CPP 2012 Domain 3: Investigations Flashcards
What are the five qualities that characterize an effective, reliable investigation?
Objectivity,
Thoroughness,
Relevance,
Accuracy,
Timeliness.
Source: POA: Investigation, 1.1.1, pages 2-6
What are the three levels of investigative management?
Strategic,
Operational,
Case.
Source: POA: Investigation, 1.3, page 10
In an investigation, what is generally the best reporting chain from the source of information to the decision maker?
The shortest one.
Source: POA: Investigation, 1.3.1, page 16
What are the three main tools of an investigator?
Information,
Interrogation,
Instrumentation.
Source: POA: Investigation, 1.3.3, page 22
How many years of experience should a new investigative hire have?
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
What are the five principal resources of an Investigations Unit (IU)?
People, Information, Credibility, Physical assets, Financial assets. Source: POA: Investigation, 1.3.5, page 31
What is perhaps the best way to achieve funding for an IU?
Demonstrate how the unit pays for itself.
Source: POA: Investigation, 1.3.5, page 31
What elements constitute the investigation lifecycle?
Initiation, Investigation, Reporting, Results/follow-up. Source: POA: Investigation, Figure 1-4, page 32
In investigations, what’s the difference between an analysis diagram and a horizontal diagram?
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
In what situation is protecting investigative information particularly difficult?
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
What is OPSEC?
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
What are the most challenging problems in international investigations?
Cultural differences create challenges in international investigations.
Source: POA: Investigation, 1.3.12, page 49
What is the overall objective of an investigation?
A successful outcome or resolution of the case.
Source: POA: Investigation, 1.3.13, page 49
What is the most common type of investigation in business settings?
Incident investigations.
Source: POA: Investigation, 1.4.1, page 50
What is the typical initiation event in a private sector incident investigation?
An incident report.
Source: POA: Investigation, 1.4.1, page 50
What is the best way to prepare for workplace misconduct investigations?
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
What four situations do workplace misconduct investigations typically address?
Conflict of interest, Corporate resource abuse/theft, Workplace violence, Substance abuse. Source: POA: Investigation, 1.4.2, pages 55-57
What is the biggest challenge in investigating workplace misconduct issues?
Getting employees to report wrongdoing.
Source: POA: Investigation, 1.4.3, page 58
What are the three force multipliers in investigations?
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
What are three major pitfalls of using online information sources for investigations?
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
What are four key challenges to watch for when operating within a joint task force?
Parochialism, Protection of sensitive information, Data management, Reporting chains. Source: POA: Investigation, 1.6.2, page 70
What are the four stages of an investigative reporting process?
Initial report,
Progress report (within 30 days of initial report),
Special report,
Final report.
Source: POA: Investigation, 1.7.1, page 75
Who is the only corporate official who should retain a copy of an investigative report?
The attorney of record.
Source: POA: Investigation, 1.7.1, page 77
What kind of legal privilege is typically granted to properly controlled investigative reports?
Qualified privilege, protecting against defamation suits.
Source: POA: Investigation, 1.7.1, page 77
When should an undercover investigation be used?
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
What is the main potential problem in an undercover investigation?
The possibility that the investigation will be exposed or compromised.
Source: POA: Investigation, 2.1, page 91
Who should be made aware of the existence of an undercover investigation?
Only those with an absolute need to know.
Source: POA: Investigation, 2.1, page 92
What is the least understood and most underused form of investigation?
Undercover investigation.
Source: POA: Investigation, 2.3, page 93
What are the five phases of an undercover operation?
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
Under what three conditions should undercover investigations definitely NOT be used?
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
Who should make up the investigative team for an undercover investigation?
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
Which kind of investigations cannot be done without police assistance?
Ones involving illegal drugs.
Source: POA: Investigation, 2.6.1, page 97
In what two ways can an undercover operative be placed?
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
What is key to a sound back story of an undercover operative?
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
Who should make up the project management team for an undercover investigation?
Undercover investigator,
Project manager,
Client representative,
Corporate attorney,
Law enforcement representative (if necessary).
Source: POA: Investigation, 2.6.2, page 100
What is the most fundamental form of communication in undercover assignments?
Written reports.
Source: POA: Investigation, 2.6.2, page 101
How frequently should investigative summaries of undercover operations be produced?
Typically, summaries are prepared after the operative has completed 10 consecutive days of work.
Source: POA: Investigation, 2.6.2, page 103
Who is the person responsible for maintaining and archiving closed case files, including all notes, reports, and summaries?
The custodian of record.
Source: POA: Investigation, 2.6.2, page 104
When should the name of the operative, a code name, or case number be indicated on the outside cover of an undercover case file?
Never.
Source: POA: Investigation, 2.6.2, page 104
How does the progression of interviews differ between regular investigations and undercover investigations?
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
Workplace crime is the function of which three fundamental elements?
Quality of hires,
Environment in which staff is placed,
Quality of supervision over environment and staff.
Source: POA: Investigation, 2.6.5, page 106
When is the best time to remove an undercover operative?
When he or she is named as an offender by coworkers.
Source: POA: Investigation, 2.7, page 107
Which five guidelines should be observed for workplace drug purchases that are part of an investigation?
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
What value does company prosecution of employee drug offenses have?
Minimal value.
Source: POA: Investigation, 2.8.1, page 109
What do investigators often find is a precursor to an organization’s theft problem?
A substance abuse problem.
Source: POA: Investigation, 2.8.2, pages 109-110
Can an undercover operative participate in a scheme to steal?
Yes, if pre-approved by a project management team.
Source: POA: Investigation, 2.8.2, page 110
When is the most accurate time for determining whether a due diligence investigation was correctly conducted?
After the deal is complete, when observers review the investigation and compare it with results.
Source: POA: Investigation, 3.1, page 126
What kind of investigation might be required when one party expects to change positions based on representations made by another party?
Due diligence.
Source: POA: Investigation, 3.1, page 127
What is one of the most common errors in “friendly” due diligence investigations?
Relying on information provided by the target.
Source: POA: Investigation, 3.2, page 129
What is the key to a good due diligence investigation?
Understanding the needs of the client and the transaction at hand.
Source: POA: Investigation, 3.4, page 132
What is strategic due diligence?
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
What is operational due diligence?
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
What is the primary purpose of a background investigation?
To prevent losses and mitigate damages.
Source: POA: Investigation, 4.3, page 162
In what three ways does preemployment screening benefit a business?
Encourages honesty,
Demonstrates the organization’s due diligence,
Ensures that job candidates are qualified.
Source: POA: Investigation, 4.3, page 162
How is criminal history information frequently recorded in Latin America that is different from much of the rest of the world?
By the person’s mother’s maiden name.
Source: POA: Investigation, 4.4.1, page 163
What document is the basic starting point for preemployment screening?
The employment application.
Source: POA: Investigation, 4.5.2, page 167
What is the most common preemployment screening method?
A criminal records check.
Source: POA: Investigation, 4.5.2, page 169
How long should a gap in employment be before it triggers an investigation during background screening?
One month.
Source: POA: Investigation, 4.6.1, page 170
How do background checks, background investigations, and preemployment screening differ?
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
When can medical preemployment screening be employed?
When it specifically relates to a requirement of a job.
Source: POA: Investigation, 4.7.2, page 173
What is the most appropriate role for HR in background screening?
Conducting preliminary screening, such as initial reference phone calls.
Source: POA: Investigation, 4.8.2, page 174
What is the purpose of an investigation?
To determine the truth of a matter in question.
Source: POA: Investigation, 5, page 181
What is an administrative interview?
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
What is the difference between an interview and an interrogation?
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
According to John E. Reid and Associates, what are the four objectives of an interview?
Obtain valuable facts, Eliminate the innocent, Identify the guilty, Obtain a confession. Source: POA: Investigation, 5.1, page 183
What are the elements of Maslow’s Hierarchy of Needs, from primary to higher order?
Physiological/survival, Safety/security, Affection/social needs, Esteem needs, Self-fulfillment or self-actualization. Source: POA: Investigation, 5.2.1, pages 184-185
Where should an interview take place?
In an environment that an objective outsider would consider fair.
Source: POA: Investigation, 5.3.2, page 189
How far away from each other should the investigator and subject be during an interview?
About five feet (1.5 meters).
Source: POA: Investigation, 5.3.2, page 190
What should be the priority of witness interviews.
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
When is referring to prepared notes acceptable for an investigator during an interview?
When they are not referred to regularly throughout the interview.
Source: POA: Investigation, 5.3.2, page 191
What is the Pygmalion Effect?
A persistently held belief such that the belief becomes a reality.
Source: POA: Investigation, 5.5, page 194
What is the most important factor for a successful interview?
Establishing rapport with the subject.
Source: POA: Investigation, 5.2.3, page 186, and 5.6.1, page 196
What is typically the initial question in an interview?
A request for the subject to relate the events in the matter under investigation.
Source: POA: Investigation, 5.6.2, page 197
When are a subject’s behaviors during an interview most likely to be a reliable indicator of truth or deception?
When behavioral changes occur immediately in response to, or simultaneously with, a question.
Source: POA: Investigation, 5.7.2, page 199
How do truthful subjects answer questions in an interview?
In a rational, direct, straightforward, spontaneous, and sincere manner, using harsh, realistic words.
Source: POA: Investigation, 5.7.3, pages 199-200
How do deceptive subjects answer questions in an interview?
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
In what type of interview would you see techniques such as the “you” question and “vouch” question?
Behavioral analysis interview (BAI).
Source: POA: Investigation, 5.8, pages 204-205
How should an interviewer best conclude an interview?
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
Up to what temperature can paper withstand?
350 degrees F. (177°C.).
Source: POA: Physical Security, 9.4.1, page 277
What are the five steps of OPSEC (operations security)?
Identify assets, Define the threat, Assess vulnerabilities, Analyze risk, Implement countermeasures. Source: POA: Investigation, 1.3.11, page 44
