sional means more than this, but it is a necessary requirement.
Whether you conduct interviews for the government, the public sector,
the private sector, or a corporation, it is likely that you will be guided by
some form of a code of ethics. Common elements within a code of ethics
are as follows:
•
Work in accordance to any local, state, provincial, or government laws
•
Work within company policies, if this applies
•
Be honest and impartial
•
Remain objective
•
Maintain the highest standard of morals and ethics
•
Have and maintain integrity
•
Provide truthful and accurate reports
•
Respect the inherent dignity of all people
•
Be diligent
•
Be ethical in soliciting business
•
Never disclose confidential information
•
Never knowingly cause harm
•
Accept no illegal or improper remuneration for services rendered
•
Refrain from representing competing or conflicting interests or the per-
ception of conflicting interests
•
Support the purposes and objectives of the profession
•
Refrain from negative comment about other interviewers
While researching ethics for investigators and security professionals, I found
out that there are many ethics codes. Some countries have their ethical stan-
dards, some states have their own, and then there are professional organiza-
tions that have theirs. One particular ethical and behavioral standard that I
felt was relevant and specifically addresses professional conduct of security
professionals as well as investigators is described in the following section.
Ethical Standards and Professionalism
13
As a matter of fact, this code was endorsed in the spring of 2013 by the
Australasian Council of Security Professionals and provided to me by my
co-council on the 2013 ASIS Crime Prevention/Loss Prevention Council,
Ray Andersson.
Ethics and Behavioral Standards1
The Australasian Council of Security Professionals has created a code of con-
duct for the Security Profession:
All security professionals and organizations must operate to the highest ethical values to engender trust in all those they encounter in a professional capacity.
Given the security industry’s high profile, this Code of Ethical Conduct sets a
standard that security professionals shall adhere to in their working habits and professional relationships. The values on which it is based apply to all situations in which Security Professionals participate and exercise their judgment.
Registered security professionals are required to comply with the Code in all of their professional activities. Failure to do so may be referred to the Security Professionals Registry – Australasia for disciplinary action.
Security Professionals’ Code of Conduct
The ASCP Code of Ethical Conduct requires that a security professional
must operate to the highest ethical standards with all those they encounter
in a professional capacity and shall:
1. Act in the interests of the security of society and their client. A security
professional shall:
a. Act honorably, responsibly, diligently, and lawfully and uphold the
reputation, standing, and dignity of the Security Profession within
society.
b. Not act recklessly, maliciously, or in a manner that will negatively
impact the reputation of other individuals or organizations.
c. Act in the interests of the security of society and their client.
d. Act honorably, responsibly, diligently, and lawfully and uphold the
reputation, standing, and dignity of the company, employer, or
client to which the security professional has a professional or legal
association.
2. Perform their duties in accordance with the law at all times. A security profession shall:
1 Developed by Raymond Andersson, GAICD, AFAIM, RSecP, ICPS for the Australasian Council of Security Professionals (ASCP).
14
The Art of Investigative Interviewing
a. Act in accordance with the laws of the jurisdiction(s) in which they
are performing professional services.
b. Hold paramount the health, safety, and security of others.
3. Act and behave at all times with integrity. A security professional shall:
a. Not abuse a professional position for personal gain and reject
improper inducement.
b. Avoid conflicts of interest.
c. Avoid deceptive acts by actively taking steps to prevent corrupt
practices or professional misconduct.
4. Be diligent and competent in discharging their professional responsibilities.
A security professional shall:
a. Act for their employer or client in a reliable and trustworthy
manner.
b. Never knowingly mislead or allow others to be misled.
c. Maintain currency in their security competencies through contin-
ued education and private research.
5. Protect confidential information gained in the course of their professional activities and not disclose it to any unauthorized party nor use it for personal gain. A
security professional shall:
a. Protect client information in accordance with client information
security policy.
b. Apply effective physical, procedural, and IT controls to protect cli-
ent or employer information in their care from unauthorized release.
c. Implement and follow processes for the clearance of partners,
employees, contractors, and other stakeholders in accordance with
the classification of accessed client or employer information.
d. Apply the need-to-know principle.
6. Not maliciously damage the professional reputation or practice of colleagues, clients, or employers. A security professional shall:
a. Refrain from unfounded criticism of work carried out by Security
Professionals.
b. Refrain from action deliberately designed to damage a colleague,
client, or employer.
7. Not knowingly undertake any action that brings the profession into disrepute.
A Security Professional shall:
a. Be objective and truthful in any statement made in their profes-
sional capacity.
b. Act honorably, responsibly, diligently, and lawfully and uphold the
reputation, standing, and dignity of the profession.
Ethical Standards and Professionalism
15
c. Not engage in acts of collusion, corruption, or breaches of the law.
d. Be a positive role model for others in the profession.2
ETHICAL AND UNETHICAL INTERVIEWING
Throughout recorded history, one of the great problems we have faced has
been the development of a system by which truth may be made known.
Solutions to this problem have ranged from such extremes as the torture
chambers of the Middle Ages to the unhesitating acceptance of the word
of a gentleman in the 18th century. Neither extreme meets the requirements
of today. We respect human dignity too much to permit physical and psy-
chological abuse of an individual in the searc
h for truth. Yet we recognize
that many individuals will lie without hesitation, even under oath, if this will further their aims. The truth can be determined only after the evidence
has been collected and analyzed. The public should not be misled into think-
ing that this is an automatic process. Investigative interviewers should use
only the most ethical means available on behalf of society to obtain statements
and the truth.
There has been a critical analysis of various types of interview training in
North America. Through the course of this analysis, new regulations have
been formulated. Due to miscarriages of justice in some leading cases across
the country, increased training of interviewers has occurred. Although each
country has its own training programs, many programs have common fea-
tures. The emphasis of an interview should also be on the search for the truth
and on the collection of reliable information and, ultimately, a higher quality
of information.
The interviewing tactics suggested in this book to encourage the coop-
eration of interviewees are ethical, as defined in this chapter. This book is
partly intended to counteract the often illegal coercive tactics of the past
and to promote perceptive interviewing. The following behaviors are con-
sidered unethical in North America but sadly are still used throughout the
world:
•
Using interrogation tactics instead of interviewing tactics
•
Treating each interviewee as though culpable, with little or no regard for
the destructive public relations and psychological damage inflicted on
interviewees who are blameless
•
Making threats
2 The Australasian Council of Security Professionals (ACSP).
16
The Art of Investigative Interviewing
•
Making illegal promises
•
Using coercion
•
Using duress
•
Using force or the threat of force
•
Employing ruthless methods
•
Falsely imprisoning the interviewee
•
Not respecting the interviewee
•
Not maintaining the interviewee’s dignity
These and similar tactics have been used in the past in interviews with vic-
tims and witnesses as well as suspects. It is time for change. It is time that
those involved in investigative interviewing be specifically taught what is
ethical and what is unethical, beyond what is legal and what is illegal.
CONFLICTS OF INTEREST
As a professional, we must not engage in activities that may involve or create
the perception of a conflict of interest. Conflict of interest can be defined as a situation in which one’s external interests undermine or appear to undermine the investigators’ ability to perform their legal, ethical, or professional duties. Conflict of interest might impair the investigators’ judgment or create the impression that it does. Organizational conflict can be as complicated
as personal conflict. We should always remain free of any interest or relation-
ship that is connected to our clients.
There are many questions that you can ask yourself to avoid a conflict of
interest:
•
Do you have a personal relationship with the person you will be inter-
viewing or another person who has an interest in the case?
•
Do you have any financial relationship with the person you will be
interviewing?
•
Is this case somehow related to another organization you are working with?
•
Do you have a professional relationship to another person or organiza-
tion that is associated in any way to the case you are working on?
•
Do you have any personal or professional bias that would make others
question your ability to handle this case fairly and ethically?
•
Would you personally benefit in any way from conducting interviews for
this case?
•
Have you had any direct knowledge of policies or practices that would
affect the interviews you are about to do?
•
Have you already formed an opinion on this case?
Ethical Standards and Professionalism
17
REVIEW QUESTIONS
1. Why are ethical standard so critical for investigative interviewers?
2. Who is responsible for developing a code of ethics?
3. Is there one universal code of ethics for those who conduct interviews?
4. What is the Golden Rule and how does it apply to ethics?
5. How do we learn our personal values?
6. Who is responsible for clearly defining ethical behavior in an
organization?
7. Why should organizations have a written code of conduct?
8. List three ethical guidelines that might appear in a code of ethics.
9. List three interviewing tactics that you believe are unethical and
explain why.
3
Preparation and So Much More
PREPARATION
Investigative interviewing is about having a conversation that results in infor-
mation. This information, or fact-finding, is your goal. Successfully reaching
your goal will result in solving your case. You might think that success comes
only from a confession, but there is so much more that comes from fruitful
conversations. Having a conversation might sound easy, but as an investigator
or interviewer you must be prepared for this conversation. Preparation is the
single most important aspect of a successful interview. Even if you have a nat-
ural ability to interview, you still have to prepare. Preparation involves atti-
tude, psychology, intuition, flexibility, curiosity, imagination, and research.
This chapter takes you through each of these factors, the role each plays in
every interview, and how you can use them successfully.
ATTITUDE
Why do we talk about attitude if we are interviewing a suspect, witness, or
victim? If you want information from an interviewee, you need to know
what attitude you should have with that person in order to obtain the
response or information that you are seeking.
If the response you seek in an interview is full and open cooperation, you
must maintain a positive attitude toward each and every interviewee. Each
of us has a history filled with experience, which creates bias and prejudices.
That experience will determine the preconceived opinions and perceptions
with which we go into each interview. I encourage you to be honest with
yourself and understand how and why you have formed your specific opin-
ions, so that you can conduct each interview in a fair and impartial way,
treating each interviewee with a level of respect. In addition, understand
how your discriminatory actions affect others.
Showing respect means remaining calm, actively listening, and maintain-
ing a positive attitude. By having confidence in your skills and ability, you
will display that you are self-assured. Neighborliness will sow positive
seeds of your attitude, persistence, and general determination along the
invest
igative path. Sensing your helping, friendly attitude, interviewees will
19
20
The Art of Investigative Interviewing
probably comply as expected. A positive attitude is always effective, no mat-
ter what your objective.
Perceptive interviewees can sense your attitude as it is expressed through
the formulation and presentation of your questions and by the way you listen
to the responses. They are keenly aware of verbal and nonverbal signals
expressing negative attitudes. If you ridicule or degrade interviewees, you
will only promote antagonism.
Characteristics of a positive attitude are warmth, empathy, acceptance,
caring, and respect. You should learn to have and project these qualities
because they will help you become a proficient interviewer.
These are three important qualities to incorporate into your positive
attitude:
•
Congruence. To be in congruence with yourself means to be aware of and
comfortable with your feelings and to be able to communicate construc-
tively with interviewees in a way that expresses your humanity. To be in
congruence with the interviewee means to recognize and accept the
human qualities, needs, and goals that we all share.
•
Unconditional positive regard. Just as a parent expresses unconditional love
for a child, you should strive to display a positive regard for interviewees,
without reservations or judgments. Regardless of the inquiry and even
when dealing with unsavory interviewees, treat everyone as a valuable
human being. Develop a genuine liking for people, and be tolerant of
human weakness. When you’re dealing with interviewees you consider
repugnant, do not show how you really feel. When your inner feelings
are critical of the interviewee’s behavior, put on a convincing show of
acceptance of or tolerance for their behavior. This show is intended
to encourage interviewees to let down their guard when talking with
you. As I said earlier, identifying your prejudices and biases will help
you understand the people you interview and avoid prejudging them.
•
Empathy. Empathy is the ability to identify with someone else, to under-
stand their thoughts and feelings from their perspective. Pay attention as
interviewees express themselves verbally and nonverbally so that you can
pick up on their messages. Interviewees often express some deep emo-