witness for interview
First impressions do count, so the opening phase of the interview will often determine the success of the interview as a whole. The engage and explain interview phase may be immediately prior to the interview or on a separate occasion depending on the circumstances of the case. It can also take place in person or over the telephone.
Engage the witness
Establish rapport to put the witness as ease and allow for maximum remembering by:
- introducing yourself and any others present
- asking the witness what they would like to be called
- asking when is a suitable time for interview, e.g. do they have any pressing needs or commitments?
- personalising the interview, i.e. treat the witness as an individual and talk to them in a manner and language they understand
- discussing neutral topics
- communicating empathy, i.e. addressing any concerns about events, the interview and the investigation.
Maintain impartiality to establish the foundation for a relationship of trust by:
- keeping an open mind, 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 makes the interview's purpose clear but does not specify the nature of the offence
- routine(s) that will be adopted - note taking and method of recording
- the interview structure - tell them they will be asked for their account and then you may ask questions to clarify their information
Ground rules for cooperative witnesses 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 want the witness to...
Tell the witness...
Concentrate you understand:
- considerable effort and concentration is required, so they will be given time to remember and provide their account
- this may be difficult Report everything you want them to:
- give an account of all they know in as much detail as possible
- not edit their account but tell you everything that comes to mind – including all the information they are not confident about or think may be trivial or partial, information they think you already know
- take their own time and set their own pace
Account
Identifying a suitable interview model
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 most suitable model. Model Interviewee Incident Interviewer Free recall Cooperative (including witnesses requiring special consideration)
All Free recall trained
Conversation management
Difficult to interview or reluctant (including witnesses requiring special consideration)
All Conversation management trained
Enhanced cognitive interviewing
Cooperative Serious or complex Enhanced cognitive interviewing trained
Changing models during interview Witnesses can move from being cooperative to uncooperative and vice versa during interviews and you may need to change your interviewing technique as a result. Revert to free recall model where possible.
Using the free recall model
This table details the steps that should be completed when using the free recall model. Interview stage Actions Set the scene and initiate free report
- Set the scene by using non-suggestive verbal cues to guide the witnesses' memory back to the time and place of the incident.
- Initiate a free report by using an open TEDS type question. Ask the witness to give an account of everything they know about the matter under investigation.
- Allow for pauses and do not interrupt the witness. Actively listen using minimal prompts that do not go beyond the witness’s account.
- Reflect back what was said where necessary.
- Take notes of areas you wish to obtain more information about.
- If appropriate, get the witness to draw a sketch plan. Ensure the witness dates and endorses the sketch plan as it may later be referred to and used as an exhibit.
- If more detail is required go through another free report. Identify and expand witness topics
- Break down the witness's account into manageable topics.
- Systematically 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 memory when preparing a written statement.
- Repeat this process until you have covered all topics. Identify and expand investigatively important topics
- Introduce investigatively important topics not yet covered.
- Systematically 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 important topics. Summary • After the witness has provided all their information, summarise 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 minimise the risk of influencing what the witness says. Do... Explanation /example Keep questions short and simple The younger or more vulnerable the person, the shorter and more simply phrased the questions need to be. Ask questions in a language and manner the person understands
i.e. open TEDS type questions in simple language are the best for the majority of interviewees.
- Move to more specific closed questions using 5WH's + How when open questions are no longer fruitful and more detail is required
- Begin with the least explicit version of the closed question - Avoid why questions unless absolutely necessary and the question is couched in a very empathetic way - the victim may think you are blaming them and these types of questions are very difficult to answer with factual information. - The drawback of using specific closed questions is that the witness might respond with a choice without elaborating or be tempted to guess to assist or please you in the absence of a genuine memory. Thus the quality of the information gleaned tends to be poorer than information gained from open TEDS type questions. If a support person is present check with them wording or phrases you think the witness may find difficult or for which the witness may have a different meaning than commonly held
Examples:
- the term 'penis' may not be understood but the term 'dick' may.
- 'aunty' means parent's sister to most people but to others it may include a long-term female family friend. Avoid topic hopping i.e. rapidly moving from one topic to another and back again. Avoid interrupting Some witnesses may speak slowly and pause for longer. Avoid repeating questions The witness might infer their initial response was incorrect. Avoid developmentally inappropriate questions
e.g. some witnesses might find questions relating to time, date, height, length, weight, age etc difficult.
A Any reason to remember
Did the witness have any special reason for remembering the suspect? (e.g., a distinguishing feature or peculiarity, or the nature of the incident itself) T Time lapse How long has elapsed since the witness saw the suspect? E Error or material discrepancy
Are there any errors or discrepancies between descriptions given in the first and subsequent accounts of the witness? S Salience It is important to examine how salient a person is within an event scene. Were there 5 armed robbers at the scene or only 1? A person can only process so much information at one time due to limited processing capacity.
Account: notes and statements
Note taking
When conducting interviews, you face the formidable task of both actively listening and formulating questions. Notes:
- help you later to write the statement or interview summary
- can be used to brief other members of the investigation team
- are not usually discoverable as they are made 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).
If you do not take notes, you may:
- miss pieces of information
- make assumptions or misinterpret what was said
- use your own words or phrases rather than the interviewee’s.
Be aware that taking to many notes can be a distraction for the interviewee and interfere with their concentration and ability to recall information.
Notebooks
Your notebook is a record of your duties, what you did, who you spoke to, your observations, sketch plans or diagrams, initial interview notes and, if absolutely necessary, statements from interviewees.
Courts readily accept that police may refer to notes made contemporaneously or as soon as practicable after the event when giving evidence. You must record relevant details about the interview in your notebook including:
- date, time and place of the interview
- interviewee's name and contact details.
Notebook statements Only take statements in your notebook in exceptional circumstances, e.g. when it is impractical to conduct a formal interview or when the offence is minor in nature.
In these circumstances record the entries as you would a written statement. Record these in full in notebook format before the statement commences.
Job sheets
Never record interviews in job sheet format (job sheets are official records, chronologically listed, of action taken, information 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 more substantial basis
- a pre-interview has been conducted and the decision is made to refer the matter to a specialist interviewer
- they refuse to be formally interviewed but have provided investigatively important information.
Written statement
Most witness interviews result in a written statement 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 memory should the matter proceed to court
4 Complete the coversheet with all the witness's personal details. If relevant ask the witness to sign consent for police access to personal information relating to the investigation. Completing this task at the end of the interview will help prevent the de-personalisation of the interview through asking these administrative 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 information 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 more information and they have answered all investigatively important questions.
Endorsing the statement
Once you have recorded everything take these steps to endorse the statement. Step Action 1 Ask the interviewee to:
- read the statement (if this is not possible, follow procedure for witnesses not able to read)
- make 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 statement you must record the s162 Summary Proceedings Act 1957 declaration at the end of the statement:
- 'Everything in this statement is true to the best of my knowledge and belief, and I made this statement knowing that it may be admitted as evidence for the purposes of a standard committal or at a committal hearing, and that I may be prosecuted for perjury if the statement is known by me to be false and is intended by me to mislead.'
- Invite the interviewee to sign the statement with their full signature below the declaration (if they refuse to sign, note this on the statement). 3 You endorse the statement by:
- initialling and numbering the bottom of each page
- writing at the end of the statement:
- 'Statement taken and signature witnessed by:'
- adding your full signature, QID and finish time.
Witnesses not able to read and write
If 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. If 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 statement write the following declaration: 'This statement has been read to me. Everything in this statement is true to the best of my knowledge and belief, and I made this statement knowing that it may be admitted as evidence for the purposes of a standard committal or at a committal hearing, and that I may be prosecuted for perjury if the statement is known by me to be false and is intended by me to mislead.'
- Make a note about their reading ability in your notebook so you have a record if you are questioned in court.
4 The person reading the statement endorses the statement: 'I have read this statement to WITNESS'S NAME. I have asked them if they wish to make any alterations which I have done and initialled with READER'S NAME.' The reader signs off the statement and writes the time.
Difficult to interview or reluctant witnesses If the witness is difficult to interview (compliant but troublesome to interview) or reluctant (is not forthcoming with information they have that may 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 determine the success or otherwise of the interview.
Take particular care to:
- treat the witness with dignity and respect
- keep an open mind - do not assume they will be uncooperative
- be patient - it may be frustrating but the end result will make it worthwhile
- empathise with their position
- be non-judgmental - this is likely to result in further resistance.
Witness's right to decline to be interviewed 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 circumstances e.g. under the Land Transport Act 1998). This means it is the witness's right to decline to be interviewed and you cannot and must not force someone to speak with you.
Procedure when witness refuses to talk Follow this procedure if the witness initially refuses to talk to you or be formally interviewed. Step Action 1 • Spend time building rapport with the witness. This may take several sessions.
- Provide the witness with an outline of the offence(s) under investigation, and explain the potential importance of the information they may have and the processes involved with the interview. Give the witness enough information to make an informed 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. If they refuse to tell you their concerns, consider what they might be (from your planning and preparation) and address these. 3 If the witness then agrees to be interviewed, interview them as you would any other witness. If they are not forthcoming with information when using the free recall model then use the conversation management model. 4 If the witness still refuses to be interviewed but will talk with you informally about the offence, obtain as much detail as you can from them using open and, if required, closed questions. 5 If 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 summonsed 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 mind or have any queries later
- record in your notebook or on a jobsheet:
- any information they have provided about the offence
- the reasons given for refusing to be interviewed
- your opinion on why they refused.
A detailed account of what was said is vital as the witness may later give contradictory evidence or be called by the defence. Should this eventuate your record may be needed for cross examination.
Using the conversation management model
This table details the steps that should be completed when using the conversation management model with a reluctant witness who is not forthcoming with information when using the free recall model (you should already have covered the ground rules with the witness as usual). Interview stage Actions Free report • Initiate a free report using an open TEDS type question. Ask the witness to give an account of everything they know about the matter under investigation.
- Allow for pauses and do not interrupt the witness.
- Actively listen using minimal prompts that do not go beyond the witness’s account.
- Take notes of areas you wish to obtain more information about.
- If appropriate, get the witness to draw a sketch plan.
- If more detail is required go through another free report. Identify and expand witness topics
- Break down the witness's account into manageable topics.
- Systematically 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 may improve during the interview as the witness becomes used to answering questions. The witness may only initially answer closed questions but as the interview progresses become more forthcoming with information. In these circumstances, try reverting back to open TEDS type questions. This will encourage them to do more talking and save you time.
- Take notes of what is said to aid your memory when preparing a written statement.
- Repeat this process until you have covered all topics.
Giving sparing information or not telling the truth If you believe the witness is:
- being sparing with information, use probing 5Wh + How questions to elicit all the details you require
- not telling the truth, use open TEDS type questions as much as possible, Note inconsistencies and deal with them at the interview's end. Investigative important topics
- Repeat the above process covering all investigatively important topics not yet been addressed. Inconsistencies • Consider information obtained and the witness's current demeanour. If appropriate, seek an explanation for any inconsistencies.
- Alternatively, consider holding back and conducting a second interview after more enquiries have been conducted.
