PCI Domain 1: Case Management Flashcards
What are the five attributes of an effective and reliable investigation?
Objectivity, Thoroughness, Relevance, Accuracy, Timeliness.
Sources: PIM, 1.1.1, page 10 POA, Investigations, 1.2, page 2
What issue transcends the levels of investigative management?
Ethics
Sources: PIM, 1.3, page 19 POA, Investigations, 1.4, page 13
What are five threats to impartiality?
Self-interest threats, self-review threats, familiarity threats, cognitive boas threats, and intimidation threats.
Source: ANSI/ASIS INV.1-2015, 4.2, page 6
What is a self-interest threat?
This threat to impartiality arises from having a vested or financial self-interest in the outcome.
Source: ANSI/ASIS INV.1-2015, 4.2, page 6
What is a self-review threat?
This threat to impartiality arises from reviewing advice or the work done by oneself on behalf of the organization.
Source: ANSI/ASIS INV.1-2015, 4.2, page 6
What is a familiarity threat?
This threat to impartiality arises from being too familiar with processes and persons being investigated to obtain unbiased evidence and conclusions.
Source: ANSI/ASIS INV.1-2015, 4.2, page 6
What is cognitive bias threat?
This threat to impartiality arises when individuals create their own subjective reality from their preconceived perception of the input.
Source: ANSI/ASIS INV.1-2015, 4.2, page 6
What is intimidation threat?
This threat to impartiality arises from having a perception of being coerced or pressured.
Source: ANSI/ASIS INV.1-2015, 4.2, page 6
What constitutes ethical behavior by an investigator?
Behaving in such a fashion as to protect the rights of those under investigation, obey the law, respect organizational policies and procedures, and protect the integrity of the process.
Source: ANSI/ASIS INV.1-2015, 4.3, page 6
What key parameters should be articulated in a Code of Ethics?
People are treated with respect and dignity; business is conducted with objectivity, honesty, and integrity; conflicts of interest and impartiality risks are divulged; focus on the scope of the investigation; and confidentiality and integrity of information is respected.
Source: ANSI/ASIS INV.1-2015, 5.4.7, page 31
What comprises investigator competence?
Personal traits and interpersonal skills, Investigation skills, Communication skills, Education, training, and knowledge, Work experience, Professional credentialing and licensing.
Source: ANSI/ASIS INV.1-2015, 7.1, page 68
Which personnel should sign confidentiality and non-disclosure agreements as well as a code of ethics?
All persons assigned to peform investigations.
Source: ANSI/ASIS INV.1-2015, 7.3.3, page 73
What are the professional qualifications of a competent investigator?
Education, training, association memberships, certification, general and specialized experience, and communication skills.
Source: ANSI/ASIS INV.1-2015, A.1, pages 75-76
What constitutes thoroughness in an investigation?
Following all relevant leads to their logical conclusion and focusing on corroboration of all key investigative findings.
Sources: PIM, 1.1.1, page 11 POA, Investigations, 1.2.2, page 4
What is meant by “relevance” in an investigation?
Effectively determining the relevance of information, considering an adequate spectrum and depth of details without gathering so much data as to confuse the facts of the case and bog down the investigation or possibly even obscure the truth.
Sources: PIM, 1.1.1, page 11 POA, Investigations, 1.2.3, page 5
What is meant by “accuracy” in an investigation?
The credibility of a source, whether human, physical, or electronic evidence, or the result of observation or surveillance.
Sources: PIM, 1.1.1, page 12 POA, Investigations, 1.2.4, page 6
In what ways do public sector and private security investigations differ?
Powers of arrest,Search and seizure,Testimony, Prosecution, Due process, Consequences.
Source: POA, Investigations, 1.3, page 10
What are the three levels of investigations management?
Strategic, operational and case.
Sources: PIM, 1.3, page 18 POA, Investigations, 1.4, pages 12-13
What level of investigations management is concerned with who will head the investigative function, where it will fit in the organizational structure, what its strategic goals and objectives will be, where it will focus its efforts, and how financial and personnel resources will be allocated?
The strategic level is concerned with these and other high-level management issues.
Sources: PIM, 1.3, page 18 POA, Investigations, 1.4, page 12
What is contained in the case file?
Original complaint form, assigned case or file number, the name of any assigned investigator, complaint or subject information, initial leads, and documentation of management approval.
Sources: PIM, 1.3.7, page 45 POA, Investigations, 1.11.1, page 43
What are some key considerations for any investigations involving international venues, subjects, organizations or information?
Laws, Liaison, Cultures and approaches.
Sources: PIM, 1.3.12, pages 54-55 POA, Investigations, 1.12.5, pages 60-61
What is the most common type of investigation?
Incident investigation.
Sources: PIM, 1.4.1, page 56 POA, Investigations, 1.13.1, page 62
Which types of investigations benefit from a methodical and systematic approach?
Incident investigations and background investigations.
Sources: PIM, 1.4.1, page 56 POA, Investigations, 1.13.1, page 62
What should generally be included in an incident investigation protocol?
A decision logic matrix to identify who has responsibility for the inquiry, who should be notified, and whether immediate referral to law enforcement or the legal department is appropriate.
Sources: PIM, 1.4.1, page 58 POA, Investigations, 1.13.1, page 64