1) The document discusses ethics in strategic intelligence and information security, outlining both ethical and unethical practices. 2) It provides definitions of environmental scanning as the acquisition and use of external information to help organizations understand changes and plan responses. 3) Guidelines are presented for ethical competitive intelligence activities like using public information sources, versus unethical practices like industrial espionage.

1. ETHICS IN INTELLIGENCE AND
INFORMATION SECURITY
Lesson 8 – August 19th, 2011
LECTURER: Isabel Santos
CURSO: “INTELIGÊNCIA ESTRATÉGICA
GERIR A MUDANÇA OBSERVANDO OS SEUS SINAIS”

2. Discussing Ethics in SI/CI
• “In Corporate Warfare an action of a competitor in one
country may be construed as industrial espionage and in
another country it may amount to terrorism, whereas in
certain countries this may just be the usual practice in
which they gather information on competitors”.
Vivek Raghuvanshi, CI Practitioner
Isabel Santos ©

3. DON’TS
- Not false job interviews
- Misrepresent ourselves
- Compromise Proprietary information
Isabel Santos ©

4. Fédération des Professionnels de l'Intelligence Economique (FEPIE)
• N'accepter que des missions pour lesquelles nous disposons de la compétence professionnelle requise
ou pour lesquelles nous sommes en mesure de monter les équipes de travail répondant au besoin
• Ne fournir que des informations accessibles par des moyens légaux, quel que soit le lieu d'application
de l'activité.
• Ne délivrer et n'utiliser que des informations dont nous avons vérifié la véracité et la crédibilité de la
source.
• Assurer une totale confidentialité concernant les informations et données fournies par le client et celles
recueillies à son profit au cours de la mission.
• Ne pas travailler pour deux sociétés concurrentes sur des problématiques similaires risquant d'entraîner
un conflit d'intérêt.
• Ne pas porter atteinte aux intérêts fondamentaux de la France. Les termes de la mission doivent alors
être modifiés ou la mission refusée.
Isabel Santos ©

5. • Competitors’ brochures, Annual, Gov. Reports
• Court Records, Articles and news on internet
• Monitoring archives belonging to the competitor
• Collecting open source information
• Mapping competitors by finding their partners,
vendors and customers by searching internet
for pages with links to the competitor
• Mapping competitors customers on social
media platforms
• Searching through archives and Google News
and newspapers home pages for keywords that
are connected to the company being monitored
• Publications from competitors sometimes give
very detailed information about what they have
bought or sold or joint venture, M&A.
Ethical Sources and Procedures in Intelligence
Market surveys and consultants’ reports
 Financial reports, and brokers’ research surveys
 Trade fairs and competitors’ brochures
 Analysis of competitors’ products
 Overt surveillance
 Meetings with suppliers (‘grey area’ )
 Trade shows
 Sales force meetings
 Seminar / conferences
 Recruiting ex-employees of competitors (‘grey area’ )
 Discussion with shared competitors
 Social contact with competitors
 Advertising campaigns and Promotions
 Tenders and Patent applications
SOURCE: Vivek Raghuvanshi
Other sources and Ning CI community
Isabel Santos ©

6. SI/CI Ethics(Competitors)
• Grey Area: A ‘grey area’ is a Competitive Intelligence activity
(normally related with information collection) that raises ethical
doubts or questions for a practitioner.
For example: What ethical questions emerge in these specific situations?
• Elicitation of information using email and telephone calls in the form of disclosures made by
competitors’
• Legitimate employment interviews with people who worked for competitor
• Disguised questioning and ‘drawing out’ of competitors’ employees at technical meetings
• Hiring competitors employees to acquire specific know how
• Mapping competitors internal networks in connection with projects or consultancy
Isabel Santos ©

7. •
• Trespassing on competitors premises
• Bribing competitors employees and suppliers
• Inserting a fake employee in competitors
organization
• Blackmail
• Extortion
• Industrial Espionage (Proprietary Information)
• Phony job interviews
• Using private investigators and detectives to
extract specific information
• Fake negotiations with competitors for license
• Covert surveillance
• Accessing competitors internal pages on
internet with a false identity or an identity used
by the competitor’s customers
Forbidden Practices in Intelligence (Conc.)
Source: Ning CI and others
Isabel Santos ©

8. Industrial Espionage: Some Methods
• Hacking
– System Hacking
– Remote Hacking
– Physical Hacking
• Social Engineering
– Managing/ Manipulating Human
Behaviour
(passwords, corporate information)
Isabel Santos ©
• Dumpster Diving
(company phone books, organizational charts,
memos, company policy manuals, calendars of
meetings, events and vacations, system manuals,
printouts of login names and passwords, printouts
of source code, disks and tapes, company
letterhead and memo forms, and
outdated hardware)
• Phone Eavesdropping
(fax and telephone transmissions)
(SANS INSTITUTE, 2007)

9. SANS Institute Report (2007):
• Marketing Plans
• Source Code
• Customers Profiles
• Product Development Plans
• Production Process Manuals
• Data on Geographic Markets
• Manufacturing Facility Plants and Plans
• Location of Factories and Commercial Branches
• Description of Organizational Process and Procedures
• Corporate Web Sites
• Suppliers, Distributors, others Stakeholders
Isabel Santos ©
Information Target by Industrial Espionage
Isabel Santos ©

10. • Contracts (details about pricing, costs, product
delivery, distribution, etc)
• Information about Mergers & Aquisitions
• Advertising Campaigns.
• Strategy and Strategic Goals
• Organograms
• Employees’s Salaries and Wages
• Human Resources Policies and Procedures
• Finantial Data: Profits Forecasts, Cost Structure,
Departaments Bugdets.
• Team Profiles, Skills and Competences
and….
Isabel Santos ©
Information Target by Industrial Espionage
Isabel Santos ©

11. Personal Data
• Home Adresses
• Phone Numbers
• Names of Family Members
• Medical Records
• Tax Payer and National Insurance Numbers
• Employees Performance Evaluation
• Confidential Finantial Data (Credit Card Numbers, Bank
extracts, etc)
Isabel Santos ©
Information Target by Industrial Espionage
Isabel Santos ©

12. Competitive Intelligence & Counterintelligence
1 - Identificar Necessidades de Informação
2 - Mapear Fontes;
Recolher Informação
3 - Análise
4 - Comunicação
1 – Definir Requisitos de Protecção
de Informação
Avaliar a Concorrência
Avaliar as Vulnerabilidades
Desenvolver e Aplicar
Contra medidas
Análise
Comunicação
Isabel Santos ©

13. “The strategic goal of the Economic Security Program (PSE) is to defend and protect the portuguese
economic assets and investments from foreign threats”
Isabel Santos ©

14. LÍDER
Obter Apoio
e Recursos
Para Onde
Olhar?
CONTEXTO
AMPLO
PEAST
Ferramentas
Definir os
Parâmetros de
Comunicação
Colaboradores
5 Forças
de Porter
Questão
de Invest.
Fontes
FCS
KITs
Para Onde
Olhar?
INDÚSTRIA
Envolver a
Organização
Gestores I. .
Investigador(es) de Intelligence
(Requisitos)
Sensibilizar
Vender a ideia
Captar Apoio
• Conhecer a Organização
• Conhecer a Indústria
• Dominar Métodos
• Apetência pela Pesquisa &
Investigação
• Curiosidade ‘Renascentista’
• Atento/ Interessado no que
ocorre Fora das Fronteiras formais
da Empresa
• Criativo / Pensar ‘algo’ fora da
Caixa
• ‘Atitude’ e Apetência para
pesquisar, descobrir informação
exclusiva, trazer ‘novidades’ do
terreno (sobre os clientes, sobre
um fornecedor, a partir de
eventos, etc.)
• Capacidade de consumir e
absorver grandes quantidades de
informação
14
Apresentar logo um
‘Serviço’
Ex: Vigilância de um concorrente
Análise
INTELLIGENCE
• Definir outros Focos:
• Monitorizar sistematicamente um
Concorrente (desempenho, vendas,
promoção, canais de distribuição,
etc.), Clientes existentes ou
potenciais, Recursos Humanos,
Fornecedores, Campanhas de
Comunicação,
• Aplicar Ferramentas
& Técnicas
Sensibilização e Cultura
Organizacional
Sensibilizar para a Partilha de
Informação
Sensibilizar para proteger
informação sensível e evitar
comportamentos de risco.
Formação ‘in house’ ou fora.
Recursos de Aprendizagem
Definir procedimentos e meios:
Identificação e Participação em Eventos
Subscrição de Serviços/BD informação
Orçamento? Tecnologias genéricas: Intranet
Email, ‘caixa de ideias’ Wikis, outros
Periodicidade de Pesquisa e Reporting
Modo de Comunicar e Instrumentos de apoio
- Quem?
- Sobre o Que?
- Periodicidade
- Informação
Actualizada
- Forma
- Canal
Isabel Santos ©
IMPLEMENTING AN “INTELLIGENCE FUNCTION”
What is needed?

15. 15
Environmental scanning is the (1) acquisition and use of information about events, trends, and
relationships in an organization’s external environment, (2) the knowledge of which would assist
management in planning the organization’s future course of action (Aguilar 1967, Choo and
Auster 1993). Organizations scan the environment in order to understand the external forces of
change so that they may develop effective responses which secure or improve their position in the
future. (3) They scan in order to avoid surprises, identify threats and opportunities, gain competitive
advantage, and improve long- and short-term planning (Sutton 1988). To the extent that an (4)
organization’s ability to adapt to its outside environment is dependent on knowing and interpreting
the external changes that are taking place, environmental scanning constitutes a primary mode of
organizational learning. (5) Environmental scanning includes both looking at information (viewing)
and looking for information (searching). It could range from a casual (6) or a conversation at the
lunch table or a chance observation of an angry customer, to a formal market research program
scenario planning exercise. (CHOO,2001)
STRATEGIC INTELLIGENCE:
Uma definição integrada enquanto actividade de Exploração
do Meio Ambiente (ENVIROMENTAL SCANNING)
Isabel Santos ©

16. Caso 1 –Concorrência Crédito ao Consumo (2007)
Empresa do Crédito ao Consumo no mercado português actuando no Financiamento
Automóvel, Crédito Pessoal e Crédito Consolidado (este último composto junto com o
Crédito Habitação, o Crédito Hipotecário)
Encomenda um Identificação da Concorrência do sector
Bancos SFACs Marcas
Automóveis
Financeiras Concessionários
Consultores Individuais
Franchising (Banca
Estrangeira)
Clubes de Futebol
Novos Concorrentes
Produtos
Condições
Preços
Produtos
Condições
Preços
ATENÇÃO
- Aumento da Pressão dos
Consumidores
- Volúme de Queixas em
Reguladores e Associações
- Directiva EU em aprovação
“Protecção ao Consumidor”
- REVISÃO + RESTRITIVA DA
LEGISLAÇÃOIsabel Santos ©

17. REFERENCES
• Chun, Wei Choo. “Environmental scanning as
information seeking and organizational learning”. Faculty
of Information. University of Toronto. Available at:
http://choo.fis.utoronto.ca/ir/choo/choo.html
• Fédération des Professionnels de l'Intelligence
Economique (FEPIE). http://www.synfie.fr/
• Ning Competitive Intelligence Community.
http://competitiveintelligence.ning.com
• Programa de Segurança Económica. Available at:
http://www.pse.com.pt
• SANS Institute (2007) “Corporate Espionage 201”.
Report.
Isabel Santos ©