Investigative Interviewing Techniques as an Effective Tool for Information Gathering in Pharmaceutical Sector Companies

Juliana Marquesi Federico; Daniel Bruno Vasconcelos

DOI: 10.22167/2675-6528-202603084

Article derived from a Course Conclusion Work (TCC), with content based on the student’s original work and adapted to the editorial format of the E&S Magazine with the support of the ResumeAI tool, an artificial intelligence solution developed by Instituto Pecege for textual synthesis and organization.

Summary

Corporate investigations play a fundamental role in the effectiveness of business integrity programs, as they allow for responses to potential violations of the Code of Conduct and applicable legislation, in addition to supporting the adoption of corrective measures for systemic deviations. With the objective of diagnosing adherence to scientifically validated and effective investigative interview techniques, the knowledge and practices of Compliance Investigators in a multinational pharmaceutical company were evaluated. The methodology employed an interview with a senior manager and a questionnaire answered by the entire team of investigators, whose data were compared to specialized literature, which emphasizes rapport as the most effective approach. The results revealed that, despite the maturity of the organization’s Compliance structure, the professionals demonstrated low mastery of formal investigative interview techniques, with intuitive practices predominating. Additionally, insufficient investment in training and development was perceived. It was concluded that there is a gap in formal technical knowledge and training, indicating room for improvement that can directly impact the quality of investigations and the effectiveness of the integrity program.

Keywords: Compliance; Corporate investigations; Rapport.

1. Introduction

Business integrity programs are crucial for corporate governance and maintaining an ethical environment in organizations. In Brazil, Decree number 11,129 of July 11, 2022, which regulates the Anti-Corruption Law number 12,846 of August 1, 2013, establishes that the objectives of these programs must include the prevention, detection, and resolution of possible irregularities and illicit acts, in addition to fostering and maintaining an environment based on integrity (Brazil, 2022).

In this context, internal corporate investigations emerge as a fundamental pillar for achieving these objectives. They aim to resolve cases of possible misconduct and violations of norms, identify gaps and opportunities for improvement in internal processes, and serve as a data source to demonstrate systemic issues that require adjustments. Investigative interviews, in particular, are key processes, as they allow for the collection of evidence, identification of witnesses, understanding of contexts and perceptions, and obtaining admissions and clarifications regarding allegations of non-compliance.

During an investigative interview, the interviewee may find themselves in a position of vulnerability due to the inherent power imbalance in the relationship with the investigator, who holds a position of authority (ATI, 2021). This vulnerability can result in momentary emotional, cognitive, and physical impacts, hindering the understanding of questions, access to memories, and the development of ideas. Thus, a non-coercive approach is essential to minimize these effects and ensure that the flow of information is facilitated. In this regard, methodologies based on “rapport”, which generate connection and trust, have been understood as the most effective way to establish collaboration in investigative interviews (Evans et al., 2013).

The “rapport” concerns the creation of a working alliance between the people present in the conversation, where the interviewer is responsible for establishing a humane environment of trust, dignity, and respect, promoted through empathy, genuine interest in the interviewee, and the absence of judgment (Cecconello and Stein, 2023). This approach aims to collect accurate, complete, and verifiable information, and reduces the chances of resistance, aggression, and the spread of lies (Alison and Alison, 2020). In contrast, authoritarian approaches, frequently observed in fictional works and taught in the past, are characterized by confrontational, manipulative behavior, with elements of false empathy, and can reach levels of embarrassment, intimidation, and aggression on the part of the interviewer (Cecconello and Stein, 2023; Brimbal et al., 2020). The main example of this approach is the Reid Technique (Moscatelli, 2020), which aims to obtain confessions based on preconceived ideas (ATI, 2021).

Although the specialized literature points to the superiority of “rapport”-based approaches, practice in corporate environments can present challenges. Even in organizations with mature Compliance structures, the present study identified a low command of formal investigative interview techniques among the evaluated professionals. The results showed that alignment with “rapport” principles occurs predominantly intuitively, and not necessarily based on formal knowledge of scientifically validated methodologies. Additionally, it was perceived that investments in external training and technical development are lower than desired, and the work environment is pointed out as the main source of learning, which may hinder the variation and circulation of new and important techniques studied by the specialized literature.

Given the importance of corporate investigations as a pillar guaranteeing the functioning of an integrity program, and the advancement in studies of effective investigative interview techniques, it becomes crucial to diagnose the adherence of current practices to methodologies validated by literature. Thus, this study aimed to diagnose the adherence of practices validated as effective by specialized literature, given the importance of corporate investigations as a pillar guaranteeing the functioning of an integrity program, and the advancement in studies of effective investigative interview techniques.

2. Material and Methods

The present study was characterized as a diagnostic research, with a mixed methodological approach, combining qualitative and quantitative elements. The objective was to diagnose the adherence of investigative interview practices to methodologies validated by the specialized literature. To this end, primary data was collected through interviews and questionnaires, complemented by a comprehensive literature review.

The unit of empirical analysis consisted of the practices, knowledge, and perceptions of the Compliance Investigations team of a large multinational corporation, operating in the pharmaceutical sector. The selected organization is headquartered in a European country and has operations in more than 50 nations, with a presence in Brazil for over 50 years, in more than 20 locations and with more than 4,000 employees.

The Compliance Investigations team in Brazil, composed of five investigators, was the focus of primary data collection. These professionals are responsible for cases of potential violations of the Code of Conduct and local laws occurring in Brazilian territory, reporting to the Director of Compliance Investigations located at the company’s headquarters, ensuring the independence of the process.

The primary data collection was initiated with a semi-structured interview conducted with the Director of the Compliance area in Brazil. This interview took place on January 12, 2026, remotely, via the Google Meets platform, and lasted 40 minutes. The purpose was to obtain information on the fundamentals of the Compliance area, investigative processes, the expected behavior of investigators, and training initiatives.

Subsequently, an online questionnaire was applied to all five Compliance investigators in Brazil. The questionnaire was made available via a link through Google Forms, and responses were collected remotely between January 15, 2026, and February 10, 2026. Access to the instrument was mediated by the company’s Compliance Director.

The questionnaire was developed with open-ended questions, Likert scale, and multiple-choice questions, aiming to capture qualitative and quantitative data. The questions addressed the researchers’ behavior during conversations with whistleblowers, victims, witnesses, and the accused, how they acquired knowledge about interview techniques, the level of knowledge about formal and informal techniques perceived as effective, and the perception of the organization’s investment in team training and development.

In addition to primary data collection, a systematic literature review was conducted. This step aimed to deepen the understanding of the use of non-coercive investigative interviews, considered effective methods for obtaining information in investigative processes. Articles published in scientific journals, academic works, and books by renowned authors in the field, both nationally and internationally, were consulted.

For the data analysis, the responses obtained from the questionnaire were tabulated, grouped, and compared. The collected data, from both the interview and the questionnaire, were then confronted with the findings of the literature review. This procedure allowed for the identification of points of convergence and divergence between the practices observed in the company and the methodologies validated by the specialized literature.

3. Results and Discussion

The present investigation aimed to diagnose the adherence of investigative interview practices, employed by Compliance professionals in a pharmaceutical multinational, to scientifically validated methodologies. The results obtained, through an interview with a senior manager and a questionnaire applied to the team of investigators, revealed a complex scenario, where the maturity of the organization’s Compliance structure contrasts with a predominantly intuitive mastery of interview techniques, with gaps in formal knowledge and external training. The analysis of empirical data, confronted with specialized literature, allowed for the identification of convergence and divergence points between theory and practice, offering a detailed overview of current approaches and opportunities for improvement.

The company’s Compliance structure, the subject of this study, proved to be robust and independent, with a team of five investigators in Brazil, as well as colleagues in Poland and the Philippines, all reporting to a Director of Compliance Investigations at the European headquarters. This structure ensures the autonomy of the investigative process, a fundamental pillar for the credibility and effectiveness of the integrity program, as advocated by best practices in corporate governance. The Compliance Director for Brazil emphasized that the Global Compliance Incidents Policy requires hearing the accused in practically 100% of cases, in addition to whistleblowers, witnesses, and victims, underscoring the centrality of interviews in gathering information and evidence.

Regarding the incentive for training and the application of approaches based on “rapport”, it was observed that, in the last five years, there has been no financial incentive for external training for the investigation team as a whole. Although the local Directorate has provided invitations to Compliance congresses in 2024 and 2025, the initiative has not translated into a structured external development program. On the other hand, the company promoted an internal three-day Compliance Investigation “Workshop”, with the participation of all Brazilian investigators and those from other regions, being conducted mainly by members of the team itself or from related areas, such as Internal Audit and Human Resources.

Researchers stated that the main source of knowledge on interview techniques comes from training provided by colleagues and practical experience gained from conducting and observing interviews. Only two of the five professionals sought certifications in the field (CPIIC, CFE, CFI) or attended conferences, and only one mentioned acquiring knowledge through specialized educational institutions, academic research, or scientific journals. This reliance on internal learning and practical experience, while valuable, may limit exposure to new and important techniques studied in specialized literature, as pointed out by Russano et al. (2024).

The analysis of the respondents’ profile revealed that the research team in Brazil is predominantly female, representing 80% of the total, with a varied age distribution. Regarding professional experience, most researchers have more than four years of experience in the area of investigative interviews, with only one professional indicating less than four years of experience. This accumulated experience suggests a solid practical foundation, which may contribute to self-confidence in conducting investigations, but not necessarily to the mastery of formal techniques, as will be detailed below.

When questioned about their self-perception of safety in conducting interviews, the entirety of respondents (100%) stated they conduct conversations with adequate safety and experience. This perception of competence, although positive, should be analyzed in conjunction with the low command of formal techniques, indicating that safety may be more linked to practical experience and intuition than to in-depth technical knowledge. The main approach with interviewees, according to 80% of respondents, is the creation of an environment based on trust and connection, which aligns with the principles of “rapport”, while 20% prefer a direct and objective approach, and no investigator indicated an accusatory approach.

Despite the preference for approaches that foster trust, the level of familiarity with formal interview techniques revealed a significant gap. Analyzing a list of techniques such as P.E.A.C.E., Scharff, Cognitive Interview (C.I.), Strategic Use of Evidence (S.U.E.), Motivational Interview (M.I.), among others, the options “Never heard of it”, “Very basic”, and “Basic” totaled 45 responses among the five investigators, while “Intermediate” and “Advanced” totaled only 20 responses. This demonstrates a low level of formal knowledge of scientifically validated methodologies, which are essential for the effectiveness of investigative interviews, as discussed by Cecconello and Stein (2023).

The frequency of use of these formal techniques also corroborates the lack of mastery. The “never” option was selected 35 times by respondents, indicating that many of the methodologies presented are little or never applied in practice. It is noteworthy that no investigator claimed to use the Reid Technique, a coercive approach that specialized literature, such as Moscatelli (2020), points out as ineffective and prone to generating false confessions. This finding suggests that, although authoritarian approaches are avoided, alternatives based on “rapport” are also not formally employed, which may compromise the quality and accuracy of the information collected (Catlin et al., 2024).

Regarding the themes of greatest perceived mastery, 80% of respondents indicated good mastery of “rapport”, while other themes such as question structuring, lie detection, emotion identification and management, and recording and documentation were mentioned by 60% of the investigators. However, the analysis of themes of greatest interest for future development revealed a contradiction: no investigator showed a desire to learn more about “rapport”. The themes of greatest interest were question structuring (80%) and lie detection (60%), indicating that, despite considering themselves proficient in “rapport”, professionals seek improvement in other areas, perhaps perceiving the need to formalize skills that are currently exercised intuitively.

The perception of organizational support for skills development was also assessed. The satisfaction level with internal training provided by colleagues was high, with 60% of respondents satisfied and 20% very satisfied, which aligns with the “Workshop” held internally as mentioned by the Area Director. In contrast, satisfaction with incentives for external training was significantly lower, with only 20% of respondents showing some level of satisfaction, and 20% indicating dissatisfaction or the absence of incentives. This result reinforces the observation that technical development is predominantly internal, limiting exposure to external and specialized knowledge.

The work environment was pointed out by 40% of respondents as the main source of learning, and by another 40% as a factor that contributes significantly to technical development. This dependence on the work environment for knowledge acquisition, although it promotes the exchange of experiences among colleagues, can hinder the introduction of new and important techniques studied in specialized literature, which are not naturally disseminated in an exclusively internal learning context. The lack of incentive for external training can, therefore, perpetuate intuitive practices over formally validated approaches, such as those based on “rapport” (Alison and Alison, 2020).

In open-ended questions about their own behavior during interviews, researchers used terms such as “welcoming,” “adapting to the interviewee,” “empathy,” “calmness,” and “trust,” demonstrating an intuitive correlation with the principles of “rapport” described in the literature. Interviewers’ views on the objective of the conversations also aligned with the literature, with all five respondents mentioning “information gathering” and two of them highlighting “creating a space of psychological safety.” These findings reinforce that, although the intention and intuitive practice approach the ideals of “rapport,” the lack of formal knowledge of the techniques may limit the depth and consistency of this application.

In summary, the results indicate that, despite the maturity of the organization’s Compliance structure and the investigators’ self-perception of security, there is a notable gap in formal technical knowledge and in the training of scientifically validated investigative interview techniques. The predominance of intuitive practices and reliance on internal learning, coupled with the perception of insufficient investment in external training, suggest significant room for improvement. This scenario can directly impact the quality of investigations and, consequently, the effectiveness of the integrity program, by not optimizing the collection of accurate and complete information, which is the central objective of investigative interviews.

4. Conclusion

This study aimed to diagnose the adherence of investigative interview practices, employed by Compliance professionals in a pharmaceutical multinational, to scientifically validated methodologies. It was found that, despite the organization’s Compliance structure being mature and independent, the investigators demonstrated a low command of formal investigative interview techniques, with the predominance of intuitive practices. It was observed that the alignment with the principles of “rapport” occurred in a manner not based on formal knowledge of validated methodologies, and that investments in external training and technical development were perceived as insufficient. The main source of learning for the team consisted of internal training and practical experience, which limited exposure to new and important techniques studied in specialized literature. The contribution of this work lies in highlighting a critical gap in formal technical knowledge and investigator training, indicating room for improvement that can directly impact the quality of investigations and the effectiveness of the company’s integrity program.

However, the conclusions presented here should not be generalized to the entire pharmaceutical sector or the Brazilian business universe. The research was conducted in a single organization, with the participation of only five researchers, and part of the data was obtained through self-perception of the respondents, which may introduce biases inherent in the subjective evaluation of their own competencies. Such limitations suggest caution in interpreting the results. For future studies, it is recommended to replicate this research in other companies in the same sector, aiming for comparisons, and to conduct a longitudinal analysis in the studied organization to monitor the development of practices over time.

Bibliographic References

Alison, E.; Alison, L. 2020. “Rapport”: The Four Ways to Read People. Penguin Random House, London, UK.

Anti-Torture Initiative [ATI]. 2021.Principles on effective interviewing for investigations and information gathering. Disponível em: <https://www.interviewingprinciples.com>. Acesso em: 21 set. 2025.

Brasil. 2022. Decreto nº 11.129, de 11 de julho de 2022. Regulamenta a Lei nº 12.846, de 1º de agosto de 2013, que dispõe sobre a responsabilização administrativa e civil de pessoas jurídicas pela prática de atos contra a administração pública, nacional ou estrangeira, e dá outras providências. Diário Oficial da União, Brasília, 12 jul. 2022. Seção 1, p. 7.

Brimbal, L.; Kleinman, S.; Oleszkiewicz, S.; Meissner, C.A. Developing “Rapport” and Trust in the Interrogative Context: An Empirically-Supported Alternative to Customary Interrogation Practices. p. 141-196. In: Barela, S.J.; Fallon, M.; Gaggioli, G.; Ohlin, J.D. 2020. Interrogation and Torture: Integrating Efficacy with Law and Morality. Oxford University Press, New York, EUA.

Catlin, M.; Wilson, D.; Redlich, A.D.; Bettens, T.; Meissner, C.; Bhatt, S.; Brandon, S. 2024; Interview and interrogation methods and their effects on true and false confessions: A systematic review update and extension. Campbell Syst Rev 20(4): Article e1441.

Cecconello, W.W.; Stein, L.M. Manual de Entrevista Investigativa para a Polícia Judiciária. Goiânia, GO, 2023.

Evans, J.R.; Meissner, C.A.; Ross, A.B.; Houston, K.A.; Russano, M.B.; Horgan, A.J. 2013; Obtaining guilty knowledge in human intelligence interrogations: Comparing accusatorial and information-gathering approaches with a novel experimental paradigm. Journal of Applied Research in Memory and Cognition 2(2): 83-88.

Moscatelli, L.Y.N. 2020; Considerações sobre a confissão e o método Reid aplicado na investigação criminal. Revista Brasileira de Direito Processual Penal 6(1): 361-394.

Russano, M.B.; Meissner, C.A.; Atkinson, D.J.; Brandon, S.E.; Wells, S.; Kleinman, S.M.; Ray, D.G.; Jones, M.S. 2024; Evaluating the effectiveness of a 5-day training on science-based methods of interrogation with U.S. federal, state, and local law enforcement investigators. Psychology, Public Policy, and Law 30(2): 105-120.

Article originating from the Final Course Work of the Specialization in Compliance and ESG of the MBA USP/Esalq

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