X. Interrogator's Check List
The questions that follow are intended as reminders for the interrogator and his superiors.
1. Have local (federal or other) laws affecting KUBARK's conduct of a unilateral or joint interrogation been compiled and learned?
2. If the interrogatee is to be held, how long may he be legally detained?
3. Are interrogations conducted by other ODYOKE departments and agencies with foreign counterintelligence responsibilities being coordinated with KUBARK if subject to the provisions of Chief/KUBARK Directive [one-word deletion] or Chief/KUBARK Directive [one-word deletion] ? Has a planned KUBARK interrogation subject to the same provisions been appropriately coordinated?
4. Have applicable KUBARK regulations and directives been observed? These include [approx. 1/2 line deleted], the related Chief/KUBARK Directives, [approx. 1/2 line deleted] pertinent [one or two words deleted], and the provisions governing duress which appear in various paragraphs of this handbook.
5. Is the prospective interrogatee a PBPRIME citizen? If so, have the added considerations listed on various paragraphs been duly noted?
6. Does the interrogators selected for the task meet the four criteria of (a) adequate training and experience, (b) genuine familiarity with the language to be used, (c) knowledge of the geographical/cultural area concerned, and (d) psychological comprehension of the interrogatee?
7. Has the prospective interrogatee been screened? What are his major psychological characteristics? Does he belong to one of the nine major categories listed in pp. 19-28? Which?
8. Has all available and pertinent information about the subject been assembled and studied?
9. Is the source [approx. 2/3 line deleted], or will questioning be completed elsewhere? If at a base or station, will the interrogator, interrogatee, and facilities be available for the time estimated as necessary to the completion of the process? If he is to be sent to a center, has the approval of the center or of Headquarters been obtained?
10. Have all appropriate documents carried by the prospective interrogatee been subjected to technical analysis?
11. Has a check of logical overt sources been conducted? Is the interrogation necessary?
12. Have field and headquarters traces been run on the potential interrogatee and persons closely associated with him by emotional, family, or business ties?
13. Has a preliminary assessment of bona fides been carried out? With what results?
14. If an admission of prior association with one or more foreign intelligence services or Communist parties or fronts has been obtained, have full particulars been acquired and reported?
15. Has LCFLUTTER been administered? As early as practicable? More than once? When?
16. Is it estimated that the prospective interrogatee is likely to prove cooperative or recalcitrant? If resistance is expected, what is its anticipated source: fear, patriotism, personal considerations, political convictions, stubbornness, other?
17. What is the purpose of the interrogation?
18. Has an interrogation plan been prepared?
19. [approx. 5 lines deleted]
20. Is an appropriate setting for interrogation available?
21. Will the interrogation sessions be recorded? Is the equipment available? Installed?
22. Have arrangements been made to feed, bed, and guard the subject as necessary?
23. Does the interrogation plan call for more than one interrogator? If so, have roles been assigned and schedules prepared?
24. Is the interrogational environment fully subject to the interrogator's manipulation and control?
25. What disposition is planned for the interrogatee after the questioning ends?
26. Is it possible, early in the questioning, to determine the subject's personal response to the interrogator or interrogators? What is the interrogator's reaction to the subject? Is there an emotional reaction strong enough to distort results? If so, can the interrogator be replaced?
27. If the source is resistant, will noncoercive or coercive techniques be used? What is the reason for the choice?
28. Has the subject been interrogated earlier? Is he sophisticated about interrogation techniques?
29. Does the impression made by the interrogatee during the opening phase of the interrogation confirm or conflict with the preliminary assessment formed before interrogation started? If there are significant differences, what are they and how do they affect the plan for the remainder of the questioning?
30. During the opening phase, have the subject's voice, eyes, mouth, gestures, silences, or other visible clues suggested areas of sensitivity? If so, on what topics?
31. Has rapport been established during the opening phase?
32. Has the opening phase been followed by a reconnaissance? What are the key areas of resistance? What tactics and how much pressure will be required to overcome the resistance? Should the estimated duration of interrogation be revised? If so, are further arrangements necessary for continued detention, liaison support, guarding, or other purposes?
33. In the view of the interrogator, what is the emotional reaction of the subject to the interrogator? Why?
34. Are interrogation reports being prepared after each session, from notes or tapes?
35. What disposition of the interrogatee is to be made after questioning ends? If the subject is suspected of being a hostile agent and if interrogation has not produced confession, what measures will be taken to ensure that he is not left to operate as before, unhindered and unchecked?
36. Are any promises made to the interrogatee unfulfilled when questioning ends? Is the subject vengeful? Likely to try to strike back? How?
37. If one or more of the non-coercive techniques discussed on pp. 52-81 have been selected for use, how do they match the subject's personality?
38. Are coercive techniques to be employed? If so, have all field personnel in the interrogator's direct chain of command been notified? Have they approved?
39. Has prior Headquarters permission been obtained?
40. [approx. 4 lines deleted]
41. As above, for confinement. If the interrogates is to be confined, can KUBARK control his environment fully? Can the normal routines be disrupted for interrogation purposes?
42. Is solitary confinement to be used? Why? Does the place of confinement permit the practical elimination of sensory stimuli?
43. Are threats to be employed? As part of a plan? Has the nature of the threat been matched to that of the interrogatee?
44. If hypnosis or drugs are thought necessary, has Headquarters been given enough advance notice? Has adequate allowance been made for travel time and other preliminaries?
45. Is the interrogatee suspected of malingering? If the interrogator is uncertain, are the services of an expert available?
46. At the conclusion of the interrogation, has a comprehensive summary report been prepared?
47. [approx. 4 lines deleted]
48. [approx. 4 lines deleted]
49. Was the interrogation a success? Why?
50. A failure? Why?
XI. Descriptive Bibliography
This bibliography is selective; most of the books and articles consulted during the preparation of this study have not been included here. Those that have no real bearing on the counterintelligence interrogation of resistant sources have been left out. Also omitted are some sources considered elementary, inferior, or unsound. It is not claimed that what remains is comprehensive as well as selective, for the number of published works having some relevance even to the restricted subject is over a thousand. But it is believed that all the items listed here merit reading by KUBARK personnel concerned with interrogation.
1. Anonymous [approx. 1/3 line deleted], Interrogation , undated. This paper is a one-hour lecture on the subject. It is thoughtful, forthright, and based on extensive experience. It deals only with interrogation following arrest and detention. Because the scope is nevertheless broad, the discussion is brisk but necessarily less than profound.
2. Barioux, Max, "A Method for the Selection, Training, and Evaluation of Interviewers," Public Opinion Quarterly , Spring 1952, Vol. 16, No. 1. This article deals with the problems of interviewers conducting public opinion polls. It is of only slight value for interrogators, although it does suggest pitfalls produced by asking questions that suggest their own answers.
3. Biderman, Albert D., A Study for Development of Improved Interrogation Techniques : Study SR 177-D (U), Secret, final report of Contract AS 18 (600) 1797, Bureau of Social Science Research Inc., Washington, D. C., March 1959. Although this book (207 pages of text) is principally concerned with lessons derived from the interrogation of American POW's by Communist services and with the problem of resisting interrogation, it also deals with the interrogation of resistant subjects. It has the added advantage of incorporating the findings and views of a number of scholars and specialists in subjects closely related to interrogation. As the frequency of citation indicates, this book was one of the most useful works consulted; few KUBARK interrogators would fail to profit from reading it. It also contains a descriminating but undescribed bibliography of 343 items.
4. Biderman, Albert D., "Communist Attempts to Elicit False Confession from Air Force Prisoners of War", Bulletin of the New York Academy of Medicine , September 1957, Vol. 33. An excellent analysis of the psychological pressures applied by Chinese Communists to American POW's to extract "confessions" for propaganda purposes.
5. Biderman, Albert D., "Communist Techniques of Coercive Interrogation", Air Intelligence , July 1955, Vol. 8, No. 7. This short article does not discuss details. Its subject is closely related to that of item 4 above; but the focus is on interrogation rather than the elicitation of "confessions".
6. Biderman, Albert D., "Social Psychological Needs and 'Involuntary' Behavior as Illustrated by Compliance in Interrogation", Sociometry , June 1960, Vol. 23. This interesting article is directly relevant. It provides a useful insight into the interaction between interrogator and interrogatee. It should be compared with Melton W. Horowitz's "Psychology of Confession" (see below).
7. Biderman, Albert D. and Herbert Zimmer, The Manipulation of Human Behavior , John Wiley and Sons Inc., New York and London, 1961. This book of 304 pages consists of an introduction by the editors and seven chapters by the following specialists: Dr. Lawrence E. Hinkle Jr., "The Physiological State of the Interrogation Subject as it Affects Brain Function"; Dr. Philip E. Kubzansky, "The Effects of Reduced Environmental Stimulation on Human Behavior: A Review"; Dr. Louis A. Gottschalk, "The Use of Drugs in Interrogation"; Dr. R. C. Davis, "Physiological Responses as a Means of Evaluating Information" (this chapter deals with the polygraph); Dr. Martin T. Orne, "The Potential Uses of Hypnosis In Interrogation"; Drs. Robert R. Blake and Jane S. Mouton, "The Experimental Investigation of Interpersonal Influence"; and Dr. Malcolm L. Meltzer, "Countermanipulation through Malingering." Despite the editors preliminary announcement that the book has "a particular frame of reference; the interrogation of an unwilling subject", the stress is on the listed psychological specialties; and interrogation gets comparitively short shrift. Nevertheless, the KUBARK interrogator should read this book, especially the chapters by Drs. Orne and Meltzer. He will find that the book is by scientists for scientists and that the contributions consistently demonstrate too theoretical an understanding of interrogation per se. He will also find that practically no valid experimentation the results of which were unclassified and available to the authors has been conducted under interrogation conditions. Conclusions are suggested, almost invariably, on a basis of extrapolation. But the book does contain much useful information, as frequent references in this study show. The combined bibliographies contain a total of 771 items.
8. [approx. 14 lines deleted]
10. [approx. 9 lines deleted]
11. [approx. 3 lines deleted]
[approx. 3 lines deleted]
12. [approx. 9 lines deleted]
13. Gill, Merton, Inc., and Margaret Brenman, Hypnosis and Related States: Psychoanalytic Studies in Regression , International Universities Press Inc., New York, 1959. This book is a scholarly and comprehensive examination of hypnosis. The approach is basically Freudian but the authors are neither narrow nor doctrinaire. The book discusses the induction of hypnosis, the hypnotic state, theories of induction and of the hypnotic condition, the concept of regression as a basic element in hypnosis, relationships between hypnosis and drugs, sleep, fugue, etc., and the use of hypnosis in psychotherapy. Interrogators may find the comparison between hypnosis and "brainwashing" in chapter 9 more relevant than other parts. The book is recommended, however, not because it contains any discussion of the employment of hypnosis in interrogation (it does not) but because it provides the interrogator with sound information about what hypnosis can and cannot do.
14. Hinkle, Lawrence E. Jr. and Harold G. Wolff, "Communist Interrogation and Indoctrination of Enemies of the State", AMA Archives of Neurology and Psychiatry , August 1956, Vol. 76, No. 2. This article summarizes the physiological and psychological reactions of American prisoners to Communist detention and interrogation. It merits reading but not study, chiefly because of the vast differences between Communist interrogation of American POW's and KUBARK interrogation of known or suspected personnel of Communist services or parties.
15. Horowitz, Milton W., "Psychology of Confession." Journal of Criminal Law, Criminology, and Police Science , July-August 1956, Vol. 47. The author lists the following principles of confession: (1) the subject feels accused; (2) he is confronted by authority wielding power greater than his own; (3) he believes that evidence damaging to him is available to or possessed by the authority; (4) the accused is cut off from friendly support; (5) self-hostility is generated; and (6) confession to authority promises relief. Although the article is essentially a speculation rather than a report of verified facts, it merits close reading.
16. Inbau, Fred E. and John E. Reid, Lie Detection and Criminal Investigation , Williams and Wilkin Co., 1953. The first part of this book consists of a discussion of the polygraph. It will be more useful to the KUBARK interrogator than the second, which deals with the elements of criminal interrogation.
17. KHOKHLOV, Nicolai, In the Name of Conscience , David McKay Co., New York, 1959. This entry is included chiefly because of the cited quotation. It does provide, however, some interesting insights into the attitudes of an interrogatee.
18. KUBARK, Communist Control Methods , Appendix 1: "The Use of Scientific Design and Guidance Drugs and Hypnosis in Communist Interrogation and Indoctrination Procedures." Secret, no date. The appendix reports a study of whether Communist interrogation methods included such aids as hypnosis and drugs. Although experimentation in these areas is, of course, conducted in Communist countries, the study found no evidence that such methods are used in Communist interrogations -- or that they would be necessary.
19. KUBARK (KUSODA), Communist Control Techniques , Secret, 2 April 1956. This study is an analysis of the methods used by Communist State police in the arrest, interrogation, and indoctrination of persons regarded as enemies of the state. This paper, like others which deal with Communist interrogation techniques, may be useful to any KUBARK interrogator charged with questioning a former member of an Orbit intelligence or security service but does not deal with interrogation conducted without police powers.
20. KUBARK, Hostile Control and Interrogation Techniques , Secret, undated. This paper consists of 28 pages and two annexes. It provides counsel to KUBARK personnel on how to resist interrogation conducted by a hostile service. Although it includes advice on resistance, it does not present any new information about the theories or practices of interrogation.
21. [approx. 15 lines deleted]
23. Laycock, Keith, "Handwriting Analysis as an Assessment Aid," Studies in Intelligence, Summer 1959, Vol. 3, No. 3. A defense of graphology by an "educated amateur." Although the article is interesting, it does not present tested evidence that the analysis of a subject's handwriting would be a useful aid to an interrogator. Recommended, nevertheless, for interrogators unfamiliar with the subject.
24. Lefton, Robert Jay, "Chinese Communist 'Thought Reform.': Confession and Reeducation of Western Civilians," Bulletin of the New York Academy of Medicine , September 1957, Vol. 33. A sound article about Chicom brainwashing techniques. The information was compiled from first-hand interviews with prisoners who had been subjected to the process. Recommended as background reading.
25. Levenson, Bernard and Lee Wiggins, A Guide for Intelligence Interviewing of Voluntary Foreign Sources , Official Use Only, Officer Education Research Laboratory, ARDC, Maxwell Air Force Base (Technical Memorandum OERL-TM-54-4.) A good, though generalized, treatise on interviewing techniques. As the title shows, the subject is different from that of the present study.
26. Lilly, John C., "Mental Effects of Reduction of Ordinary Levels of Physical Stimuli on Intact Healthy Persons." Psychological Research Report #5 , American Psychiatric Association, 1956. After presenting a short summary of a few autobiographical accounts written about relative isolation at sea (in small boats) or polar regions, the author describes two experiments designed to mask or drastically reduce most sensory stimulation. The effect was to speed up the results of the more usual sort of isolation (for example, solitary confinement). Delusions and hallucinations, preceded by other symptoms, appeared after short periods. The author does not discuss the possible relevance of his findings to interrogation.
27. Meerlo, Joost A.M., The Rape of the Mind , World Publishing Co., Cleveland, 1956. This book's primary value for the interrogator is that it will make him aware of a number of elements in the responses of an interrogatee which are not directly related to the questions asked or the interrogation setting but are instead the product of (or are at least influenced by) all questioning that the subject has undergone earlier, especially as a child. For many interrogatees the interrogator becomes, for better or worse, the parent or authority symbol. Whether the subject is submissive or belligerent may be determined in part by his childhood relationships with his parents. Because the same forces are at work in the interrogator, the interrogation may be chiefly a cover for a deeper layer of exchange or conflict between the two. For the interrogator a primary value of this book (and of much related psychological and psychoanalytic work) is that it may give him a deeper insight into himself.
28. Moloney, James Clark, "Psychic Self-Abandon and Extortion of Confessions," International Journal of Psychoanalysis , January/February 1955, Vol. 36. This short article relates the psychological release obtained through confession (i. e., the sense of well-being following surrender as a solution to an otherwise unsolvable conflict) with religious experience generally and some ten Buddhistic practices particularly. The interrogator will find little here that is not more helpfully discussed in other sources, including Gill and Brenman's Hypnosis and Related States . Marginal.
29. Oatis, William N. "Why I Confessed," Life , 21 September 1953, Vol. 35. Of some marginal value because it combines the writer's profession of innocence ("I am not a spy and never was") with an account of how he was brought to "confess" to espionage within three days of his arrest. Although Oatis was periodically deprived of sleep (once for 42 hours) and forced to stand until weary, the Czechs obtained the "confessions" without torture or starvation and without sophisticated techniques.
30. Rundquist, E.A., "The Assessment of Graphology, " Studies in Intelligence , Secret, Summer 1959, Vol. 3, No. 3. The author concludes that scientific testing of graphology is needed to permit an objective assessment of the claims made in its behalf. This article should be read in conjunction with No. 23, above.
31. Schachter, Stanley, The Psychology of Affiliation: Experimental Studies of the Sources of Gregariousness , Stanford University Press, Stanford, California, 1959. A report of 133 pages, chiefly concerned with experiments and statistical analyses performed at the University of Minnesota by Dr. Schachter and colleagues. The principal findings concern relationships among anxiety, strength of affiliative tendencies, and the ordinal position (i.e., rank in birth sequence among siblings). Some tentative conclusions of significance for interrogators are reached, the following among them:
a. "One of the consequences of isolation appears to be a psychological state which in its extreme form resembles a full-blown anxiety attack." (p. 12.)
b. Anxiety increases the desire to be with others who share the same fear.
c. Persons who are first-born or only children are typically more nervous or afraid than those born later. Firstborns and onlies are also "considerably less willing or able to withstand pain than are later-born children." (p. 49.) In brief, this book presents hypotheses of interest to interrogators but much further research is needed to test validity and applicability.
32. Sheehan, Robert, Police Interview and Interrogations and the Preparation and Signing of Statements . A 23-page pamphlet, unclassified and undated, that discusses some techniques and tricks that can be used in counterintelligence interrogation. The style is sprightly, but most of the material is only slightly related to KUBARK's interrogation problems. Recommended as background reading.
33. Singer, Margaret Thaler and Edgar H. Schein, "Projective Test Responses of Prisoners of War Following Repatriation." Psychiatry , 1958, Vol. 21. Tests conducted on American ex-POW's returned during the Big and Little Switches in Korea showed differences in characteristics between non-collaborators and corroborators. The latter showed more typical and humanly responsive reactions to psychological testing than the former, who tended to be more apathetic and emotionally barren or withdrawn. Active resisters, however, often showed a pattern of reaction or responsiveness like that of collaborators. Rorschach tests provided clues, with a good statistical incidence of reliability, for differentiation between collaborators and non-collaborators. The tests and results described are worth noting in conjunction with the screening procedures recommended in this paper.
34. Sullivan, Harry Stack, The Psychiatric Interview , W. W. Norton and Co., New York, 1954. Any interrogator reading this book will be struck by parallels between the psychiatric interview and the interrogation. The book is also valuable because the author, a psychiatrist of considerable repute, obviously had a deep understanding of the nature of the inter-personal relationship and of resistance.
35. U.S. Army, Office of the Chief of Military History, Russian Methods of Interrogating Captured Personnel in World War II , Secret, Washington, 1951. A comprehensive treatise on Russian intelligence and police systems and on the history of Russian treatment of captives, military and civilian, during and following World War II. The appendix contains some specific case summaries of physical torture by the secret police. Only a small part of the book deals with interrogation. Background reading.
36. U.S. Army, 7707 European Command Intelligence Center, Guide for Intelligence Interrogators of Eastern Cases , Secret, April 1958. This specialized study is of some marginal value for KUBARK interrogators dealing with Russians and other Slavs.
37. U. S. Army, The Army Intelligence School, Fort Holabird, Techniques of Interrogation , Instructors Folder I-6437/A, January 1956. This folder consists largely of an article, "Without Torture," by a German ex-interrogator, Hans Joachim Scharff. Both the preliminary discussion and the Scharff article (first published in Argosy , May 1950) are exclusively concerned with the interrogation of POW's. Although Scharff claims that the methods used by German Military Intelligence against captured U.S. Air Force personnel "... were almost irresistible," the basic technique consisted of impressing upon the prisoner the false conviction that his information was already known to the Germans in full detail. The success of this method depends upon circumstances that are usually lacking in the peacetime interrogation of a staff or agent member of a hostile intelligence service. The article merits reading, nevertheless, because it shows vividly the advantages that result from good planning and organization.
38. U. S. Army, Counterintelligence Corps, Fort Holabird, Interrogations, Restricted, 5 September 1952. Basic coverage of military interrogation. Among the subjects discussed are the interrogation of witnesses, suspects, POW's, and refugees, and the employment of interpreters and of the polygraph. Although this text does not concentrate upon the basic problems confronting KUBARK interrogators, it will repay reading.
39. U.S. Army, Counterintelligence Corps, Fort Holabird, Investigative Subjects Department, Interrogations, Restricted, 1 May 1950. This 70-gage booklet on counterintelligence interrogation is basic, succinct, practical, and sound. Recommended for close reading.
40. [approx. 5 lines deleted]
41. Wellman, Francis L., The Art of Cross-Examination , Garden City Publishing Co. (now Doubleday), New York, originally 1903, 4th edition, 1948. Most of this book is but indirectly related to the subject of this study; it is primarily concerned with tripping up witnesses and impressing juries. Chapter VIII, "Fallacies of Testimony," is worth reading, however, because some of its warnings are applicable.
42. Wexler, Donald, Jack Mendelson, Herbert Leiderman, and Philip Solomon, "Sensory Deprivation," A.M.A. Archives of Neurology and Psychiatry , 1958, 79, pp. 225-233. This article reports an experiment designed to test the results of eliminating most sensory stimuli and masking others. Paid volunteers spent periods from 1 hour and 38 minutes to 36 hours in a tank-respirator. The results included inability to concentrate effectively, daydreaming and fantasy, illusions, delusions, and hallucinations. The suitability of this procedure as a means of speeding up the effects of solitary confinement upon recalcitrant subjects has not been considered.
The following bibliographies on interrogation were noted during the preparation of this study.
1. Brainwashing, A Guide to the Literature , prepared by the Society for the Investigation of Human Ecology, Inc., Forest Hills, New York, December 1960. A wide variety of materials is represented: scholarly and scientific reports, governmental and organizational reports, legal discussions, biographical accounts, fiction, journalism, and miscellaneous. The number of items in each category is, respectively, 139, 28, 7, 75, 10, 14, and 19, a total of 418. One or two sentence descriptions follow the titles. These are restricted to an indication of content and do not express value judgements. The first section contains a number of especially useful references.
2. Comprehensive Bibliography of Interrogation Techniques, Procedures, and Experiences , Air Intelligence Information Report, Unclassified, 10 June 1959. This bibliography of 158 items dating between 1915 and 1957 comprises "the monographs on this subject available in the Library of Congress and arranged in alphabetical order by author, or in the absence of an author, by title." No descriptions are included, except for explanatory sub-titles. The monographs, in several languages, are not categorized. This collection is extremely heterogeneous. Most of the items are of scant or peripheral value to the interrogator.
3. Interrogation Methods and Techniques , KUPALM, L-3, 024, 941, July 1959, Secret/NOFORN. This bibliography of 114 items includes references to four categories: books and pamphlets, articles from periodicals, classified documents, and materials from classified periodicals. No descriptions (except sub-titles) are included. The range is broad, so that a number of nearly-irrelevant titles are included (e.g., Employment psychology : the Interview , Interviewing in social research , and "Phrasing questions; the question of bias in interviewing", from Journal of Marketing ).
4. Survey of the Literature on Interrogation Techniques , KUSODA, 1 March 1957, Confidential. Although now somewhat dated because of the significant work done since its publication, this bibliography remains the best of those listed. It groups its 114 items in four categories: Basic Recommended Reading, Recommended Reading, Reading of Limited or Marginal Value, and Reading of No Value. A brief description of each item is included. Although some element of subjectivity inevitably tinges these brief, critical appraisals, they are judicious; and they are also real time-savers for interrogators too busy to plough through the acres of print on the specialty.