Child Sexual Abuse Allegations: Investigative Approaches and Identifying Alternative Hypotheses

Lawrence W. Daly^*

ABSTRACT: Child sexual abuse cases require a creative, thorough, and objective approach.  Preexisting biases, however, often result in misdirected and inadequate investigations that do not serve the interests of either the child or the accused.  A systematic consideration of alternative hypotheses will facilitate a responsible and careful investigation that provides accurate and helpful information.
  

Developing a broader perspective, understanding and approach to an allegation of child abuse is difficult.  A common downfall is a lack of objectivity and the failure to consider, explore, eliminate and choose the hypothesis which best fits the data.  Investigators often fail to understand the circumstances surrounding the allegation, the reasonableness of the alleged acts, and the numerous alternative hypotheses.

Many professionals think that considering all alternative hypotheses is not necessary since the child's statements are credible and thus sufficient.  This naive belief is one of the major causes of false allegations.  No possibilities, leads, facts, issues, or suggestions from others should be overlooked.  Since the crimes of sexual and physical abuse of children are serious and the punishments severe, a haphazard, inadequate, or simplistic investigation is detrimental to both the child and the accused.

In order to approach any case, the investigator must have a thorough understanding of all relevant facts and issues.  Failure to obtain, review and understand the general to specific information about a case will likely lead to a misdirected investigation without integrity, quality, innovation or depth.
  

Reviewing the Case Facts and Issues

The investigator should take the following steps before determining which investigative approaches are necessary:

After completing this initial discovery phase of the case facts and issues, the initial approach to the case in chief is planned.
  

Case Analysis and Case Action Plan

A careful case analysis is necessary for an effective and successful investigation.  The case analysis gives the investigator and client a breakdown of the case and identifies areas that should be addressed.  It provides a basic understanding of how the case looks after the persons, records, and issues are identified.  Anyone should be able to pick up the case analysis and, upon reading it, understand the key aspects of the case.

The categories generally utilized in a child abuse allegation are:

Once the case analysis has been completed, the case action plan is developed.  The case action plan prioritizes the specific tasks and general investigative approaches documented during the review of the case.  It is used in developing the alternative hypotheses and approaches to the case in chief.
  

Hypotheses/Approach: The Need to Look for Alternatives

In the past decade, many professionals maintained that children do not lie about sexual abuse and do not have the knowledge to provide details of sexual behavior unless they have been abused.  These simplistic beliefs are not supported by empirical evidence.  They exist among professionals who have limited investigative experience and knowledge and a perspective that lacks objectivity about children's abilities as witnesses.  Such beliefs will result in omission of important information and mistaken conclusions about the case.

Each alleged crime of child physical and sexual abuse is unique.  Because of the individual characteristics of each case, the investigative methods must be creative and cover every aspect of the general and specific allegations.  The investigator should begin formulating hypotheses and approaches from the beginning and continue until each piece of information, element, issue, and fact concerning the allegations has been obtained, identified and corroborated.  Failure to use innovative and creative approaches and ignoring other possibilities and explanations is simply dangerous and likely to lead to a conclusion based on opinions and preexisting biases rather than on fact.

It is not the job of the investigator to be judge or jury, but rather to gather and document information.  It is not the role of the investigator to determine which of the final hypotheses is the "correct" one; this ultimate question is the function of the finder of fact.  The role of the investigator is to look at all reasonable hypotheses and provide information concerning how well they fit the available facts.  Understanding this will provide a check and balance system that will reduce the potential for reaching conclusions based on hunches, opinions, and biases rather than providing helpful information based on careful fact-finding methods and creative techniques.
  

Defining a Hypothesis

The investigator must learn the basic elements of a hypothesis and an approach. A "hypothesis" is defined as:

Defining an Approach

An "approach" is defined as:

Three Phases of Hypotheses

There are three phases the investigator must process through before coming to the final hypothesis.  These three phases are the initial, alternative and final hypotheses.
  

The Initial Hypotheses and Approach to the Case

In order to properly approach a case, many hypotheses must be identified and prioritized before creating a specific approach and case action plan. Steps to be followed to develop hypotheses are:

The initial hypotheses provide multiple avenues, choices, and theories to begin the investigation. This should be the staring point for a creative and imaginative structuring of ideas and hunches that are either supported or refuted by the facts of the case.
  

Alternative Hypotheses

The alternative hypotheses create avenues for exploring other possibilities that have developed as the initial hypotheses either gain strength or are eliminated.  Although alternative hypotheses are often overlooked, they are crucial in the evaluation and examination of the evidence.  During this stage, the investigator should begin eliminating unsupported hypotheses and build upon those that do have support.

The original case action plan must be reexamined in terms of the information that has been gathered to date.  A revised case action plan should then be organized and put into place.
  

Final Hypotheses

The final hypotheses complete the investigation.  The process of elimination that began with the alternative hypotheses now comes to a conclusion.  The relevant facts will have passed through the building and balancing stages and either created final hypotheses or completely eliminated from consideration the initial theory of the case in chief.  The investigator may be torn between many hypotheses, but the case theory should be limited to one or two hypotheses.  This is not as easy task.
  

Checks and Balance — Methods to Keep the Investigator Focused on the Facts

Throughout the three hypotheses phases, there must be a systematic way to ensure that the hypotheses under consideration are based on supported material and relevant information rather than on preconceived biases.  This entire process must take place with an open mind.  The hypotheses created must be examined with "the reasonable man standard" — that is, if the hypotheses are reasonable and make sense, it is likely that most reasonable individuals presented with the facts would agree that the approach and hypotheses are proper. The hypotheses should be examined with the following criteria:

Three Case Studies

Read each of the following cases and create initial hypotheses, alternative hypotheses, final hypotheses and a case action plan.  While you are reading the case studies, be creative and force yourself to come up with your own hypotheses about what may be the bases for the allegations.  Even if your initial hypothesis appears compelling, still go through the steps of considering all possible alternatives.
  

Case Study #1

Jamie is a 5-year-old female.  She is a possible victim of sexual abuse.  The alleged perpetrator is her father.  The following is a summary of the case facts:

Jamie's father and mother have been married for ten years.  The relationship appears to be amicable.  Recently, there have been several arguments between Jamie's parents about the hours Jamie's father is spending at work.  Although both parents work, Jamie's father has been working a lot of overtime lately.  He states that the overtime is mandatory.  Jamie's mother calls her husband's employer and ascertains that he has not been putting in the hours he has claimed he has been putting in.  Jamie's mother thinks back to the past few weeks and realizes that her husband has been coming home with alcohol on his breath.  The other thing she remembers is waking up and finding her husband in bed with Jamie without any clothes on.  She thought that Jamie's behavior had been peculiar since that night.

An interview of Jamie by her mother occurs.  In the interview Jamie alleges that her father touched her on the outside of her pajamas in the vaginal area on the evening he slept with her.  She states the touching woke her up.  She told her mother when she woke up to the touching, she rolled over and went back to sleep.

At this point the mother stopped the interview and called the police.  Jamie's father is contacted at work by the police.  He denies that he ever sexually touched his daughter and that the charges are ridiculous.

Based on the above case facts, what hypotheses and ultimate approach would you most likely take in reference to this case? Possible hypotheses and approaches are:
  

Initial Hypotheses and Questions to be Investigated

Case Action Plan (Approach)

Alternative Hypotheses

Most likely Final Hypotheses

Case Study #2

Sally is a 9-year-old female.  She is alleging that her neighbor and best friend's father sexually assaulted her.  The following is a summary of the case facts:

Sally lives next door to her best friend Sara.  They have been best friends since Sally moved into the neighborhood three years ago.  Sally generally spends the majority of her time at Sarah's house.  Sarah's father generally arrives home before Sally leaves for home.

There have been no arguments between Sally and Sarah's father and there have been no incidents of negative discipline.

A week ago Sally was playing with her friend Jean at her house.  They were in Sally's bedroom playing with their Barbies.  As Sally's mother walked past the bedroom door, she heard Sally tell Jean that Sarah's father is a rapist.  After Jean went home, Sally's mother brought her into her bedroom and asked her why she thought Sarah's father was a rapist.  Sally began to cry.  Sally's mother asked Sally if Sarah's father had touched her inappropriately.  Sally said, "He touched me in my private area."  At this time Sally's mom told her she was proud of her for telling her and that they needed to tell someone who could protect her and Sarah.  Sally and her mother went to the police station and Sally was interviewed by the police.  Sarah's father was contacted by the police and denied all of the charges.

Based on the above case facts, what hypotheses and ultimate approach would you most likely take in reference to this case? Possible hypotheses and approaches are:
  

Initial Hypotheses and Questions to be Investigated

Case Action Plan (Approach)

Sally
Sarah
Jean

Siblings?
Parents divorced?
Lives with what parents?
Has she ever run away or thought about it?
Was she ever a victim in the past?
Has she ever alleged this before?

Alternative Hypotheses

Final Hypotheses

Case Study #3

Katrina is a 13-year-old female.  She is alleging she was sexually assaulted by two brothers who picked her up hitchhiking.  The following is a summary of the case facts:

Katrina was picked up by two brothers, Mike and Bill, as she walked east on Portland Blvd.  She willingly got into the truck and was driven to the home of three of her girlfriends.  At the girlfriends' house, she picks up clothing and tries to get one of her girlfriends to come with her.  This does not happen.

She was ultimately and voluntarily taken to Mike and Bill's house, where she drank three wine coolers and several glasses of hard liquor.

She was a runaway and had been so for three days prior to Mike and Bill picking her up.

At bedtime, she went to Mike's room and slept with him.  She alleges that she was forced to have sexual intercourse with Mike.

After they had sexual intercourse, she alleges she was taken into Bill's bedroom where Mike put her into bed with Bill.

She said, she fell asleep but awoke to Bill having sexual intercourse with her.

She then fell back to sleep.  She awoke the next morning, took a shower and was taken to school.  Later that afternoon she reported to her school counselor that she had been raped by Mike and Bill.

Based on the above case facts, what hypotheses and ultimate approach would you most likely take in reference to this case? Possible hypotheses and approaches are:
  

Initial Hypotheses and Questions to be Investigated

Case Action Plan (Approach)

Alternative Hypotheses

Final Hypotheses

Summary

Each case of child abuse allegations presents individual characteristics, nuances, and specific facts and issues.  It is the responsibility and primary role of the investigator to find the facts that support the most reasonable hypotheses.  The investigator's role must be that of an objective fact finder whose mission is to conduct a thorough and credible investigation.  Any and all hypotheses that could possibly fit the facts must be considered.  As the hypotheses are being processed, the focus of the investigation becomes more specific and directive.

A proper case management method is imperative.  The case analysis and case action plan are two proven methods that provide direction and insight.  By using this case management system, hypotheses which have no validity or credibility and fail to pass the reasonable standard test will be eliminated, culminating in one or two final hypotheses.

Although the above case studies may yield other possible hypotheses, the examples illustrate the benefit of systematically considering alternative hypotheses.  The investigator should approach child abuse allegations with the understanding that anything is possible.  This permits an objective and open-minded investigation that aids the finder of fact and serves the interest of both the accused and the child.