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CPP > Investigations > Flashcards

Investigations Flashcards

1
Q

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

A 
Objectivity,
Thoroughness,
Relevance,
Accuracy,
Timeliness.
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2
Q

What are the three levels of investigative management?

A

Strategic,
Operational,
Case.

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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.

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4
Q

What are the three main tools of an investigator?

A

Information,
Interrogation,
Instrumentation.

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5
Q

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

A

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

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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.
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7
Q

What is perhaps the best way to achieve funding for an investigations unit (IU)?

A

Demonstrate how the unit pays for itself.

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8
Q

What elements constitute the investigation life cycle?

A

Initiation,
Investigation,
Reporting,
Results/follow up.

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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.

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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.

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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.

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12
Q

What are the most challenging problems in international investigations?

A

Cultural differences create challenges in international investigations.

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13
Q

What is the overall objective of an investigation?

A

A successful outcome or resolution of the case.

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14
Q

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

A

Incident investigations.

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15
Q

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

A

An incident report.

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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.

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17
Q

What four situations do workplace misconduct investigations typically address?

A

Conflict of interest,
Corporate resorce abuse/theft,
Workplace violence,
Substance abuse.

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18
Q

What is the biggest challenge in investigating workplace misconduct issues?

A

Getting employees to report wrongdoing.

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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).
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20
Q

What are the 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 the best use of an investigator’s time.

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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.

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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.

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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.

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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.

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25
Q

When should an undercover investigation be used?

A

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

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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.

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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.

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28
Q

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

A

Undercover investigation.

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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.

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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.

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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.

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32
Q

Which kind of investigations cannot be done without police assistance?

A

Ones involving illegal drugs.

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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 an appropriately placed).
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.

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).
36
Q

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

A

Written reports.

37
Q

How frequently should investigative summaries of undercover operation to be produced?

A

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

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.

39
Q

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

A

Never.

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 overtime.
Undercover investigations begin with those most involved and work towards those less involved.

41
Q

Workplace crime is the function of which three fundamental elements?

A

Quality of hires,
Environment in which staff has placed,
Quality of supervision over environment and staff.

42
Q

When is the best time to remove an undercover operative?

A

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

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.
44
Q

What value does company prosecution of employee drug offenses have?

A

Minimal value.

45
Q

What do investigators often find is a precursor to an organizations theft problem?

A

A substance abuse problem.

46
Q

Can an undercover operative participate in a scheme to steal?

A

Yes, if preapproved by project management team.

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.

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.

49
Q

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

A

Relying on information provided by the target.

50
Q

What is the key to a good due diligence investigation?

A

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

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.

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.

53
Q

What is the primary purpose of a background investigation?

A

To prevent losses and mitigate damages.

54
Q

In what three ways does pre-employment screening benefit a business?

A

Encourages honesty,
Demonstrates the organization’s due diligence,
Ensures that job candidates are qualified.

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.

56
Q

What document is the basic starting point for pre-employment screening?

A

The employment application.

57
Q

What is the most common pre-employment screening method?

A

A criminal record check.

58
Q

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

A

One month.

59
Q

How do background checks, background investigations, and pre-employment screening different?

A

Background checks verify information provided by the applicant.
Background investigations actively seek new information.
Pre-employment screening is a broad term that covers the aforementioned, as well as elements such as drug screening, psychological testing, and polygraph tests.

60
Q

When can medical pre-employment screening be employed?

A

When it specifically relates to a requirement of a job.

61
Q

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

A

Conducting preliminary screening, such as initial reference phone calls.

62
Q

What is the purpose of an investigation?

A

To determine the truth of a matter in question.

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.

64
Q

What is the difference between an interview and an interrogation?

A

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

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.

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.
67
Q

Where should an interview take place?

A

In an environment that an objective outsider would consider fair.

68
Q

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

A

About 5 feet (1.5 m).

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.

70
Q

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

A

It is acceptable to refer to prepared notes if the investigator does not refer to the notes constantly.

71
Q

What is the Pygmalion effect?

A

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

72
Q

What is the most important factor for a successful interview?

A

Establishing rapport with the subject.

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.

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.

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.

76
Q

How do you 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 a rational manner.

77
Q

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

A

Behavioral analysis interview (BAI).

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.

79
Q

Up to what temperature can paper withstand?

A

350°F (177°C).

80
Q

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

A 
Identify assets,
Define the threat,
Assess Vulnerabilities,
Analyze risk,
Implement counter-measures.

CPP (7 decks)

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