Investigations 3 Flashcards
What are the five qualities that characterize an effective, reliable investigation?
- Objectivity
- Thoroughness
- Relevance
- Accuracy
- Timeliness
What are the three levels of investigative management?
- Strategic
- Operational
- Case
In an investigation, what is generally the best reporting chain from the source of information to the decision maker?
The shortest one
What are the three main tools of an investigator?
- Information
- Interrogation
- Instrumentation
What are the five principal resources of an Investigations Unit (IU)?
- People
- Information
- Credibility
- Physical assets
- Financial assets
What is perhaps the best way to achieve funding for an Investigations Unit (IU).
Demonstrate how the unit pays for itself
What elements constitute the investigation life cycle?
- Initiation
- Investigation
- Reporting
- Results
- Follow-up
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
What are four key challenges to watch for when operating within a joint task force?
- Parochialism
- Protection of sensitive information
- Data management
- Reporting chains
What is the most common type of investigation in business settings?
Incident investigations
What are the three force multipliers in investigations?
- online information sources
- Liaison
- Intelligence information
- Technology
What are the 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
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.
What four situations do workplace misconduct investigations typically address?
- Conflict of interest
- Corporate resource abuse/theft
- Workplace violence
- Substance abuse
Which kind of investigations cannot be done without police assistance?
Ones involving illegal drugs
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
- Make purchases on company time
- Avoid actual drug use
What are the four stages of an investigative reporting process?
- Initial report
- Progress report
- Special report
- Final report
Who is the only corporate official who should retain a copy of an investigative report?
The attorney of record
Who is the person responsible for maintaining and archiving closed case files, including all notes, reports and summaries?
The custodian of record
What kind of investigation might be required when one party expects to change positions based on representations made by another party?
Due dilligence
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
What is one of the most common errors in “friendly” due diligence investigations?
Relying on information provided by the target
What is the key to a good due diligence investigation?
Understanding the needs of the client and the transaction at hand
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.
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
What are the five phases of an undercover operation
- Planning and preparation
- Information gathering
- Verification and analysis
- Discipline and corrective action
- Prevention and education
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.
What is the primary purpose of a background investigation?
To prevent losses and mitigate damages
In what three ways does preemployment screening benefit a business?
- Encourages honesty
- Demonstrates the organization’s due diligence
- Ensures that job candidates are qualified
What document is the basic starting point for reemployment screening?
The employment application
What is the most common preemployment screening method?
A criminal records check
How long should a gap in employment be before it triggers an investigation during background screening?
One month
What is the most appropriate role for HR in background screening?
Conducting preliminary screening, such as initial reference phone calls.
What is an administrative interview?
The process of interviewing witnesses, friends, supervisors, and anyone other than the subject or suspect in the investigation.
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.
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
Where should an interview take place?
In an environment that an objective outsider would consider fair.
What should be the priority of withness 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
What is the most important factor for a successful interview?
Establishing rapport with the subject
What is typically the initial question in an interview?
A request for the subject to relate the events in the matter under investigation
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
How do truthful subjects answer questions in an interview?
In a rational, direct, straightforward, spontaneous, and sincere manner, using harsh, realistic words.
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
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
In what type of interview would you see techniques such as the “you” question and “vouch” question?
Behavioral analysis interview (BAI).
