CPP 2022 Domain 3: Investigations

Question 1

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

Answer 1

Objectivity,
Thoroughness,

Relevance,
Accuracy,
Timeliness.

Source: POA: Investigations, 1.2, page 2

Question 2

What are the three levels of investigative management?

Answer 2

Strategic,
Operational,

Case.

Source: POA: Investigations, 1.4, page 12

Question 3

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

Answer 3

The shortest one.

Source: POA: Investigations, 1.6, page 19

Question 4

What are the three main tools of an investigator?

Answer 4

Information,
Interrogation,

Instrumentation.

Source: POA: Investigations, 1.8.2, page 25

Question 5

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

Answer 5

People,
Information,

Credibility,
Physical assets,
Financial assets.

Source: POA: Investigations, 1.9.2, page 34

Question 6

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

Answer 6

Demonstrate how the unit pays for itself.

Source: POA: Investigations, 1.9.2, page 35

Question 7

What elements constitute the investigation life cycle?

Answer 7

Initiation,
Investigation,

Reporting,
Results/follow-up.

Source: POA: Investigations, Figure 1.3, page 36

Question 8

What is OPSEC?

Answer 8

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: Investigations, 1.12.4, page 56

Question 9

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

Answer 9

Parochialism,
Protection of sensitive information,

Data management,
Reporting chains.

Source: POA: Investigations, 8.1.2, page 279

Question 10

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

Answer 10

Incident investigations.

Source: POA: Investigations, 1.9.1, page 34

Question 11

What are the three force multipliers in investigations?

Answer 11

Online information sources,
Liaison,

Intelligence information,
Technology.

Source: POA: Investigations, Chapter 8 Introduction, page 267

Question 12

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

Answer 12

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: Investigations, 8.1.1, pages 273-274

Question 13

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

Answer 13

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

Source: POA: Investigations, 1.13.2, page 65

Question 14

What four situations do workplace misconduct investigations typically address?

Answer 14

Conflict of interest,
Corporate resource abuse/theft,

Workplace violence,
Substance abuse.

Source: POA: Investigations, 1.13.2, page 67

Question 15

Which kind of investigations cannot be done without police assistance?

Answer 15

Ones involving illegal drugs.

Source: POA: Investigations, 2.6.1, page 92

Question 16

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

Answer 16

Qualify the dealer,
Coordinate with law enforcement,

Buy down, not up,
Make purchases on company time,
Avoid actual drug use.

Source: POA: Investigations, 2.8.1, pages 104-105

Question 17

What are the four stages of an investigative reporting process?

Answer 17

Initial report,
Progress report,

Special report,
Final report.

Source: POA: Investigations, 8.2.1, page 284

Question 18

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

Answer 18

The attorney of record.

Source: POA: Investigations, 8.2.1, page 286

Question 19

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

Answer 19

The custodian of record.

Source: POA: Investigations, 2.6.2, page 100

Question 20

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

Answer 20

Due diligence.

Source: POA: Investigations, 3.1, page 122

Question 21

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

Answer 21

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

Source: POA: Investigations, 3.1, page 122

Question 22

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

Answer 22

Relying on information provided by the target.

Source: POA: Investigations, 3.2, page 125

Question 23

What is the key to a good due diligence investigation?

Answer 23

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

Source: POA: Investigations, 3.5, page 131

Question 24

When should an undercover investigation be used?

Answer 24

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: Investigations, 2.3, page 85

Question 25

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

Answer 25

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: Investigations, 2.4, page 86

Question 26

What are the five phases of an undercover operation?

Answer 26

Planning and preparation, Information gathering, Verification and analysis, Discipline and corrective action, Prevention and education. Source: POA: Investigations, 2.6, pages 90-103

Question 27

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

Answer 27

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: Investigations, 2.6.3, page 101

Question 28

What is the primary purpose of a background investigation?

Answer 28

To prevent losses and mitigate damages. Source: POA: Investigations, 4.3, page 148

Question 29

In what three ways does preemployment screening benefit a business?

Answer 29

Encourages honesty, Demonstrates the organization’s due diligence, Ensures that job candidates are qualified. Source: POA: Investigations, 4.3, pages 148-149

Question 30

What document is the basic starting point for preemployment screening?

Answer 30

The employment application. Source: POA: Investigations, 4.5.2, page 154

Question 31

What is the most common preemployment screening method?

Answer 31

A criminal records check. Source: POA: Investigations, 4.5.2, page 156

Question 32

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

Answer 32

One month. Source: POA: Investigations, 4.6.1, page 158

Question 33

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

Answer 33

Conducting preliminary screening, such as initial reference phone calls. Source: POA: Investigations, 4.8.2, page 163

Question 34

What is an administrative interview?

Answer 34

The process of interviewing witnesses, friends, supervisors, and anyone other than the subject or suspect in the investigation. Source: POA: Investigations, 5.1, page 176

Question 35

What is the difference between an interview and an interrogation?

Answer 35

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: Investigations, 5.1, page 176

Question 36

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

Answer 36

Obtain valuable facts, Eliminate the innocent, Identify the guilty, Obtain a confession. Source: POA: Investigations, 5.1, pages 177-178

Question 37

Where should an interview take place?

Answer 37

In an environment that an objective outsider would consider fair. Source: POA: Investigations, 5.3.2, page 183

Question 38

What should be the priority of witness interviews?

Answer 38

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: Investigations, 5.3.2, page 185

Question 39

What is the most important factor for a successful interview?

Answer 39

Establishing rapport with the subject. Source: POA: Investigations, 5.6.1, page 190

Question 40

What is typically the initial question in an interview?

Answer 40

A request for the subject to relate the events in the matter under investigation. Source: POA: Investigations, 5.6.2, page 191

Question 41

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

Answer 41

When behavioral changes occur immediately in response to, or simultaneously with, a question. Source: POA: Investigations, 5.6.4, page 193

Question 42

How do truthful subjects answer questions in an interview?

Answer 42

In a rational, direct, straightforward, spontaneous, and sincere manner, using harsh, realistic words. Source: POA: Investigations, 5.6.4, page 193

Question 43

How do deceptive subjects answer questions in an interview?

Answer 43

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: Investigations, 5.6.4, pages 193-194

Question 44

How should an interviewer best conclude an interview?

Answer 44

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: Investigations, 5.7, page 205

Question 45

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

Answer 45

Behavioral analysis interview (BAI). Source: POA: Investigations, 5.6.5, page 199