Inge Sebyan Black Read online

  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

  6

  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.

  •

  Ethics come into play when external pressures push someone to act in a

  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.

  12

  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-