“To Be Perfectly Honest”
Signs of Deception in the
Workplace
Course Description
• In today's economic climate we have
seen a significant increase of issues
that challenge the Human Resources
Departments of nearly every business.
In this session we will discuss a variety
of methods that will assist the human
resources professional in identifying
deception from the application process
to full investigations. We will show real
examples of interviews, examine body
language and analyze written
statements.
The Cart Before the Horse
Looking for
signs of
deception before
understanding
the causes.
Employee Theft
Pressure
Theft Triangle
Opportunity
Rationalization
Opportunity
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is generally provided through
weaknesses in the internal
controls. Some examples
include inadequate or no:
Supervision and review
Separation of duties
Management approval
System controls
Pressure
can be imposed due to:
• Personal financial problems
• Personal vices such as
gambling, drugs, extensive
debt, etc.
• Unrealistic deadlines and
performance goals
Rationalization
occurs when the individual develops a
justification for their fraudulent activities.
The rationalization varies by case and
individual. Some examples include:
• “I really need this money and I’ll put it
back when I get my paycheck”
• “I’d rather have the company on my
back than the IRS”
• “I just can’t afford to lose everything –
my home, car, everything”
Employee Theft
• Of the three basic reasons
employees steal, what can we
control?
• Since most thefts do not involve
the use of a specialized skill set in
order to be successful, skill is not
a factor.
• Most thefts happen in places
where the opportunity to steal is
placed in front of the employee
many, many times.
Employee Theft
• There are basically three main
indicators of internal theft.
• First, be on the lookout for a
conspicuous consumer.
• Second, be aware of employees who
show a life pattern that demonstrates
fiscal irresponsibility.
• And third, be alert for situations where
an employee is caught in a real
financial squeeze.
Employee Theft
• Think of the Four B’s
– Beer = some type of substance
addiction
– Boobs = some type of sex
addiction
– Betting = some type of
gambling addiction
– Borrowing = some type of
spending addiction
Employee Theft
• Gambling, either on or off the company
property.
• Excessive drinking or signs of other drug
abuse.
• Obvious extravagance.
• Persistent borrowing.
• Requests for advances in pay.
• Bouncing checks or writing post-dated
checks.
Employee Theft and
Other Issues
• Nothing in the
workplace is immune
Employee Theft/Issues
• The best thing that we
can do to prevent these
issues is to be aware
that they exist in the
first place!
• 10-80-10 Rule
The Two Rules
• Rule 1 - Never, ever use this
on your significant other or
other adult members of your
family.
• Rule 2 - Your children and
other children are always fair
game.
The Application
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Application fraud is a legitimate defense to an
employee’s claim of wrongful termination and
can be very helpful in obtaining a quick
resolution to a claim of wrongful termination or
discrimination in employment.
Unfortunately, the use of the employment
application is a frequently overlooked step in
the hiring process.
This critical document includes significant
information and should be used for all hires.
The application must be signed to be effective
and placed in the personnel file.
The Application
• This document should also
used in any follow up
investigation of an employee.
• There could be key
information helpful in this
process
• Reference Example
• Address Example
• Facebook
Statement Analysis
• Generally looking for areas of
separation, gaps in time, and
disassociation.
– Exercise
Interview vs.
Interrogation
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An interview is defined as; a meeting of people face to face,
a meeting in which a person is asked about their views. An
interrogation is defined as; words or actions designed to
elicit an incriminating statement, to question formally.
These are two very different actions; one is designed to
gather information while the other is designed to get the
truth from someone who doesn’t want to tell you the truth.
An interview can always become an interrogation, but an
interrogation can never become an interview.
During an interview we try to establish what the persons
views are on a subject or what type of knowledge they have
on incident. Many times we can base the truthfulness of the
subjects answers based upon on the information we already
know to be true and factual. If the subject is deceitful during
an interview we then move to the interrogation phase. The
interrogation takes our factual information and formalizes it
into questions that are designed to obtain the truth. This is
done through themes, transition phases, confrontational
statements and handling denials and objections.
The differences are simple to interview is gather information
to interrogate is to get the truth.
Legal Issues
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There are numerous legal issues surrounding
the use of interrogation as a means to obtain
the truth by law enforcement personnel.
Fortunately for private citizens there is currently
little or no case law that prevents us from this
activity. As with anything else, good judgment
and discretion are essential when conducting
any interview or interrogation. Before you begin
conducting any interviews and interrogations it
is always a good business decision to consult
with legal counsel to make sure you are
operating within the framework established by
your company.
Miranda and Private
Citizens
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Private citizens are not required to Mirandize a
suspect even if there is custody and
interrogation. However, you should tread very
lightly in this area and be sure of the
circumstances surrounding the arrest. Some
factors to consider are:
Were you directed to arrest the suspect by a
member of Law Enforcement? This act places
you under State Action and your acting on
behalf of the Agency or State it represents.
Do you have a provision within your State Law
that states you have the right to detain a person
suspected of crime within your casino for the
purposes of notifying law enforcement?
Either one of these situations could place you
and your company at risk and it is best that you
avoid interrogation altogether.
Suggested Guidelines
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Never promise anything! The suggestion of someone
confessing to something they didn’t do just so they
keep their job or stay out of jail is too compelling.
Never threaten physical injury! This tactic, while
popular in the movies, is just plain stupid.
Never force an employee to remain in the room that
the interrogation is being conducted!
Do your homework! Investigate the suspects
background, know what their job is, understand the
case and the crime or incident that was committed.
Union employees – Always provide a witness for a
union employee, unless they specifically request that
one not be provided. Get it in writing!
Never interrogate if law enforcement has already
been notified or are present! This is not attempt to
conceal anything, it is just good practice. It prevents
anyone from saying you were acting on behalf of law
enforcement.
What is State Action
• State Action is an action that is either
taken directly by the state or bears a
sufficient connection to the state to be
attributed to it
Note: State actions are subject to
judicial scrutiny for violations of the
rights to due process and equal
protection guaranteed under the
Fourteenth Amendment to the U.S.
Constitution. Such an action may be the
subject of a claim brought under federal
law (as section 1983) by one alleging a
violation of constitutional rights,
privileges, or immunities. (Merriam
Webster Law Dictionary 1996)
Employee
Interrogations
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Generally, employers can question workers in an effort to discover
illegal acts provided questioning is conducted during normal
business hours or scheduled in advance, there are no threats or
coercion forcing the employee to remain in the room, and the
questioning serves a legitimate, reasonable purpose.
However, employees may have rights during these interviews. These
include:
The right to receive an explanation regarding the purpose of the
interrogation (i.e., is the person a suspect?);
The right to insist on the presence of a representative at the
interview (particularly if the worker is a union member and has
reason to suspect it may result in disciplinary action);
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The right to limit questions to relevant matters;
The right to refuse to sign any written statements;
The right to remain silent;
The right to consult a lawyer before speaking; and
The right to leave the room at any time.
All of the above points must be carefully considered before accusing
a worker in an interrogation. You are not obligated to advise the
employee of these rights, but you are obligated to comply with these
requests if made. You may also terminate the interview at anytime. If
a company conducts the interrogation incorrectly, grave legal
consequences may ensue.
Do’s & Don’ts for Investigating
Employee Misconduct
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Employee guidelines, such as the following, should be used so that
employers conduct thorough investigations of an employee's
misconduct and avoid lawsuits for defamation and invasion of
privacy:
Do ascertain whether legal counsel should be involved, especially if
the employee's termination may be challenged.
Do conduct a complete investigation.
Do obtain corroborating statements from other employees.
Do allow the employee to give an explanation of the events.
Do conduct a prompt interrogation.
Do obtain a signed admission of improper conduct from the
employee (if possible).
Do advise your other employees that you are not at liberty to
disclose the reason for the employee's discipline or dismissal.
Do not threaten your employees with prosecution or loss of their
jobs.
Do not touch your employees or make threatening gestures while
you are questioning them.
Do not restrain your employees from leaving the room while
interrogating them.
Do not ask employees about private matters unrelated to their
misconduct.
Do not give false or inaccurate reasons for termination.
The Art of Interrogation
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We are deterred from wrong doing by
punishment. In our society there is an emphasis
placed on telling the truth. Guilt is the
unresolved need for punishment. This
internalized pain can become intolerable,
therefore some people confess to relieve the
feeling of guilt.
People confess for all types of reasons from
revenge to low self-esteem. Since the
motivation for the act and the subsequent
confession may be beyond the conscious level
of the suspect, it is up to the investigator to
provide the stimulus needed to give the suspect
an acceptable solution to their current situation.
This is the Art of Interrogation.
Preparation
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Analysis of the case facts will tell the investigator
what type of situation they are dealing with. By
reviewing the entire case you will have a clear
understanding of the circumstances surrounding the
event. This will make it easier to overcome any
denials the suspect may have and give you the ability
to recognize an attempt by the suspect to throw you
off the focus of the investigation. Some preparation
steps to consider are:
Review report and all other documentation
Interview witnesses or re-interview witnesses if
necessary
Review any videotape of the incident
Conduct a background on the suspect, if possible, or
review the suspects work history
Write out pre-interview and non-threatening
questions.
Bring notepad and pen
Proxemics
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Proxemics is the spatial relationship between the
interviewer and the suspect. This relationship is
important to understand especially when you are in
an interview setting. Knowing when to use to take
advantage of this relationship may help you in
obtaining the confession. How do we use proxemics
in the interview setting?
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Intimate Zone 0-18 inches
Personal Zone 1.5-4 feet
Social Zone 4-7 feet
Public Zone 7-25 feet
Knowing when to enter a zone can increase or
decrease stress.
The intimate zone is reserved for family and close
friends.
Entering the intimate zone, uninvited, causes stress.
An investigator can increase or decrease stress by
entering and exiting this zone.
After rapport is built the investigator may be allowed
to enter the intimate zone and obtain the confession.
Interview Room
Design
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The design of the interview room is crucial to creating
an environment that is conducive to obtaining the
confession. Consider the following items:
Location of interview room. Is it in a location that is
away from public view?
Interview room interior. Is the room sterile? Pictures,
certificates and other items are a distraction and
cause people to drift away from the focus of the
interview.
Video and audio recording capabilities. Recording
interviews and interrogations serves as a witness to
the activity in the room and helps protect you and the
suspect. There should be a sign that states the room
is being audio and video recorded.
Chair for the suspect. The suspects’ chair should be
simple straight back with no arms and non-movable.
Chair for investigator. The chair for the investigator
should be comfortable and movable.
Barriers. Barriers such as desks and other items
should never be placed between you and the
suspect.
Analysis Tip
• No single verbal or non-verbal
behavior, standing alone, proves
anything. It is the clusters of these
signals that tell us when the
suspect is under stress and that
may be an indication of deception.
It is during these events that you
must recognize the clusters and
work back to obtain the
confession.
General Principles
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Non-verbal behavior is more reliable than verbal behavior. It
is an uncontrolled reaction to stress. Exception: Suspects
who are aware of behavior symptoms.
Non-verbal behavior is responsible for more than 50% of
communication.
The meaning of verbal communication is supported or
contradicted by the non-verbal behavior. Example: The
suspect is telling you that they are innocent but their nonverbal communication indicates deception.
The behavior of the interviewer has an impact on the
behavior of the suspect.
Proxemics
Eye Contact
Tone of Voice
Posture
Behavior symptoms become more revealing as anxiety in
the suspect increases.
Stress creates observable behavior.
The behavioral analysis interview is designed to create
stress in the guilty suspect.
Factors that Influence
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Seriousness of the offense and its importance to the
suspect. Example: An employee who embezzled $5,000.00
may exhibit more deceptive behavior than an employee who
took a can of soda without paying for it.
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The suspects level of social responsibility. Examples: Status
in the community or adverse reaction by family.
Intelligence of the suspect.
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Fear of consequences is usually the primary factor that
influences behavior symptoms. Exceptions: Psychopaths have
no fear of consequences. Suspects who believe they have
nothing to lose.
The more intelligent, the more reliable their non-verbal
behavior.
An intelligent suspect may know the consequences of their
actions.
They may anticipate stressful questions, creating observable
non-verbal behavior.
Suspect may be trained in body language.
Less intelligent suspects may have less stress.
Emotional stability-Is the suspect experiencing stress
unrelated to the investigation. Determine this prior to
interview.
Cultural differences-Some cultures show respect by
appearing submissive or not making eye contact.
Evaluation of Behavior
Symptoms
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Look for a change in the suspects’ normal
behavior. Create a “control” behavior in a nonstress background interview.
Check non-verbal behavior for timing and
consistency.
Are gross body movements occurring during
stressful questions?
Do these movements occur after most of these
questions?
Evaluate the suspects’ truthfulness or deception
based on clusters of behavior symptoms.
Don’t rely on one symptom.
Evaluate the totality of the symptoms.
Analysis of Non-Verbal
Behavior
 Truthful
Attitudes
 Composed
 Concerned
 Direct and
Spontaneous
 Open
 Unyielding
 Sincere
 Untruthful
Attitudes
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Overly anxious
Unconcerned
Defensive
Evasive
Acceptant or
Apologetic
 Overly polite
 Complaining
 Rationalizing
Body Postures
 Truthful Body
Postures
 Upright, but not
rigid
 Frontally aligned
 Leans forward with
attentive interest
 More relaxed and
casual
– Smooth changes of
posture
 Untruthful
Body Postures
 Slouches in chair
 Unnaturally rigid
and immobile
 Lack of frontal
alignment
 Retreats or hides
behind barriers
 Erratic and rapid
posture changes
 Runners position
Gross Body
Movements
 Truthful
Gross Body
Movements
 Generally does
not engage in
gross body
movement as
they answer
relevant or
stressful
questions.
 Untruthful
Gross Body
Movements
 Generally engages
in gross body
movements when
answering relevant
or stressful
questions,
including moving
the chair away
from the
interviewer and
attempting to stand
up and leave.
Grooming Gestures
 Truthful
Grooming
Gestures
 Generally does
not engage in
grooming
gestures as they
answer relevant
or stressful
questions.
 Untruthful
Grooming
Gestures
 Generally engages
in gross body
movements when
answering relevant
or stressful
questions. They
are designed to
reduce tension and
are inappropriate
behavior for an
interview or
interrogation.
Eye Contact
 Truthful Eye
Contact
– Generally they will
look at the
interviewer when
they answer a
question. Normal
eye contact is held
30% to 60% of the
time between 2
people.
 Untruthful Eye
Contact
– Generally they will
not look directly at
the interviewer
when they answer
a question. They
may also display
extreme eye
contact such as
staring.
Gestures & Movements
Indicative of Deception
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Retreating of the suspect
Attempts to stand up or leave
Winding of watch or jewelry
Dusting, brushing, lint picking and thread pulling
Adjusting or cleaning of glasses
Adjustment of clothing or accessories
Rubbing and wringing of hands
Scratching, stroking, picking, pinching, etc.
Hair straightening, pulling, twirling, etc.
Clearing of throat, coughing, sniffing, etc.
Sighs and yawns, stops breathing during stress
questions
Nail inspection, biting
Nose, ear picking
Leg bouncing and feet tapping
Supportive & Protective
Gestures of Deceptive
• Head or chin on hand, head
slump
• Crossing of arms, legs,
ankles are barriers
• Hiding of mouth or eyes
• Gestures toward their body
Truthful Verbal
Behavior
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Deny in general
Use realistic or harsh words
Direct spontaneous answers
Stay on topic
Do not qualify answers
Are unyielding with denials
Use clipped word endings
Express sincere anger at accusation
Untruthful Verbal
Behavior
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Deny specifically
Avoid realistic and harsh words
Delayed and evasive answers
Talk off subject
Often qualify answers. Examples: it’s possible, maybe, I’m
not sure
May have mental blocks
Support their answers with religion or oaths
Overly polite
Difficult to anger
May offer excuses or justifications to support their claim of
innocence
More likely to question or challenge facts
Answers questions too quickly
May have memory failure or too good of a memory
Repeats the questions before they answer
May feign anger initially but lessens as the interview goes
on
Behavior Analysis
Interview
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A behavior analysis interview is a structured set
of questions which are designed to elicit verbal
and non-verbal behavior symptoms indicative of
truth or deception. General Guidelines
Preparation
Determine if there are any legal issues.
Each question should specifically address the
issue under investigation.
Questions should be asked in a non-accusatory
manner or rapport building manner.
Observe and evaluate the suspects behavioral
reaction stimulated by the questions.
Truthful
Deceptive
Unable to determine
Confrontation Interview
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The confrontation interview, better known as an
interrogation, is proven to be successful in situations
where the guilt of the suspect is fairly certain. It is
employed after completion of the behavior analysis
questions. It operates on the principle of “You did it.
We know you did it. We have overwhelming evidence
to prove you did it. But the reason makes a
difference. So why don’t you tell me about it.”
Remember, you will not interview everyone the same
way and your style and use of these techniques will
vary from suspect to suspect.
Components to the Confrontation Interview
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Psychological Dominance
The Confrontation Statement
The Transitional Phase
Theme Development
Handling Denials
Overcoming Objections
Negative Alternative Questions
The Confrontation
Statement
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The confrontation statement assures the
suspect that there is no doubt in your mind that
they are guilty. This will tend to shake his
composure and weaken his alibi or denial,
placing him at a disadvantage.
Begin the confrontation statement with an actual
or improvised fact synopsis.
– Example: “Based upon an extensive investigation
that we have conducted, including many
interviews, background information and tape
reviews, there is no doubt in our minds that you
took the money from the main bank.”
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Don’t use emotion packed or legalistic words at
this point. These words cause the suspect to
clam up and manifest moral degradation and
legal consequences.
– Examples: Rob, Burglarize, Stole
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Use less threatening words or phrases.
– Examples: Took the money, Hit, Used
The Transitional Phase
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The transitional phase lessens the impact and
shock of the confrontation statement and
provides a smooth medium to introduce the
themes that you plan to use.
It avoids awkwardness but does not
immediately soften the impact of the
confrontation statement.
Example: “I’ve investigated enough of these
cases to know that there is usually more than
one side to the story in these situations. As a
matter of fact, I recently handled a situation very
similar to this. A guy from the slot
department……” (theme introduction).
Theme Development
• A theme is a psychological, social
or moral excuse for the crime, but
not a legal one.
• It is designed to make it easier for
the suspect to confess by allowing
him to save face or justify the
crime in his own mind.
• The type of theme you will use will
depend on the type of crime that
was committed and the type of
suspect you have.
Theme Examples
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Sympathy Example: “Life’s been hard on you. You
have a family to support. Anyone under your
circumstance would have done the same thing.”
Pride Examples: “It takes a lot of guts to do what you
did in front of all those people. In all the years I’ve
been doing this I have never seen a better plan.”
Blame Transference Examples: “If they paid you
guys a decent salary you wouldn’t have taken the
money to begin with. I don’t know how they expect
anyone to make their bills every month with
everything going on I don’t blame you for taking the
money.”
Less Reprehensible Motive Example: Theft-“The
money was just sitting there and nobody bothered to
count it. You are always doing everybody else’s job
so why get a little extra for yourself.”
Minimize Moral Seriousness of the Crime Example:
Theft-“This company makes a lot of money, so what
you took a few bucks, its not like your out on the
street knocking little old ladies over the head and
taking their purses.”
Handling Denials
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Expect the suspect to deny the crime. Remember that an
alibi is a denial.
Allow the suspect to deny the crime or give his alibi, once
only. This will allow you to attack his alibi with actual or
improvised evidence. It also allows you another chance to
analyze his behavior.
Don’t allow the suspect to deny the crime or recite his alibi
again. Repeated denials gives the suspect a psychological
boost and makes him very reluctant to tell the truth after so
many lies.
Prevent repeated denials with verbal and non-verbal
communication. Examples: “Wait Bill, you’re not listening to
me. We both can’t talk at the same time.” Turn away from
the suspect or place your hand in front of your face.
Return to your themes.
Continue to stop denials throughout the interview.
Types of Denials
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Evasive Denial Example: “Why would you think that.”
Qualified Denial Example: “On my mothers grave, I couldn’t do
that.”
Delaying Tactic Example: “Who me?”
Phony Surprise Example: “What! I can’t believe this is
happening.”
Even a strong initial denial or alibi from a suspect will
change to an objection if handled properly. Continue to reintroduce themes.
Overcoming
Objections
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An objection doesn’t deny the accusation but attempts to
give an excuse why the accusation could not be true.
A suspect who moves from denials to objections is
weakening.
Forms of Objections
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“I couldn’t do that. I like my job.”
“I wasn’t brought up that way.”
“I don’t have to take any money. I make enough to get by.”
Utilize the objection to re-introduce your theme.
Examples: Objection-“I couldn’t do that. I like my job.”
Answer-“I believe you like your job, Bill. That’s why I think
this was a spur of the moment thing. Right, Bill." Objection“I wasn’t brought up that way.” Answer-“I know that Bill, I’ve
checked your background. That’s why I think this was a
situation where you made a mistake. It was a mistake right
Bill.” Objection-“I don’t have to take any money. I make
enough to get by.” Answer-“I understand that you make
enough money to get by Bill. But I also understand that
getting by sometimes isn’t enough. Handling all that money
is a tough job and nobody appreciates your hard work. The
money hadn’t been counted yet and just seemed like a
good idea at the time right Bill.”
Negative/Alternative
Questions
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Once the suspect weakens and moves to objections,
negative alternative questions may be useful in breaking his
final resistance.
Negative alternative questions are those that present 2
choices:
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One socially or morally acceptable.
One socially unacceptable.
An affirmative answer to either is equally incriminating.
The idea is to get the suspect to except what he did by
allowing him to save face. Negative alternative questions
make it easier for the suspect to confess. Once they bite on
a negative alternative question admissions or confession
should follow.
Negative/Alternative Question Examples
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“Did you plan to take the money when you came to work or was
it a spur of the moment kind of thing?”
“Did you go out looking for a fight or were you a victim of
circumstance?”
“Was this whole thing an elaborate scheme to take money from
the casino or were you trying to prove a point?”
“Was it your idea to falsify these jackpots or did Mike talk you
into it?”
The Confession
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Once the confession has been obtained, it is now necessary
to address intent, premeditation and diminished capacity. It
is also necessary to clarify any issues that may been raised
during the interview.
Begin with a statement of encouragement. Example:
“You’ve done real well Bill. That took a lot of courage.
Let the suspect know that you don’t believe his full story
and/or you need to clarify some points.
Expand and get all the facts.
Eliminate mistakes and other soft words.
Introduce realistic words.
Go over the suspects verbal statement and clarify.
Obtain a written confession as a backup to the audio
recording and as actual evidence of the confession.
Review the confession for accuracy and confirm what the
suspect said in the interview.
Have the suspect make the necessary changes to the
written confession.
Conclusion
• Interview and interrogation is not for
everyone. It is very draining and time
consuming and should be conducted
with the highest level of integrity and
commonsense. If you find yourself in a
situation that is uncomfortable or you
don’t feel prepared, it is best that you
re-schedule the interview for a later
date or time or have any investigator
conduct the interview. This will prevent
you from making mistakes that could be
costly to your organization.