As a Pennsylvania Licensed Detective you are a very select and special professional. You have been entrusted and empowered by the court to provide protection to the citizens of the Commonwealth. This protection may take the form of actual physical security. It may take the form of gathering information that will allow individuals and business entities to make prudent decisions that can affect their assets. Most importantly, you are empowered to gather evidence to be used before the many and various tribunals of the law. In this capacity you protect all members of the Commonwealth by assuring that the truth makes its way into the tribunal process.
The essence of freedom is the ability to make judgments. Freedom is exercised through the judgment process. In order that a judgment be just, the truth regarding the entirety of the circumstance must be known to the judgment maker. Truth is the moral currency among free people.
As a license holder you provide the moral currency that assures family members the confidence that the decisions they make are in the family's best interests; that ensures employees may have confidence in their employer's decisions; that provides business-men the knowledge that their decisions serve the best intersts of their employees and those to whom they have fiduciary responsibility; that provides lawyers the assurance that they are giving the best advice to their clients; and jurors the comfort that they have rightfully fulfilled the most solemn duty of free men - to sit in judgment of another free man.
An Investigator uses a careful step by step, patient inquiry or search to accurately ascertain the facts about a given matter. A Detective uses the same process and its progeny combined with context and an understanding of human nature to discover the truth. Detectives are in the business of discovering matters of secret and pernicious import for the protection of the public.
A Detective is the bulwark that insures that the justice system is just! You perform that role by being the moral conscience of the advocacy process!
Advocacy is a champion process. Each professional legal advocate promotes his view of the facts as known in each situation. Except as it may occur by convenience, advocates may have little interest in the truth. They are interested in promoting what appears outwardly and ostensibly to be true. In the mind of the advocate, the relationship between what is true and the truth is nominal. Champions are devoted to convincing a finder of fact to reach the verdict desired by the champion. Dedication to the truth varies by champion and case. The potion prepared by the Detective to dissolve the detritus from the gold of truth is a mixture of morality and context.
To perform these functions set forth by the Pennsylvania Legislature, and ordained to you by the Pennsylvania courts, you must, on a daily basis, conform yourself to the most ethical and moral standards. The role of the Ethics committee for the Pennsylvania Association of Licensed Investigators is to assist you in demonstrating to the citizens of Pennsylvania the high ground you occupy in voluntarily subjecting yourself to a stringent Code of Ethical Conduct.
RULES OF PROFESSIONAL CONDUCT
Part 1 - LICENSE HOLDER CLIENT RELATIONSHIP
Rule 1.1 - Competence
A license holder shall engage to provide to a client only services that the license holder, or those operating under authority of his license, is reasonably competent to provide.
Rule 1.2 - Scope of Services
A license holder shall abide by a client's decisions regarding the objectives of the service, subject to paragraphs (c), (d) and (e), and shall consult with the client as to the means by which they are to be pursued. A license holder shall be responsible for the conduct of any person who operates under authority of his license and assure that the person operating under the license abides by the wishes of the client.
Providing services to a client does not constitute endorsement of the client's political, social or moral views or activities.
The license holder is always responsible for limiting the objectives of the service provided, to conform with the rule of law and professional ethics. These limitations are to be made clear to the client during consultation.
A license holder shall not counsel a client to engage in or assist a client in conduct that the license holder knows to be criminal or fraudulent. A license holder shall not accept assignments that are designed to obstruct justice as defined in the Pennsylvania Crimes Code and the United States Criminal Code. In criminal cases, license holders should not provide information about the activities of law enforcement to anyone other than legal counsel for the accused, or legal counsel for a target of an investigation.
When a license holder knows a client expects assistance not permitted by the rules of professional conduct, or the law, the license holder shall consult with the client regarding the limitations on the license holder's conduct.
Rule 1.3 - Diligence
A license holder shall act with reasonable diligence and promptness in completing assignments.
Rule 1.4 - Communication
A license holder shall keep a client reasonably informed about the status of a matter. There should be reasonable promptness in meeting reasonable requests for information.
A license holder should explain a matter in such a way as to allow the client to make required decisions about the services provided.
Rule 1.5 - Fees
A license holder shall set reasonable fees for his services. Factors to be considered are:
Time and labor required. The novelty, difficulty, and skill needed.
The time requirements of the client. The effect on the license holder's ability to take other assignments.
The experience, reputation and ability of the license holder.
Whether the license holder or a subordinate will handle the project.
The fee structure, services provided, expenses to be billed, and conditions of payment, should be put in writing! This practice may be adjusted, if the client and the license holder have a long-standing professional relationship.
Rule 1.6 - Confidentiality
A license holder shall not reveal information not in the public domain acquired during an assignment unless released by the client or as required by law or as required by paragraph (b).
A license holder may reveal that information he reasonably believes necessary:
To prevent a client from committing a crime, including disclosure of intent to commit a crime.
To respond to allegations that an assignment was mishandled.
A license holder is responsible to inform all those who operate by the authority of his license that they are forbidden to reveal any information concerning an assignment. The license holder is responsible for reporting a violation of this section to the appropriate officer of the court.
Rule 1.7 - Confilict of Interest
A license holder shall not accept an assignment the objective of which will be directly adverse to another client unless:
The license holder reasonably believes the assignment will not adversely affect the interests of the other client and that client consents after consultation.
A license holder shall not accept fees from a third party unless the client knows of the payment and agrees to the terms set by the benefactor. The license holder shall make full disclosure of the conditions by the benefactor to the client and obtain the client's agreement to the terms. The license holder shall not provide information to the benefactor acquired during the project without the prior consent of the client.
A license holder who has in the past performed services for a client shall not there after perform services for another in the same or substantially related matter in which the former client's interests are adversely affected unless the former client is consulted and consents, prior to accepting the assignment.
A license holder shall not knowingly accept an assignment in the same or substantially related matter when that former matter was accepted by the license holder for a client:
Use information to the disadvantage of the former client, except when the information has become generally known; or
Reveal information relating to the assignment.
Rule 1.8 - Successive Government and Private Employment
Unless expressly permitted by law, a license holder shall decline an assignment from a client that relates to a matter in which the license holder, or any person operating under authority of the license holder had contact with while working as a public officer, unless the appropriate government agency consents after consultation.
A license holder shall not use information he should know is confidential government information acquired when the license holder or someone who operates under authority of the license holder's license worked for a government agency.
Rule 1.9 - Terminating Assignment
A license holder shall not accept an assignment, or when an assignment has commenced, shall withdraw if:
The assignment violates the rules of professional conduct.
The license holder's physical or mental condition impairs the ability to complete the assignment.
The client discharges the license holder.
Part 2 - COUNSELOR
2.1 - Advisor
A license holder shall exercise independent professional judgment and render candid advice. In rendering advice the license holder should refer to the law, forensic sciences, and other relevant considerations such as moral, social and political factors that may impact the client's situation.
2.2 - Intermediary
Not- withstanding that a license holder's role is as an analyst, not an advocate, the license holder may act as a intermediary as a service to a client.
The goals and limits of the mediation shall be set by consultation and consent of the client. The set limits shall not be exceeded without consultation with and consent of the client.
Part 3 TRIBUNALS AND FACT FINDERS
Rule 3.1 Candor Towards Tribunals and Fact Finders
A license holder shall not knowingly:
Make a false statement of material fact to a tribunal or fact finder.
Allow one who works under authority of his license to make a false statement of material fact to a tribunal or fact finder.
Fail to report to the appropriate officer of the court, a false statement of material fact to a tribunal or fact finder.
Fail to disclose a material fact to a tribunal, finder of fact or the appropriate office of the court, when disclosure is necessary to avoid assisting a criminal or fraudulent act by a client.
The duties of paragraph (a) continue to the conclusion of the proceeding.
Part 4 - Maintaining the Integrity of the Profession
Rule 4.1 Truthfulness in Statements
A license holder while performing activities related to his license shall not knowingly make a false statement of material fact to a third party, except while engaged in a sub- rosa role determined to be proper conduct, lawful conduct and necessary conduct in completing a service.
Rule 4.2 Legitimacy of Service
A license holder shall not provide services when he knows or recklessly disregards available knowledge that :
The information or service provided will be used to commit or facilitate a crime or fraud.
The information or service provided has no legitimate value to the client other than to harass, intimidate, or expose a third party to ridicule or scorn.
The information or service provided will put a third party in physical danger.
Rule 4.3 Misconduct
It is professional misconduct for a license holder to:
Violate or attempt to violate the rules of professional conduct, knowingly assist or induce another to do so, or do so through the acts of another.
Commit a criminal act as defined in Title 18, and Title 22, Pennsylvania Statutes, regulating the conduct of license holders, or any other criminal act which reflects adversely on a license holder's honesty, trustworthiness or fitness as a license holder.
Engage in conduct involving dishonesty, fraud, deceit or misrepresentation.
Engage in conduct that is prejudicial to the administration of justice.
State or imply the ability to influence a third party, improperly or corruptly.
Engage in conduct that is designed or has as its intended goal the improper or corrupt influence of a decision made by a client, a person operating on behalf of a client, or a third party.
Employ or continue to employ anyone to operate under the authority of one's license or other person who violates or who has been known to violate Rule 4.3 or any other rule of professional conduct.
Rule 4.4 Reporting Misconduct
A license holder, having knowledge that another license holder has violated the rules of professional conduct that raises a substantial question as to the license holder's honesty, trustworthiness or fitness as a license holder, shall inform the appropriate professional authority.
A license holder having knowledge that another person, operating under the authority of a license not his own, has violated the rules of professional conduct creating a substantial question as to that person's honesty, trustworthiness or fitness to serve under the authority of a license holder, shall inform the appropriate professional authority and should inform the affected license holder.
A license holder who knows of substantial violations of Title 22, Pennsylvania Statues by an unlicensed person should bring such violation to the attention of the appropriate professional authority.
Rule 4.5 Safety of Others
A license holder who carries weapons, or who permits others operating under authority of his license to do so, shall comply with all state laws regulating the ownership, possession, and bearing of such weapons.
A license holder who carries weapons or who permits others operating under authority of his license to do so, shall comply with all state mandated training, requirements for the bearing of such weapons.
A license holder who carries weapons or who permits others operating under authority of his license to do so, should see that all such persons who carry weapons successfully and regularly engage in verifiable training regiments on the competent use of that weapons system including, rigorous requirements for accuracy, skilled system manipulation in high stress environment and scenario based high stress decision making in an interactive, fluid, force on force environment.
Part 5 - Enforcement of the Code of Professionalism
Rule 5.1 Basis For Enforcement
Enforcement of the code of professional conduct serves as a demarcation. It sets apart those who are like minded in their discipline to ethical standards of moral and right behavior from those who do not share such values. Investigations, inquiries, and proceedings conducted by the committee shall be in accord with the rules of professional conduct.
Rule 5.2 Structure of the Ethics Committee
The committee will be comprised of the PALI President, Committee Chairman and such others, permanent and temporary members as the President deems necessary. All members of the committee will serve at the pleasure of the President. The Chairman will assist the President with counsel on ethical questions and in the mechanical accomplishment of the association goals for professional development.
Each member of the committee shall have demonstrated working knowledge of ethics / professional responsibility related issues.
The committee shall represent a cross section of practice areas and level of experience as a license holder. The committee chairman shall have at least ten years, full time active experience as a license holder. It is recommended that the committee be comprised of permanent members with the following credentials:
One license holder with in excess of five years full time experience.
One license holder with in excess of three years full time experience.
One license holder with in excess of one year of full time experience.
One trial lawyer with in excess of five years experience.
One professional manager from the insurance / business community with in excess of five years experience.
Rule 5.3 Committee Operations
The committee will meet on an as needed basis to discuss investigate and/or adjudicate alleged violations of the rules.
A majority of the members, permanent and temporary, serving on the committee at that time, shall constitute a quorum.
The chairman shall appoint a recording secretary to maintain complete and accurate minutes of all committee meetings. All minutes will be kept confidential until a decision has been made that the matter will be set for a formal hearing.
If any member has a conflict of interest with the person making the allegations, the respondent, or the allegation, that member shall not take part in any hearing or deliberations concerning those allegations. If the absence of that member creates a lack of a quorum for the committee, the committee chairman, or in his absence, the President will appoint a temporary member.
The committee may seek the counsel of a license holder, not a member of the committee while accomplishing its task or mission. The committee may seek the counsel of any other person while accomplishing its task or mission. All such persons contacted for counsel shall maintain the information received in strict confidence.
The alleging party or the responding party may request, that for good cause shown, a specific member of the committee not participate in a hearing or deliberation. Legitimate requests should be honored. Should the stepping down of a committee member for this reason create a lack of quorum, the committee Chairman, or in his absence the President shall appoint a temporary member.
Discussions and correspondence of the committee shall be kept confidential until a decision has been made that the matter be set for a hearing.
Correspondence from the committee to the respondent regarding any allegation and any decision made regarding the allegation shall be sent certified mail, return receipt requested, to the last known address of the respondent and shall be clearly marked personal and confidential.
Requests for review of conduct that may operate outside the strictures of Title 22, Pennsylvania Statutes, the Constitution and bylaws of PALI or the rules of professional conduct will be directed in writing to the President. The request will include all known details of the alleged conduct. The President will decide if the committee should review the matter.
Upon referral from the President the committee will have 30 days to notify the respondent and seek his response. The respondent shall be informed of the nature and details of the allegations and the identity of the person making the allegation unless for very good cause shown, that information should be withheld. The respondent will have 15 days to reply to the allegations.
Rule 5.4 Procedure for Investigation
Upon receipt of a written allegation or on its own initiative the committee may initiate an allegation.
If upon initial or preliminary review, the committee makes a determination that the charges are either without basis in fact, are not timely brought, or if proven, would not constitute professional misconduct, the committee shall dismiss the allegations. If such determination of dismissal can not be made, a referral for a formal investigation shall be made.
Upon a referral for formal investigation and when not in violation of Title 18 or Title 22, Pennsylvania Statutes, the committee may and should use quiet means to accomplish the goals of the rules of conduct. The means should allow for the dignity of the respondent and the Association. The Chairman and the President may appoint intermediaries as are necessary to accomplish the goals of the Association. The mediation process should be given such time as is reasonable under the circumstances to pursue the issue. Should the committee decide that mediation is not proceeding in timely fashion, the formal investigation will commence.
Upon the institution of a formal investigation the committee shall:
Within seven (7) business days notify in writing the accuser and the respondent that the investigation has commenced. The writing will give details of the charges and the applicable rules.
The responding party will have 15 business days to submit a confidential written response to the committee that shall fully address each charge specifically. The Chairman or the President may grant a reasonable time extension for the response. Should the allegations involve criminal conduct and a law enforcement authority has instituted criminal charges, the respondent will be excused from making a written response to allegations that parallel the conduct alleged in the criminal complaint so long as he:
acknowledged he is the person identified in the criminal charges.
agrees to resign from the association unless and until he is acquitted or the charges are dismissed.
agrees that he is not entitled to automatic reinstatement of membership in the association and submits to the rules of conduct inquiry.
Upon receipt of the response the committee shall have 30 days to investigate the charges. The Chairman and the President shall consult on and make any extension in time necessary.
Upon the conclusion of the investigation the committee may:
Dismiss the allegation upon a finding of no basis in fact.
Dismiss the allegations upon finding that the charge does not constitute a violation of Title 18, Title 22, or the rules of conduct.
Refer the matter for a hearing.
Should the matter show criminal activity refer the investigation results to the appropriate law enforcement authority.
Rule 5.5 Procedures For Misconduct Hearing
Upon the decision by the committee that a matter should be heard, the accuser, the respondent and the Board of Directors of PALI shall be notified and a hearing date set. The hearing should take place no more than 30 days from the notification of need for a hearing.
The Board of Directors shall sit as the adjudicating body. Should a member of the Board be a party to the matter considered, a witness or have a special interest in the outcome, the Board of Directors should remove that member and appoint a replacement to serve in his stead to hear the specific matter.
The Chairman shall assist the Board of Directors by presenting relevant witnesses that the committee, the parties, and the Board would want to hear. Relevant documentation may also be presented to the Board that the Board believes will lead to a reasonable finding in the matter.
Upon completion of the hearing the Board shall deliberate and present a decision in the matter. The decision shall be filed within ten working days of the conclusion of the hearing.
The decision of the Board shall be published to the membership and other interested parties.
Rule 5.6 Sanctions
Upon a finding of misconduct by the Board of Directors, any of the following or any combination of the following or any other sanction as deemed appropriate by the Board of Directors and which is justified in writing, may be imposed on the accused.
Counseling on ethical conduct.
A letter of reprimand.
Suspension from PALI for a specified period.
Removal from PALI.
Referral of the findings of the Board of Directors to any appropriate law enforcement or licensing entity.
Upon the expiration of any period of probation or suspension the accused party may make application for reinstatement. The accused must show proof of having complied with all aspects of the sanctions imposed by the Board of Directors.
Part 6 - Guidance on the Rules of conduct
Rule 6.1 Guidance
License holders may ask the committee for guidance when confronted with ethical dilemmas. The license holder may rely on the guidance provided by the committee to satisfy any requirements under the rules of conduct provided:
The license holder discloses all facts and circumstances impacting the dilemma to the committee in writing.
The guidance is sought in advance of the implementation of any decision or conduct that would create a violation of any of the rules of conduct.
That the license holder does not exceed the advice given by the committee.
Rule 6.2 Confidentiality
License holders are entitled to rely on the confidentiality of communication with the committee. Committee members shall not discuss the matters revealed by a license holder who seeks guidance on matters dealing with rules of conduct unless:
The license holder releases the committee to discuss the matter.
The committee is directed by a judicial officer to reveal the nature and specifics of the contact.
The license holder behaves in a fashion that appears to violate the rules of conduct after seeking guidance.
There is a hearing before the Board of Directors on an accusation of a violation of the rules of conduct when the committee on a same or similar matter had previously provided the license holder with guidance
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