company. Some require their clients to be attorneys, licensed investigators,
reporters, or law enforcement. They may also require you to reside in a par-
ticular country. You will have to do some research to determine what com-
pany will serve your needs best, along with your qualifications to access the
company’s database. Tools such as TLOxp are governed by the Gramm-
Leach-Bliley (GLB) Act and the Driver’s Privacy Protection Act (DPPA)
and cannot be used for Federal Fair Credit Reporting Act (FCRA) purposes.
FCRA prohibits purposes related to credit, insurance, employment, or other
financial information.
There are many Internet tools that investigators use. Here are a few:
•
Zaba Search is a free people-finder Website. A private investigator can
search for public information using an individual’s basic information.
•
Internet Achieve is a site that provides historical data on thousands of
books, sites, moving images, and even federal court cases.
So You Want to Be an Investigative Interviewer?
5
•
E-investigator is a comprehensive site that provides a multitude of
resources for private investigators.
•
Criminal Searches is a website that provides criminal histories on people.
•
Some specific sites to search mobile phones, car history, employment
history, investigator tools, or people search tools are:
•
www.mobilephoneno.com
•
www.carfax.com/entry.cfx
•
www.theworknumber.com
•
www.pimall.com
•
http://find.intelius.com/index.php
It would take an entire book to list all the available Websites that can be use-
ful to an investigator. Social networking sites are also very helpful in prepar-
ing for interviews. Information on these sites can help you determine
deception, formulate questions, or determine background of a subject.
The most valuable tool is to develop your personal style and rapport—
developing the ability to form a relationship, almost an intimate one, with
your subject. This might not be necessary for witnesses or all interviewees,
but if you are interviewing a subject that you need a confession from, you
will need to form a close, almost intimate relationship. Doing so will require
you to be empathetic without being judgmental or accusatory. You need
that person to open up to you.
In conducting internal investigations, there are as many different
approaches as there are investigators. One approach that I often use and that
has helped me prosecute many suspect employees is to tell them I’m inter-
viewing them about specific losses the company has had and to request their
help to resolve the discrepancies. By “employing the employee” to help you,
you give them a feeling of lending assistance that often disarms them and
allows them to focus on resolving the losses versus the consequences that
may occur because of their confessions.
PRETEXTING
Another tool that’s often used by investigators is pretexting. Pretexting, oth-
erwise known as a false motive or fac¸ade, is a social engineering tool involv-
ing someone lying to obtain information. Using pretexting can be seen as
sneaking and as a cover-up to gain information. The information may be
privileged, but it’s not always—just as obtaining it through pretexting is
sometimes illegal, but not always. Pretexting may be pretending to be some-
one you’re not and can be used to confirm the identity of a person the
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The Art of Investigative Interviewing
investigator is talking to or to gather information, location, or data about
another person. An investigator may pose as an authority figure (a law
enforcement agent) or use a story, usually involving money due the potential
subject, to get the location, phone numbers, or employment of that subject.
In 1999, the Gramm-Leach-Bliley (GLB) Act banned the use of pretext-
ing to gain financial data on individuals. The GLB Act specifically addresses
pretexting as an illegal act but only specifically addresses pretexting as it pertains to financial information. The GLB Act applies to all organizations that
handle financial data, including credit unions, tax preparers, banks, collec-
tion agencies, credit-reporting agencies, and real estate firms. The act does
not apply to information that is on public record, such as bankruptcy, police
records, real estate transactions, and property taxes. The distinction between
whether a particular pretexting is legal or illegal is blurred with regard to
telephone, cell phone, texting, email, or any other telecommunications
records, since the laws regulating privacy from information gathering vary
from state to state. Often investigators use pretexting to find a particular subject that they need to interview, or it may be used to determine a timeframe
in which to conduct an interview. The more important discussion to have
about pretexting is professional responsibility.
In Chapter 2 we discuss ethics and professionalism and draw discussions
around the concepts of right and wrong or ethical and unethical behavior
and practices. Ethical issues were raised by the Hewlett-Packard (HP) Board
of Directors members’ use of pretexting in 2010, during the investigation of
corporate information leaks. This case was about the HP Board hiring a pri-
vate investigator to determine who was leaking confidential information to
the press. HP’s choice to use pretexting included egocentrism and pressure
to produce results. These are never valid reasons to conduct unethical or ille-
gal practices. This issue is an ethical concern. Ultimately the use of pretext-
ing was ruled to be a nonissue and not illegal; however, this in itself does not mean that it was a good business decision. The fallout that came from this
activity had negative repercussions for many members of the board; some
resigned and had their professional reputations questioned. The use of pre-
texting elicited debate over the legality and ethicality of pretexting. Private
investigators need to know that if they engage in deception, otherwise
known as pretexting, the Federal Trade Commission (FTC) can become
involved. The FTC, mandated by Congress, has the obligation and authority
to ensure that individuals are not subject to any deceptive business practices,
including pretexting on the part of investigators.
So You Want to Be an Investigative Interviewer?
7
QUALIFICATIONS PREFERRED
Investigators need as much training, qualifications, and practice that is pos-
sible to work particular cases. There are investigators that specialize in the
areas of fraud, arson, and auto theft as well as background investigators
and insurance investigators, just to name a few areas of specialization. Gen-
erally speaking, investigators will find the following qualifications in demand
by employers:
•
Communication skills, both written and verbal
•
Intelligence—the ability to see the entire picture; not stuck in t
unnel
vision; insightfulness
•
Persistence—having drive; how badly to you want to know the truth,
and will you put in the work?
•
Training—have you had training and in what specific areas?
•
Perseverance
•
Patience—needed because time is necessary to uncover the truth and get
the results you want
•
Attention to detail—even to the slightest bits of evidence or items that
may be overlooked; thoroughness
•
Curiosity—a need to know
•
Sensitivity—empathy; respect for yourself and others
•
Ethical—being honest and having the courage to uncover truth despite
obstacles
You might have to conduct an interview, or you may decide that becoming
an investigative interviewer is something you want to pursue. If that is the
case, remember to practice, practice and practice some more.
2
CHAPTER
Ethical Standards and
Professionalism
ETHICAL STANDARDS
It seems appropriate that ethics is one of the first subjects we discuss in this book. For a certified fraud examiner, ethics training is required annually.
Many positions involving interviewing, investigating, security, fraud, and
compliance also require such training. There are reasons that annual ethics
training is mandated and why it is critical. In this chapter we discuss the way
that ethics defines our professionalism as investigative interviewers and why
we need to understand and work within a set of ethical principles.
There is no universal code for private investigators; therefore, guidelines
are set up by various professional departments, organizations, or industries.
Furthermore, regulatory agencies around the globe have developed a code
of ethics and guidelines for practicing investigators. These codes of ethics are established to promote and inspire confidence in our profession. Truth, fairness, and honesty are just some of the words we use when talking about ethics
and principles.
It is essential, vital, and necessary to have ethical standards in our profes-
sion because potential consequences of interrogations are so great. If we
want to be seen as a professional in the investigations industry, we need
to maintain a set of principles. Ethics is something we hear about or talk
about, but not everyone truly understands their ethical responsibility and
the role ethics plays for those of us who conduct interviews.
Ethics is about human relationships and how we conduct ourselves, both
in private and in groups. How and when are we taught about ethics? No
matter whom we are interviewing or what the offense we are investigating,
we must adhere to ethical standards. There is no absolute rule defining what
is or is not ethical. In interviewing, your conscience will act as your guide to ethical behavior. Following ethical standards is inherently about right and
wrong.
Ethics is the inherent inner voice, the source of self-control in the
absence of external compulsion. Ethics can be defined as the difference
between knowing the right thing to do and knowing what you have a right
9
10
The Art of Investigative Interviewing
to do. Ethics can be said to be based on the Golden Rule: “Do unto others as
you would have them do unto you.” Ethical behavior is judged by the way
we act, the values that motivate us, the policies we have adopted, and the
goals we seek to achieve. Every organization has an ethics strategy, whether
explicit or implied. Each organization needs to have its specific ethical stan-
dards written down, describing its strategy. The organization will want to
implement goals based on what it wants to achieve. In the absence of policy,
procedures, or precedents, ethical effectiveness is based on organizational
values that provide direction and consistency in decision making.
The definition often used to describe ethics is moral principles or a system of
moral principles. Although the words ethics and morals may be quite different,
depending on a particular class, group, or culture, they are both about values
relating to human conduct with respect to right or wrong. Ethics may be
defined individually, but as a professional, ethical behavior should be seen
as vital. We all respond to moral dilemmas differently because we all have
fundamental differences in our personal values. Ethics rely on personality
traits such as values and attitude.
For an interviewer, the line between ethical interview techniques and
coercion can be a very fine one. We often look to others for moral guidance
if we are in an unfamiliar situation. Ethics that are realistic and worth sup-
porting are situational ethics; what is occurring at any given point deter-
mines what actions are effective, appropriate, and ethical.
•
Values define who you are. All ethical decisions are determined by values
that are clear and uncompromising statements about what is critically
important. In organizations, clear values drive mission statements, stra-
tegic plans, and effective, results-oriented behavior.
•
manner that is not consistent with his or her values. Only actions can be
judged to be ethical or unethical. Ethics do not define what is acceptable
about an action as much as they define what is not acceptable.
•
Ethics provide guidelines that outline what constitutes appropriate behav-
ior. Once a clearly stated code of ethics is developed and made public,
individuals are responsible for their own actions. The code of ethics sup-
ports the concept of dignity as the central element that drives human inter-
action in the workplace. Most organizational codes of ethics clearly
demand that people treat each other with respect. When we show con-
sideration for others, we are indicating that we hold them in high regard.
•
A code of ethics provides a commonly held set of guidelines that will
provide a consistent, value-driven basis for judging what is right or
Ethical Standards and Professionalism
11
wrong in any given situation and establishes the outer limits of acceptable
behavior.
•
If a new code of ethics is going to be truly operational, people must have
an opportunity to see where the ethics originate, what purpose they
serve, and how they relate to each individual.
One might say ethics involve doing the right thing when no one is looking.
Having a code of ethics will guide you as an interviewer to be respectful,
honest, and reputable in your actions because the impact of your behavior
can involve life-changing consequences.
ETHICS FROM THE TOP DOWN
It is essential to have ethical leadership in any organization. Employees of
organizations look to their leaders for ethical guidance and moral develop-
ment. Ethical leadership can be very complex, and it goes much deeper than
simply having strong morals or good character. A
n organization having eth-
ical leadership sends a clear message about its ethics and values. This type of
leadership also holds employees responsible and accountable for living up to
these standards. This type of leadership makes the effort to find and develop
the best people. To find the right people, consideration for ethics and char-
acter come into the selection and hiring process. Ethical leaders send the
message that the organization has an ethical line and will reward good behav-
ior and act decisively when moral and ethical lapses occur. These leaders
have a deep sense of ethical principles, values, and character at the center
of their leadership. These strengths are reinforced through training and
communication.
Conversations about ethics should routinely occur across all levels of
business so that people can hold each other responsible and accountable.
All employees should share in the responsibility for creating and maintaining
an ethical culture. To accomplish this goal, leaders need to have a live con-
versation about whether they are living the values and bringing respect and
compassion to their management of people. Leaders at the highest levels of
organization must clearly demonstrate their commitment to ethical behavior
through their words and actions. Ethical leadership can be and should be
incorporated into development programs for management. We all can be
ethical leaders by looking at and reviewing our own behavior and values.
We also need to make a commitment to accept responsibility for the effects
of our actions on others and ourselves.
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The Art of Investigative Interviewing
It is also essential to have a written code of conduct that clearly states
what is and what is not acceptable. This code of conduct must be created
from the bottom up, with input from employees at all levels. Ethical leaders
need to put resources in place to let employees know what will and will not
be tolerated and that if an incident occurs, the organization will take strong
action. There also needs to be a process in place for reporting any corrupt or
unethical activities.
THE CODE OF ETHICS
Having a code of ethics helps guide us in decision making. Being profes-