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Study group > CPP 2012 Domain 3: Investigations > Flashcards

CPP 2012 Domain 3: Investigations Flashcards

1
Q

What are the five qualities that characterize an effective, reliable investigation?

A

Objectivity,
Thoroughness,

Relevance,
Accuracy,
Timeliness.

Source: POA: Investigation, 1.1.1, pages 2-6

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2
Q

What are the three levels of investigative management?

A

Strategic,
Operational,

Case.

Source: POA: Investigation, 1.3, page 10

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3
Q

In an investigation, what is generally the best reporting chain from the source of information to the decision maker?

A

The shortest one.

Source: POA: Investigation, 1.3.1, page 16

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4
Q

What are the three main tools of an investigator?

A

Information,
Interrogation,
Instrumentation.
Source: POA: Investigation, 1.3.3, page 22

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5
Q

How many years of experience should a new investigative hire have?

A

As a rule of thumb, new hires should have at least two years of experience conducting investigations.

Source: POA: Investigation, 1.3.3, page 23

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6
Q

What are the five principal resources of an Investigations Unit (IU)?

A 
People, 
Information, 
Credibility,
Physical assets,
Financial assets.
Source: POA: Investigation, 1.3.5, page 31
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7
Q

What is perhaps the best way to achieve funding for an IU?

A

Demonstrate how the unit pays for itself.

Source: POA: Investigation, 1.3.5, page 31

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8
Q

What elements constitute the investigation lifecycle?

A 
Initiation,
Investigation,
Reporting,
Results/follow-up.
Source: POA: Investigation, Figure 1-4, page 32
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9
Q

In investigations, what’s the difference between an analysis diagram and a horizontal diagram?

A

An analysis diagram links details regarding persons, events, etc. during an investigation.
A horizontal diagram compares different periods of a company’s financial statement that will be beneficial during a fraud investigation.
Source: POA: Investigation, 1.3.7, page 39

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10
Q

In what situation is protecting investigative information particularly difficult?

A

Protecting information can be difficult when working with joint task forces, because each participating agency likely has different policies, definitions, perspectives, and attitudes towards what is sensitive and warrants protection.

Source: POA: Investigation, 1.3.11, page 44

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11
Q

What is OPSEC?

A

OPSEC, or operations security, is a simple and systematic method of employing safeguards to protect critical information. It responds to the fact that small bits of information from different sources can be combined to reveal sensitive information.

Source: POA: Investigation, 1.3.11, page 44; IAP, 1.4.6, page 17

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12
Q

What are the most challenging problems in international investigations?

A

Cultural differences create challenges in international investigations.

Source: POA: Investigation, 1.3.12, page 49

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13
Q

What is the overall objective of an investigation?

A

A successful outcome or resolution of the case.

Source: POA: Investigation, 1.3.13, page 49

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14
Q

What is the most common type of investigation in business settings?

A

Incident investigations.

Source: POA: Investigation, 1.4.1, page 50

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15
Q

What is the typical initiation event in a private sector incident investigation?

A

An incident report.

Source: POA: Investigation, 1.4.1, page 50

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16
Q

What is the best way to prepare for workplace misconduct investigations?

A

Coordinate as soon as possible with the HR director and corporate legal counsel because of the possibility of employee legal action.

Source: POA: Investigation, 1.4.2, page 53

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17
Q

What four situations do workplace misconduct investigations typically address?

A 
Conflict of interest,
Corporate resource abuse/theft,
Workplace violence,
Substance abuse.
Source: POA: Investigation, 1.4.2, pages 55-57
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18
Q

What is the biggest challenge in investigating workplace misconduct issues?

A

Getting employees to report wrongdoing.

Source: POA: Investigation, 1.4.3, page 58

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19
Q

What are the three force multipliers in investigations?

A

Online information sources (e.g. commercial databases),
Liaison (e.g. joint task forces),
Intelligence information (e.g. informants).
Source: POA: Investigation, 1.6, pages 63-74

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20
Q

What are three major pitfalls of using online information sources for investigations?

A

Going off on a tangent/spending too much time online,
Assuming online information is credible without exploring further, Searching online sources may not be best use of an investigator’s time.
Source: POA: Investigation, 1.6.1, page 65

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21
Q

What are four key challenges to watch for when operating within a joint task force?

A 
Parochialism,
Protection of sensitive information,
Data management,
Reporting chains.
Source: POA: Investigation, 1.6.2, page 70
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22
Q

What are the four stages of an investigative reporting process?

A

Initial report,
Progress report (within 30 days of initial report),
Special report,
Final report.
Source: POA: Investigation, 1.7.1, page 75

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23
Q

Who is the only corporate official who should retain a copy of an investigative report?

A

The attorney of record.

Source: POA: Investigation, 1.7.1, page 77

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24
Q

What kind of legal privilege is typically granted to properly controlled investigative reports?

A

Qualified privilege, protecting against defamation suits.

Source: POA: Investigation, 1.7.1, page 77

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25
Q

When should an undercover investigation be used?

A

An undercover investigation is appropriate only when no other alternatives are available and the company can reasonably expect a significant return on investment.

Source: POA: Investigation, 2.1, page 91

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26
Q

What is the main potential problem in an undercover investigation?

A

The possibility that the investigation will be exposed or compromised.

Source: POA: Investigation, 2.1, page 91

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27
Q

Who should be made aware of the existence of an undercover investigation?

A

Only those with an absolute need to know.

Source: POA: Investigation, 2.1, page 92

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28
Q

What is the least understood and most underused form of investigation?

A

Undercover investigation.

Source: POA: Investigation, 2.3, page 93

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29
Q

What are the five phases of an undercover operation?

A

Planning and preparation,
Information gathering—operative placed,
Verification and analysis—operative removed,
Discipline and corrective action,
Prevention and education.
Source: POA: Investigation, 2.6, pages 95-106

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30
Q

Under what three conditions should undercover investigations definitely NOT be used?

A

To investigate activity permitted or protected by law,
To replace a less costly form of investigation that will yield the same results,
To investigate protected union activities.
Source: POA: Investigation, 2.5, page 95

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31
Q

Who should make up the investigative team for an undercover investigation?

A

A corporate decision maker,
An HR representative,
A corporate security professional,
An attorney familiar with employment law.
Source: POA: Investigation, 2.6.1, pages 95-96

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32
Q

Which kind of investigations cannot be done without police assistance?

A

Ones involving illegal drugs.

Source: POA: Investigation, 2.6.1, page 97

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33
Q

In what two ways can an undercover operative be placed?

A 
Cold hire (operative applies for a job just like any other applicant),
Controlled hire (the employment process is covertly manipulated so the operative is hired and appropriately placed).
Source: POA: Investigation, 2.6.1, page 99
34
Q

What is key to a sound back story of an undercover operative?

A

Personal details that are not true but are known to the targeted employee, such as schools attended, former workplaces, or previous home neighborhoods

Source: POA: Investigation, 2.6.1, page 99

35
Q

Who should make up the project management team for an undercover investigation?

A

Undercover investigator,
Project manager,
Client representative,
Corporate attorney,
Law enforcement representative (if necessary).
Source: POA: Investigation, 2.6.2, page 100

36
Q

What is the most fundamental form of communication in undercover assignments?

A

Written reports.

Source: POA: Investigation, 2.6.2, page 101

37
Q

How frequently should investigative summaries of undercover operations be produced?

A

Typically, summaries are prepared after the operative has completed 10 consecutive days of work.

Source: POA: Investigation, 2.6.2, page 103

38
Q

Who is the person responsible for maintaining and archiving closed case files, including all notes, reports, and summaries?

A

The custodian of record.

Source: POA: Investigation, 2.6.2, page 104

39
Q

When should the name of the operative, a code name, or case number be indicated on the outside cover of an undercover case file?

A

Never.

Source: POA: Investigation, 2.6.2, page 104

40
Q

How does the progression of interviews differ between regular investigations and undercover investigations?

A

In regular investigations, the interview process closes in on the perpetrators over time.
Undercover investigations begin with those most involved and work towards those less involved.
Source: POA: Investigation, 2.6.3, page 105

41
Q

Workplace crime is the function of which three fundamental elements?

A

Quality of hires,
Environment in which staff is placed,
Quality of supervision over environment and staff.
Source: POA: Investigation, 2.6.5, page 106

42
Q

When is the best time to remove an undercover operative?

A

When he or she is named as an offender by coworkers.

Source: POA: Investigation, 2.7, page 107

43
Q

Which five guidelines should be observed for workplace drug purchases that are part of an investigation?

A

Qualify the dealer,
Coordinate with law enforcement,
Buy down not up (purchase a small amount),
Make purchases on company time,
Avoid actual drug use.
Source: POA: Investigation, 2.8.1, page 108

44
Q

What value does company prosecution of employee drug offenses have?

A

Minimal value.

Source: POA: Investigation, 2.8.1, page 109

45
Q

What do investigators often find is a precursor to an organization’s theft problem?

A

A substance abuse problem.

Source: POA: Investigation, 2.8.2, pages 109-110

46
Q

Can an undercover operative participate in a scheme to steal?

A

Yes, if pre-approved by a project management team.

Source: POA: Investigation, 2.8.2, page 110

47
Q

When is the most accurate time for determining whether a due diligence investigation was correctly conducted?

A

After the deal is complete, when observers review the investigation and compare it with results.

Source: POA: Investigation, 3.1, page 126

48
Q

What kind of investigation might be required when one party expects to change positions based on representations made by another party?

A

Due diligence.

Source: POA: Investigation, 3.1, page 127

49
Q

What is one of the most common errors in “friendly” due diligence investigations?

A

Relying on information provided by the target.

Source: POA: Investigation, 3.2, page 129

50
Q

What is the key to a good due diligence investigation?

A

Understanding the needs of the client and the transaction at hand.

Source: POA: Investigation, 3.4, page 132

51
Q

What is strategic due diligence?

A

Strategic due diligence is a process that considers an acquisition in the context of its industry and asks whether the acquisition will benefit the organization.

Source: POA: Investigation, 3, Appendix D, page 153

52
Q

What is operational due diligence?

A

Operational due diligence looks at a transaction to determine what the buyer can do to realize improvements in productivity and profitability.

Source: POA: Investigation, 3, Appendix D, page 154

53
Q

What is the primary purpose of a background investigation?

A

To prevent losses and mitigate damages.

Source: POA: Investigation, 4.3, page 162

54
Q

In what three ways does preemployment screening benefit a business?

A

Encourages honesty,
Demonstrates the organization’s due diligence,
Ensures that job candidates are qualified.
Source: POA: Investigation, 4.3, page 162

55
Q

How is criminal history information frequently recorded in Latin America that is different from much of the rest of the world?

A

By the person’s mother’s maiden name.

Source: POA: Investigation, 4.4.1, page 163

56
Q

What document is the basic starting point for preemployment screening?

A

The employment application.

Source: POA: Investigation, 4.5.2, page 167

57
Q

What is the most common preemployment screening method?

A

A criminal records check.

Source: POA: Investigation, 4.5.2, page 169

58
Q

How long should a gap in employment be before it triggers an investigation during background screening?

A

One month.

Source: POA: Investigation, 4.6.1, page 170

59
Q

How do background checks, background investigations, and preemployment screening differ?

A

Background checks verify information provided by the applicant.
Background investigations actively seek new information.
Preemployment screening is a broad term that covers the aforementioned, as well as elements such as drug screening, psychological testing, and polygraph tests.
Source: POA: Investigation, 4.7, pages 171-172

60
Q

When can medical preemployment screening be employed?

A

When it specifically relates to a requirement of a job.

Source: POA: Investigation, 4.7.2, page 173

61
Q

What is the most appropriate role for HR in background screening?

A

Conducting preliminary screening, such as initial reference phone calls.

Source: POA: Investigation, 4.8.2, page 174

62
Q

What is the purpose of an investigation?

A

To determine the truth of a matter in question.

Source: POA: Investigation, 5, page 181

63
Q

What is an administrative interview?

A

The process of interviewing witnesses, friends, supervisors, and anyone other than the subject or suspect in the investigation.

Source: POA: Investigation, 5.1, page 182

64
Q

What is the difference between an interview and an interrogation?

A

An interview is a nonaccusatory conversation, while an interrogation is an accusatory process designed to persuade the subject to tell the truth about the issue under investigation.

Source: POA: Investigation, 5.1, page 182

65
Q

According to John E. Reid and Associates, what are the four objectives of an interview?

A 
Obtain valuable facts, 
Eliminate the innocent, 
Identify the guilty, 
Obtain a confession.
Source: POA: Investigation, 5.1, page 183
66
Q

What are the elements of Maslow’s Hierarchy of Needs, from primary to higher order?

A 
Physiological/survival,
Safety/security,
Affection/social needs,
Esteem needs,
Self-fulfillment or self-actualization.
Source: POA: Investigation, 5.2.1, pages 184-185
67
Q

Where should an interview take place?

A

In an environment that an objective outsider would consider fair.

Source: POA: Investigation, 5.3.2, page 189

68
Q

How far away from each other should the investigator and subject be during an interview?

A

About five feet (1.5 meters).

Source: POA: Investigation, 5.3.2, page 190

69
Q

What should be the priority of witness interviews.

A

First, interview people who will be unavailable later.
Next, interview people likely to have the most pertinent information. Then, interview hostile witnesses.
Finally, interview the suspect.
Source: POA: Investigation, 5.3.2, page 191

70
Q

When is referring to prepared notes acceptable for an investigator during an interview?

A

When they are not referred to regularly throughout the interview.

Source: POA: Investigation, 5.3.2, page 191

71
Q

What is the Pygmalion Effect?

A

A persistently held belief such that the belief becomes a reality.

Source: POA: Investigation, 5.5, page 194

72
Q

What is the most important factor for a successful interview?

A

Establishing rapport with the subject.

Source: POA: Investigation, 5.2.3, page 186, and 5.6.1, page 196

73
Q

What is typically the initial question in an interview?

A

A request for the subject to relate the events in the matter under investigation.

Source: POA: Investigation, 5.6.2, page 197

74
Q

When are a subject’s behaviors during an interview most likely to be a reliable indicator of truth or deception?

A

When behavioral changes occur immediately in response to, or simultaneously with, a question.

Source: POA: Investigation, 5.7.2, page 199

75
Q

How do truthful subjects answer questions in an interview?

A

In a rational, direct, straightforward, spontaneous, and sincere manner, using harsh, realistic words.

Source: POA: Investigation, 5.7.3, pages 199-200

76
Q

How do deceptive subjects answer questions in an interview?

A

They use specific denials, avoid realistic words, make irrelevant comments, give vague answers, exhibit selective memory, qualify answers, and/or speak in a fragmented, mumbled, or irrational manner.

Source: POA: Investigation, 5.7.3, pages 199-201

77
Q

In what type of interview would you see techniques such as the “you” question and “vouch” question?

A

Behavioral analysis interview (BAI).

Source: POA: Investigation, 5.8, pages 204-205

78
Q

How should an interviewer best conclude an interview?

A

With general conversation, or by asking the subject if there is anything they would like to add and whether the interviewer can call upon them again.

Source: POA: Investigation, 5.9, page 209

79
Q

Up to what temperature can paper withstand?

A

350 degrees F. (177°C.).

Source: POA: Physical Security, 9.4.1, page 277

80
Q

What are the five steps of OPSEC (operations security)?

A 
Identify assets, 
Define the threat, 
Assess vulnerabilities, 
Analyze risk, 
Implement countermeasures.
Source: POA: Investigation, 1.3.11, page 44

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