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  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

  CHAPTER

  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-