At a time in history marked by alternative facts, political pressure and manipulation of truth, it’s more important than ever for investigators to be laser-focused on conducting fair and honest investigations. It’s critical for investigators to be ethical when conducting interviews, so that subjects are treated fairly, and findings cannot be questioned. Even a seasoned investigator can benefit from training, or refresher training, on what it means to conduct an ethical investigation interview. Join Mark Anderson, Director of Training and Development with Anderson Investigative Associates, as he discusses strategies for ensuring investigation interviews are honest and ethical, while at the same time maximizing the quality and quantity of information obtained.  At the basis of this ethical interviewing is a non-confrontational, rapport-based approach to all interactions. This approach and the application of ethical behaviour produces a confidence and credibility that obtains productive and effective results.

1. Ethical Interviewing:
10 Things To Consider
Mark A. Anderson
Director of Training and Development
Anderson Investigative Associates

2. My Interviewing Direct Title:
Ethical Investigation
Interviews:
Do we really have to follow the
rules?

3. Presenter bio
Mark A. Anderson
 Director of Training and Development, AIA
 Special Agent, DOJ/OIG, Inspector General Criminal
Investigator Academy
 Detailed to FLETC/DHS, Behavioral Science Division
 Former Senior Special Agent, DOJ, FBI, and NRC
 New York State OIG Deputy Inspector General and Director of
Internal Audit
 Director of Security, Pyramid Corporation
 Forensic Chemist, New York State Police

4. Anderson Investigative Associates
Let’s Keep In Touch:
 Website
 www.Andersoninvestigative.com
 Facebook
 Anderson Investigative Associates
 LinkedIn
 https://www.linkedin.com/in/mark-a-anderson-
a46a1658
 Twitter
 Mark A. Anderson@AIA_training
 Email
 manderson@andersoninvestigative.com

5. What is our Goal in Interviewing?
Our primary purpose is to have an
interaction to elicit the maximum amount
of truthful statements!
We need to obtain the greatest quality and
quantity of information from this
interaction.

6. Non-Confrontational Interviewing
The High-Value Detainee Interrogation
Group (HIG) recently reports:
“the most effective practices for eliciting
accurate information and actionable
intelligence are non-coercive, rapport-
based, information-gathering interviewing
and interrogation methods.”

7. What is our Goal in Interviewing?
To accomplish our goal there are a
multitude of tools to use that are interview
situational dependent.
Regardless of the tools chosen our
consistent focus or moral code should be
on an ethical deployment of those tools.

8. Deployment of Interview Tools
- Rapport
- Credibility
- Integrity
- Effective questioning
- Reciprocity
- Persuasion
- Curiosity
- Planning
- Presentation
- Confidence
Essential tools we recognize, but often lacking:

9. Ethical Interviewing
QUESTIONS:
First, do you believe there is an ethical
malaise in today’s society?
Does this problem effect our industry (fraud,
audit, investigation, etc.)?
Is ethics an issue of concern in the realm of
interviewing?

10. Statistics to Consider
Nearly half (49%) of employees observed some type
of misconduct taking place in the workplace.
Employee’s indicated that they have observed at least
1 of 15 identified unethical behaviors in the past 12
months.
22% said that the recession had a negative impact on
ethical culture and standards.
Source: National Business Ethics Survey

11. According to the Survey…
The rise of misconduct is seen as steepest among
younger employees (18-29 years old), compared to
all other employee age groups.
This group of employees is least likely to stay with
their companies for 5 or more years.
The recession has significantly diminished two forms
of business currency:
– Trust
– Ethics Source: National Business Ethics Survey

12. Recognize our Vulnerability…
Those in positions to examine, audit, investigate, etc. ethical
misconduct or climate are vulnerable to allegations of ethical
misconduct from those who would seek to discredit or otherwise
challenge the work of your office.
– Ethics as a Weapon
– Truth of the allegations not really an issue
– Politics of personal destruction
– It is the “appearance”
– Need to remain above the fray
Look at the politics of today – great examples, even in the face of
Covid-19.

13. Ethical State of Society
Is Society better off ethically today than it was
20, 30, 40…years ago?
In what ways are we better?
In what ways are we worse?
If there has been a change, why?
What are specific examples of being better or
worse?

14. How many law enforcement
officers were killed in 2017?
According to the FBI, 93 local, state and federal
officers were feloniously and accidentally killed in the
line of duty.
10 to 15 times that number of officers lose their
livelihood due to suspensions, demotions, dismissals
and other disciplinary actions emanating from ethical
faults and malaise.

15. Ethical State of Law Enforcement
Peace Officers Standards and Training
Commission and Council study:
• 2,296 Officers decertified – they can no longer be
law enforcement officers
• Average age was 32 and had 7.2 years on job

16. Standard of Conduct
According to the IACP*, ethics training is the
greatest training need in the U.S. today!
2-3 times the number of officers who die in the
line of duty commit suicide each year.
Many of these suicides are the result of a stupid
3-5 second wrong decision when facing
moments of anger, lust, greed or peer
pressure.—ethical failures
*International Association of Chiefs of Police

17. Ethical State of
Fraud/Investigations/Auditing
Is Fraud/Investigations/Auditing better off ethically
today than it was 20, 30, 40…years ago?
In what ways are we better?
In what ways are we worse?
If there has been a change, why?
What are specific examples of being better or worse?
What about in our interviewing?

18. What is Ethics?
The definition of ETHIC in Webster's New World
Dictionary is:
– 1. a system of moral standards or values (the humanist ethic);
– 2. a particular moral standard or value (the success ethic).
The definition of ETHICS is:
– 1. the study of standards of conduct and moral judgment, moral
philosophy;
– 2. a treatise on this study;
– 3. the system or code of morals of particular person, religion,
group, profession, etc.

19. Definition of Ethics
Principles/standards of conduct that
are commonly understood and
accepted by society
Ethics = Road Map
Our understanding of what is ethical
is what defines what we ought to do

20. Ethics and Values
Ethics is concerned with how a moral person
should behave.
Values concern the various beliefs and attitudes
which determine how a person actually behaves
Integrity is the ability to hold fast to values,
standards, and principles regardless of pressure
and circumstances. (What we do when no one
is looking!)

21. Ethics and Values
Culture: The patterns and mores of an organization
– Integrity is to individuals what culture is to an
organization
– Culture often controls an organization’s ability
to hold to its values, standards, and principles

22. What then is Interviewing Ethics?
It is understanding what is expected in the
interview room and conducting ourselves
according to those standards.
– Laws
– Regulations
– Personal Standards
– Most Effective Methodology

23. Standard of Conduct
The essential tools of our
professions are:
Trust
Credibility

24. Core Values for the Fraud Business
Integrity
– Loyalty
– Responsibility
– Diligence
Fairness
– Justice
Respect
Honesty
Courage
Compassion

25. Where do we find the sources of
Ethical Standards?
Laws
Rules
Regulations
Policies
Professional Standards
Religious Beliefs
Ethics Office
Other?

26. Do Laws and Regulations Exist to
Address This?
Federal
State
Local
Company Rules and Policies
Each of the first three can be either criminal, civil or
administrative in nature.
The last is administrative but can effect your
employment up to termination.

27. Ethics Guidance
Organization Guidance / Policies
• Most restrictive source of rules that govern an
employee/interviewer’s conduct
• Often more restrictive than state or other law
Your responsibility to know the law, rules,
regulations, and policy:
• Ignorance of the law, rules or regulations is
NO EXCUSE!

28. Ethics and Our Professions?
The ethics of our profession begin with the
individual
Organizational ethics are guided by individual
ethics
Our professional organizational reputation has
been based on core values over time such as:
– Honesty
– Integrity
– Trustworthiness

29. How to Establish an
Ethical Environment
Communication is key to an ethical environment – What is
the “tone at the top”?
Ethical considerations should be central to the hiring
process
Everyone in the organization must realize that ethical
behavior:
– Is expected and required
– Will be rewarded
– Is everyone’s responsibility
30

30. Policy Considerations
Allegations of ethical misconduct can undermine the
credibility of your organization, and must be anticipated.
Our organization’s must develop a comprehensive,
transparent plan/strategy to ensure the highest level of
ethical behavior within our entities.
Our office’s should serve as a source for information on
appropriate ethical behavior for the organization that we
are responsible for. (practice what you preach.)
31

31. Interviewing Ethics
What is our goal of interviewing?
– To get the greatest quality and quantity of
truthful information.
– Our greatest fear should be receiving a false
admission.
– We have an ethical responsibility to mitigate
this.

32. Poll Question
Given our goal in interviewing, which of the following
would not be a benefit of applying an ethical
approach?
A. Maintain Organization Reputation
B. Destruction of Credibility and Cooperation
C. Increased Quality of the Interview
D. Maintain Individual Credibility

33. Interviewing Ethics
Ethical
Interviewing
Increased
Quality of
Interview
Maintain
Individual
Credibility
Maintain
Organization
Reputation

34. Interviewing Ethics
Recent studies in the field of interviewing clearly indicate
that over 60% of those that give admissions in the
interview room do so because of the credibility of the
interviewer.
– Behaving ethically encourages this.
– Lying, distorting, maligning have the opposite effect
on gaining compliance.
– Displaying our biases has a negative effect.
This is our #1 tool!

35. Interviewing Ethics
Let’s consider: What are some
Ethical Dilemmas we face in the
arena of interviewing?
–Let’s address them honestly.
–Take time to consider these.

36. Interviewing Ethics
Can we lie in the interview room?
– Lying is legal to do. (Not about evidence.)
– If you do lie, don’t get caught at it. Think about it.
Why would someone tell you the truth, if they know
you lie.
– I use stories to build commonality that might be
embellished. My brother has done all sorts of things
he has no idea about. These would be hard to
disprove.

37. Interviewing Ethics
Is anger and yelling ethical behavior?
– We certainly can display these traits legally, but what
do they accomplish.
– Why are we surprised when we engage in this
behavior, followed by the interviewee doing the same.
Would you reveal information to this angry person.
– This destroys commonality and cooperation.
– It makes us appear less confident and credible.

38. Interviewing Ethics
How open should we be about the direction of our
interview?
– Very few lay out a roadmap of the interview.
– Why?
– Do we appear more ethical when we do?
Recent studies show this roadmap is laid out in
less than 10% of interviews.

39. Interviewing Ethics
Should we tell that we are recording the interview?
– Depending on the jurisdiction, we may not have to.
– If we don’t tell them and get caught, what happens?
– Do we appear more ethical and confident by being
upfront about recording our interactions.
– Use this as on opportunity to build rapport and
relationship, and thereby credibility.

40. Interviewing Ethics
Must we advise of any rights?
– Do we have a legal or ethical responsibility to present
rights?
– Does presenting rights or administrative warnings
negatively effect the interviewing environment?
– Can we use this opportunity to improve our ethical
position?

41. Interviewing Ethics
What will be the effect of telephonic interviews?
– Does this have a negative effect on the interview
process?
– Do we obtain results commensurate with in-person
interviews?
– Are there things we can do to optimize these
situations for operational and ethical efficiencies?

42. Influences on Ethical Decision-Making
Peer Pressure, aka Career field
subculture
Rationalization

43. Influences on Ethical Decision-Making
Peer Pressure
– Studies have shown the power of peer pressure can
have a significant effect.
– However, other experiments have shown that if we
reflect on a moral issue before becoming involved,
we are more likely to follow our conscience, rather
than following the group.
– We must formulate our position and approach
beforehand.

44. Influences on Ethical Decision-Making
Rationalization
– How we justify violating a rule, regulation or breaking
the law, prior to taking that action.
– Chuck Colson once said, “we have an infinite
capacity for self-rationalization.
– However, again if we have formed beforehand our
position on questionable actions and decisions, we
will not likely violate them.

45. Ethical Decision-Making
Habits of good character:
• Practice makes perfect
• Good habits
• Bad habits
• The more we do something (good or
bad) the easier it gets

46. “We are what we repeatedly do.
Excellence then, is not an act but a habit.”
-Aristotle
47

47. Ethical Decision-Making
Slippery Slope: AKA the Continuum
of Compromise
• Acts of Omission
• Acts of Commission – Administrative
• Acts of Commission – Criminal

48. Ethical Decision-Making
Appropriateness Test
• Would I be embarrassed to discuss my
language and behavior at work with my family?
• Would a newspaper account of my language or
behavior at work embarrass my family or me?
• Would I be embarrassed to discuss my
language and behavior with a supervisor?
• You want to tell your kids?

49. Why is unethical behavior
difficult for some people to
report?

50. Ethical Decision-Making
Three Aspects of Good Character:
– MORAL KNOWING...KNOWING WHAT IS
RIGHT
– MORAL FEELING...DESIRING TO DO THE
RIGHT THING
– MORAL ACTION...THE WILLPOWER TO DO
THE RIGHT THING

51. Ethical Decision-Making
A.C.T. Decision-Making Model
• Alternatives
• Consequences
• Tell (your story)

52. Ethical Decision-Making
A.C.T. Decision-Making Model
• Alternatives
• Identify and consider ALL available options
• Don’t only identify those that are comfortable
• Considering both good and bad, what will be the result of those
alternatives
• Will our integrity be compromised?
• Will we have to lie or conceal?

53. Ethical Decision-Making
A.C.T. Decision-Making Model
• Consequences
For each alternative what is the consequence?
Project consequences to the “worse case
scenario” (second and third level)
Be aware of “Giglio”, or the “like” effect
Don’t Underestimate the consequences,
rationalizations creep in.
Apply the standards of honesty, fairness, and
integrity.

54. Ethical Decision-Making
A.C.T. Decision-Making Model
• Tell (your story)
• Can you HONESTLY tell your story to others and be
proud of your action or decision?
• Stakeholders: Spouse, children, coworkers,
supervisor, organization, mentor, God.
• Would you be embarrassed to share with others?

55. Our Gift to You
Maximizing Rapport: Rapport at the
Essence of Communication and
Connection. If we have the expectation of
getting the greatest quality and quantity of
truthful information from an interview, we
must be prepared to develop quality
rapport. Many say they are good at it, but
statistics indicate that less than one in 10
interviews have it. This e-book provides a
trilogy of rapport topics for your
consideration and application.

56. Questions?
Anderson Investigative Associates 57

57. Thank-you for participating
If you have any questions, please feel free
to email them to:
Mark A. Anderson, Director of Training and Development
manderson@andersoninvestigative.com
(912) 571-6686
Joe Gerard, CEO, i-Sight Software
j.gerard@i-sight.com