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
What is a misconduct investigation?
An internal investigation conducted when an employee or other individual closely affiliated with the organization is suspected of violating a written corporate policy, a directive, terms of employment, or a federal, state, or local law.
Sources: PIM, 1.4.2, page 59 POA, Investigations, 1.13.2, page 65
What type of investigation leaves the employer particularly open to legal action by employees or former employees who feel they have been treated unfairly?
Misconduct Investigation.
Sources: PIM, 1.4.2, page 59 POA, Investigations, 1.13.2, page 65
What are some factors in making a determination whether employee conduct is a legitimate subject of discipline?
Whether an incident occurred on or off the employer’s property, whether an employee’s conduct was during duty hours or after hours, and whether the offender represented himself or herself as a representative of the organization.
Sources: PIM, 1.4.2, page 61 POA, Investigations, 1.13.2, page 67
What is a conflict of interest case?
The definition can be influenced by the organization’s mission, structure, and culture. Generally, conflict of interest issues are defined in corporate policy and employee materials.
Sources: PIM, 1.4.2, page 61 POA, Investigations, 1.13.2, page 68
Which case type represents the most significant loss?
Corporate resource abuse and employee theft.
Sources: PIM, 1.4.2, page 62 POA, Investigations, 1.13.2, page 68
When should workplace violence investigations start?
As soon as possible when warning signs are reported.
Sources: PIM, 1.4.2, page 62 POA, Investigations, 1.13.2, page 69
What is a key element of a compliance program?
Effective reporting mechanism.
Source: POA, Investigations, 1.13.3, page 71
The standard for due diligence investigations depends on what factors?
The objective of the investigation,The situation at hand,The jurisdictions or geographic areas involved, Related privacy laws, The time frame involved.
Source: POA, Investigations, 3.1, page 122
In what cases are due diligence investigations valuable?
In any situation where one or more parties are deciding future actions or non-actions based on existing conditions or on representations made by another party.
Sources: PIM, 3.1, page 138 POA, Investigations, 3.1, page 122
What is the focus of due diligence investigations for market entry planning?
Protection of intellectual property and information assets,Ensuring compliance with laws, regulations, and policies in the local jurisdiction.
Source: POA, Investigations, 3.3, page 126
What are the benefits of preemployment screening?
It discourages applicants with something to hide and encourages applicants to be honest during the interview process.It demonstrates that a company has exercised due diligence.It ensures that a job candidate has the background, education, experience, and skills they claim.
Sources: PIM, 4.3, page 172 POA, Investigations, 4.3, pages 148-149
What is the primary purpose of a hiring background investigation?
Prevent losses and mitigate damages.
Sources: PIM, 4.3, page 172 POA, Investigations, 4.3, page 148
Who should be involved in developing a preemployment screening process?
Upper management: to sanction and support the program.Security and human resources: develop and implement the policy.Legal counsel: review and endorse the program.
Sources: PIM, 4.4, page 173 POA, Investigations, 4.4, page 149
Preemployment screening programs vary based on what factors?
Access to information, the nature of the position, the potential liability associated with the incorrect performance of a job, and industry regulations.
Sources: PIM, 4.4, page 173 POA, Investigations, 4.4, page 149
What are the seven steps to a comprehensive preemployment screen policy?
Create clearly written, well-defined job descriptions for all positions.Assess the risk of each job classification in terms of reasonable (or foreseeable) potential for problems.Based on the preceding risk assessment, determine the scope of preemployment screening for each job classification. Work with human resources and legal personnel to develop an appropriate hiring packet. Establish criteria for evaluating information. Communicate the preemployment screening policy and its purpose to the workforce. Periodically review policy compliance.
Sources: PIM, 4.4.5, pages 175-176 POA, Investigations, 4.4.5, pages 151-153
What is used to collect data from job applicants?
Resume, application, and the interview.
Sources: PIM, 4.5-4.6, pages 177-180 POA, Investigations, 4.5-4.6, pages 153-158
Job applications should ideally address what items?
Material omissions and misstatements, applicant’s full and correct name, current and prior addresses, education, employment, references, military service, criminal history, and release.
Sources: PIM, 4.5.2, pages 177-179 POA, Investigations, 4.5.2, pages 154-157
What are some of the common misrepresentations or omissions found in employment applications?
Unsigned forms, incomplete addresses, conflicting dates of employment, education or miliary service, gaps in employment, changes of occupation, sketchy employment information, and omission of reasons for leaving.
Sources: PIM, 4.6.1, page 180 POA, Investigations, 4.6.1, pages 157-158
When hiring a new employee, a background investigation mitigates what risks?
Risks of claims of negligent hiring, discrimination, and costly hiring mistakes.
Source: POA, Investigations, 4.1, page 143
What is the difference between a background check and background investigation or screening?
A background check is a confirmatory type of investigation, which includes verifying information provided by an applicant.Background investigation or screening actively searches for information.
Source: POA, Investigations, 4.1, page 144
What is a preemployment screening?
A process for determining whether a prospective employee is trustworthy or capable or performing the functions required for a particular job.
Sources: PIM, 4.7, page 181 POA, Investigations, 4.1, page 144
What are the three most common resources to conduct preemployment screening?
Security or assets protection department, human resources department, or an outside consumer reporting and investigative agency.
Sources: PIM, 4.8, page 184 POA, Investigations, 4.8, page 162
What are organizational investigations?
Investigations performed at the direction of the organization, for the organization. Usually involves the investigation of crimes and offences committed against the organization and/or as a method of establishing the facts and organizational due diligence relating to potential regulatory action.
Source: ANSI/ASIS INV.1-2015, 3.45, page 4
What is privilege?
A legal protection that permits lawful withholding of information or evidence from an opponent during litigation.
Source: ANSI/ASIS INV.1-2015, 3.52, page 4
What drives the approach and methodology of an investigation?
The purpose and objectives.
Source: ANSI/ASIS INV.1-2015, 5.1.1, page 9
What level of an investigation program involves the management program and its relationship with the organization’s top management?
Strategic.
Source: ANSI/ASIS INV.1-2015, 5.1.1, page 10
What are the six elements of a successful investigation?
Management commitmentMeaningful objectivesA well-conceived strategyWell-deliberated time planProperly pooled resources and expertiseLawful execution
Source: ANSI/ASIS INV.1-2015, 5.1.3, page 12
What should be considered when planning the investigation process?
Risks associated with the industry sector and organization’s processesInternal and external factors affecting the operating environment of the organizationInternal and external stakeholders who contribute to risks associated with the investigationInternal and external stakeholders who are impacted by the outcome of the investigationFactors that influence the acceptance of risk in the organization and by its stakeholders
Source: ANSI/ASIS INV.1-2015, 5.3.1, page 15
What are directly proportional to the size of the scope of the investigation program?
Resource and time requirements.
Source: ANSI/ASIS INV.1-2015, 5.3.4, page 20
As it pertains to managing risk to the investigation, where is it important to allocate available time and resources?
To the areas with higher levels of risk.
Source: ANSI/ASIS INV.1-2015, 5.4.4.2, page 26
What factors should be considered in assessing how the investigative outcomes will be used?
The facts of the case, parties involved, and an organization’s practice.
Source: ANSI/ASIS INV.1-2015, 5.4.5, page 28
What should the makeup of the investigation team reflect?
The objectives of the investigation program and the complexity of the organization’s business and risk management systems.
Source: ANSI/ASIS INV.1-2015, 5.4.6, pages 29-30
What logical process should determine the selection of investigation methodology?
The inputs into an investigation are evaluated to produce the outputs that inform the decision making process.
Source: ANSI/ASIS INV.1-2015, 5.5.2, pages 32-33
What should the investigative unit manager evaluate when considering the selection of investigators?
Qualifications, knowledge, experience, personal skills, and traits of the investigators needed to achieve the investigation objectives.
Source: ANSI/ASIS INV.1-2015, 5.5.3, page 37
What role do technical experts have on an investigative team?
Technical experts supplement the overall expertise of an investigation team to provide subject matter expertise.
Source: ANSI/ASIS INV.1-2015, 5.5.3, page 37
What records and documentation should be created, maintained and appropriately stored for individual investigations?
Plans and reports; safety, security and confidentiality requirements and conditions; agenda and minutes from opening and closing meetings; non-conformance reports; corrective action requests; and investigation follow-up reports.
Source: ANSI/ASIS INV.1-2015, 5.5.5, page 38
What does PDCA stand for?
Plan-Do-Check-Act model.
Source: ANSI/ASIS INV.1-2015, 0.4, page xv
How are potential sources of information defined?
By the type of inquiry being conducted and the functional focus of the investigative unit.
Sources: PIM, 1.6.3, page 78 POA, Investigations, 8.1.3, page 280
What are important factors for an investigation to be considered timely?
Open an investigation as soon as possible, Complete an investigation as quickly as possible, Avoid closing an investigation prematurely.
Sources: PIM, 1.1.1, page 13 POA, Investigations, 1.2.5, page 8
What are three benefits of online information sources?
Amount of information available,Ease of access, Low cost.
Sources: PIM, 1.6.1, page 72 POA, Investigations, 8.1.1, page 274
What issues are considered to be at the operational level of investigations management?
Case load, Case assessment, Quality control, Investigative policies and procedures, Reporting formats, Liaison, Team composition, Supplies and equipment, Evidence management, Outside contracts.
Sources: PIM, 1.3, page 18 POA, Investigations, 1.4, page 13
What are the goals of administrative controls in an investigative unit?
All investigations have been authorized, all work assigned to a particular investigator can be identified, and the results and tasks remaining in any investigations can be determined quickly.
Sources: PIM, 1.3.6, page 42 POA, Investigations, 1.9.3, page 39
What factors affect investigative production?
The temperament, competence, and working pace of the investigator; the complexity of the case; and the availability of informants and other sources of information.
Sources: PIM, 1.3.6, page 42 POA, Investigations, 1.9.3, page 39
What is one way effectiveness can be measured?
The time it takes to complete a case.
Sources: PIM, 1.3.6, page 42 POA, Investigations, 1.9.3, page 39
What is the purpose of establishing code names or numbers for information sources?
To conceal the identities of individuals, organizations, or technical sources of information to minimize the possibility of compromise.
Sources: PIM, 1.6.3, pages 78-79 POA, Investigations, 8.1.3, page 281
A person engaged in the systematic collection, analysis and preservation of information and/or facts related to the matter in question is called what?
An investigator.
Source: ANSI/ASIS INV.1-2015, 3.39, page 3
What is the definition of an investigation process?
A structured and sometimes scientific approach to investigations. Sufficiently structured to provide uniformity and consistency yet fluid and flexible enough to accommodate any situation or fact pattern.
Source: ANSI/ASIS INV.1-2015, 3.36, page 3
This member of the investigation team is designated as leading the team and is typically the point of contact through whom those outside the investigative team communicate with it.
Investigation team leader.
Source: ANSI/ASIS INV.1-2015, 3.38, page 3
This entity within the organization is tasked with conducting and overseeing investigations.
Investigative unit.
Source: ANSI/ASIS INV.1-2015, 3.40, page 4
What person is responsible for managing the investigation program and assuring the necessary financial, human, physical, and time resources are committed to conduct an effective investigation?
The investigation unit manager.
Source: ANSI/ASIS INV.1-2015, 3.41, page 4
What records and documentation should be created, maintained and appropriately stored for the overall investigation program?
Program objectives, criteria, and scope; risk assessment and treatment measures; evaluation of achievement of investigation objectives; and investigation program effectiveness and opportunities for improvement.
Source: ANSI/ASIS INV.1-2015, 5.5.5, page 38
What tasks are taken when commencing an individual investigation?
Setting objectives, identification of stakeholders, identification of internal context and variables, assumptions, defining the scope and statement of work, policy and management commitment, and commitment of resources.
Source: ANSI/ASIS INV.1-2015, 6.2.1-6.2.7, pages 44-48
What could happen if an investigation is under-scoped?
Under-scoping may result in some organizational objectives, assets, stakeholders or threats being overlooked. It may also result in tunnel vision with regard to the interaction of factors in the investigation.
Source: ANSI/ASIS INV.1-2015, 6.2.5, page 48
What does a clearly defined investigation scope include?
A statement of work highlighting what are the organizational, physical, operational, logical and logistical parameters included in the boundaries to explicitly delineate what is in and what is out of the investigation.
Source: ANSI/ASIS INV.1-2015, 6.2.5, page 48
What tasks are taken when planning individual investigation activities?
Assessment phase, review of jurisdicitional laws and regulations, process, scope and structure definition, information gathering, documentation review, preparing the investigation plan, identifying the investigation team, determining feasibility, and document control.
Source: ANSI/ASIS INV.1-2015, 6.3.1-6.3.9, pages 49-53
What is involved in the assessment phase of an individual investigation?
Examination and evaluation of the fundamental facts regarding the allegation or problem to determine if the matter warrants an investigation.
Source: ANSI/ASIS INV.1-2015, 6.3.1, page 49
If the scope of an investigation plan is dynamic, what should be included in the plan?
Appropriate flexibility to allow for changes as the investigation progresses.
Source: ANSI/ASIS INV.1-2015, 6.3.6, page 52
What does the investigation team leader base the investigation plan on?
Objectives, scope, and criteria in the investigation program and the documentation and information provided by the client.
Source: ANSI/ASIS INV.1-2015, 6.3.6, page 51
What should the investigation team leader consider when assigning roles and responsibilities?
Individual team members’ competencies, strengths, weaknesses and the effective use of resources.
Source: ANSI/ASIS INV.1-2015, 6.3.7, page 53
What happens if an investigation is found to be not feasible?
The investigation team leader should notify the investigation unit manager and client and suspend further investigation planning. These parties should then agree to changes in the scope before resuming activities.
Source: ANSI/ASIS INV.1-2015, 6.3.8, page 53
What is the purpose of the pre-investigation meeting?
Confirm the investigation plan.Introduce the investigation team.Confirm communication channels.Verify clearances and approval to conduct the investigation.Verify the feasibility of investigation activities.Provide an opportunity for the client to ask questions.
Source: ANSI/ASIS INV.1-2015, 6.4.3, page 56
What is a process approach?
The identification, linkages, and interactions of the processes comprising the investigation and their management.
Source: ANSI/ASIS INV.1-2015, 0.4, page xv
What is the tool used by investigators to organize and maintain their records, documents, and reports during an investigation?
A case file.
Source: ANSI/ASIS INV.1-2015, 3.10, page 2
What are the primary techniques and tools employed by investigators?
Interviewing and interrogation, Records and database checks, Evidence collection and handling, Surveillance, Computer forensics.
Sources: PIM, 1.5, pages 67-68 POA, Investigations, 1.14, pages 75-77
What issues are considered at the case level of investigations management?
Individual investigations and their investigators, Investigative techniques, Case management protocols.
Sources: PIM, 1.3, page 19 POA, Investigations, 1.4, page 13
What are the principal resources of an investigative unit?
People, information, credibility, physical assets, and financial assets.
Sources: PIM, 1.3.5, page 38 POA, Investigations, 1.9.2, page 34
What are the phases of the investigation life cycle?
Initiation, investigation, reporting, follow-up.
Sources: PIM, 1.3.6, pages 40-43 POA, Investigations, 1.9.3, pages 37-40
What occurs in the follow-up phase of an investigation?
Determining disciplinary, administrative, or judicial action; corrective measures to business practices or policies; and file retention for data analysis.
Sources: PIM, 1.3.6, page 43 POA, Investigations, 1.9.3, page 40
What are some ways investigative unit managers can motivate their staff?
Requiring periodic breaks, training, conducting office social events, team structure, professional and personal achievement recognition, and supporting participation in professional and community organizations, employing a participative management style.
Sources: PIM, 1.3.6, page 44 POA, Investigations, 1.10.2, page 41
When is local licensing a consideration?
If the local jurisdiction, or the jurisdiction where activity is taking place, requires it. Paid investigators, as well as outsourced investigators, consultants, or experts (both individuals and their employers) should meet the licensing requirements.
Sources: PIM, 1.3.8, page 48 POA, Investigations, 1.12.1, page 47
Why is protecting case-specific investigative information important?
Release could damage effectiveness of the investigator, lead to potential civil liability against the organization, and damage the reputation of subjects, witnesses, interviewees, employees, and the organization as a whole.
Sources: PIM, 1.3.11, page 50 POA, Investigations, 1.12.4, page 55
What are the three categories of surveillance?
Physical (human observation or tracking), psychological (behavioral analysis) and data (technical or electronic).
Sources: PIM, 1.5.4, page 68 POA, Investigations, 1.14.4, page 76
What are three important force multipliers in investigations?
Online information sources, liaison, and intelligance information.Some consider technology a fourth force multiplier.
Sources: PIM, 1.6, page 69 POA, Investigations, 8.1, page 268
What is chain of custody?
A record detailing those who handled or possessed a piece of evidence.
Source: ANSI/ASIS INV.1-2015, 3.11, page 2
What are document control procedures designed to protect?
The sensitivity, confidentiality, and integrity of records.
Source: ANSI/ASIS INV.1-2015, 6.3.9, page 53
What actions are document control procedures designed to control?
Identification, storage, protection, retrieval, retention and disposal of records.
Source: ANSI/ASIS INV.1-2015, 6.3.9, page 53
What is the purpose of work documents in conducting an investigation?
To provide a flexible roadmap for conducting the investigation activities and record observations for investigation evidence.
Source: ANSI/ASIS INV.1-2015, 6.4.1, page 54
What should investigation work documents show?
What was evaluated, how it was evaluated, what was examined and what was observed.
Source: ANSI/ASIS INV.1-2015, 6.4.1, page 54
What form do investigation work documents take?
Checklists, investigation sampling plans, and forms for recording information including investigation findings and records of meetings.
Source: ANSI/ASIS INV.1-2015, 6.4.1, page 54
When should communication within the investigation team take place?
Regularly and as often as necessary based on the complexity of the investigation and the needs of the investion team.
Source: ANSI/ASIS INV.1-2015, 6.4.2, page 55
How should investigative findings be determined?
By carefully evaluating the information gathered and then deciding, based on the evidentiary standard being utilized, whether the information is sufficient to meet the applicable burden of proof.
Source: ANSI/ASIS INV.1-2015, 6.4.7, page 63
Should the investigator be involved in the decision-making or discipline disbursement phase of the investigation?
No.
Source: ANSI/ASIS INV.1-2015, Tip #27, page 64
How are investigation conclusions prepared?
The investigation team lead in conjunction with the investigation team should prepare investigation conclusions in a team meeting. Consensus among the team on the findings and conclusions should be reached.
Source: ANSI/ASIS INV.1-2015, 6.4.8, page 64
What is the purpose of a post-investigation debriefing?
To present the investigation team’s conclusions and findings to the management of the organization and those responsible for the areas being investigated.
Source: ANSI/ASIS INV.1-2015, 6.5.1, page 64
What should be addressed in the post-investigation meeting?
The investigation findings and conclusionsThe method of reportingThe handling of investigation findings and possible consequencesImplications for improved management of riskPost-investigation activities, including recommendations for risk treatments and corrective actions
Source: ANSI/ASIS INV.1-2015, 6.5.1, page 65
What is the purpose of the investigation report?
To communicate the results of the investigation to the client and organization as well as provide a complete and concise record of the investigation.
Source: ANSI/ASIS INV.1-2015, 6.5.2, page 65
How should a request for a digitially submitted report be handled?
Good-faith effort must be made to control the realease of the information by: Encrypting and password protecting the data. Communicating passwords and encryption keys via a secondary medium. Following industry best practices for passwords and encryption.
Source: ANSI/ASIS INV.1-2015, 6.5.2.3, page 67
Which party has the responsibility and prerogative to apply disciplinary, corrective, preventive, or improvement actions indicated in the investigation report?
The organization and client.
Source: ANSI/ASIS INV.1-2015, 6.5.3, page 67
Why should competence requirements be tailored to the types of investigations?
Define the scope of the activities that it undertakes.Identify any technical qualification of its investigators necessary for that particular type of investigation.Ensure that personnel have appropriate knowledge, skills and experience.Recruit and select a suitably qualified investigation team.
Source: ANSI/ASIS INV.1-2015, 7.2.1, page 69
What procedures should be used to monitor investigator’s competence?
On-site observation, investigation report review, and feedback from clients.
Source: ANSI/ASIS INV.1-2015, 7.2.5, page 71
All personnel involved in the investigation activities should possess an indentificaiton credential containing what?
Photograph, full legal name, period of validity and name of the issuing body.
Source: ANSI/ASIS INV.1-2015, 7.3.2, page 73
What actions should be taken as part of a background screening for investigation team members?
Background check, interview, and work history review.
Source: ANSI/ASIS INV.1-2015, 7.3.1, page 72
What are some examples of liaisons?
Internal and external, formal and informal, individual and organizational.
Sources: PIM, 1.6.2, page 72 POA, Investigations, 1.12.2, page 47
What are some benefits of liaison?
It allows investigative units and individual investigators to leverage the resources of others; share best practices and lessons learned; collaborate on specific cases; more effectively address common issues; and share information, equipment, and facilities.
Sources: PIM, 1.6.2, page 72 POA, Investigations, 8.1.2, page 274
Who should establish performance metrics?
The investigation unit manager.
Source: ANSI/ASIS INV.1-2015, 5.6.1, page 41
What should performance metrics evaluate?
The performance of the overall investigation program as well as individual investigations.
Source: ANSI/ASIS INV.1-2015, 5.6.1, page 41
How should risk be examined while evaluating program outcomes?
Determine whether the risks identified during the risk assessment process have been adequately controlled and if any risks emerged that were not previously identified.
Source: ANSI/ASIS INV.1-2015, 5.6.2, page 41
Within the investigative unit, who should conduct which performance evaluations?
The investigation team leader should evaluate the performance of all members of the investigation. The investigation unit manager should evaluate the team leader.
Source: ANSI/ASIS INV.1-2015, 5.6.4, page 42
Continual improvement and investigation program maintenance should reflect changes in what?
The risks, activities and operation of the program that will affect the achievement of objectives.
Source: ANSI/ASIS INV.1-2015, 5.7.3, page 43
What is the purpose of reviewing the investigation program for opportunities for improvement?
To ensure the program’s continuing suitability, adequacy, and effectiveness.
Source: ANSI/ASIS INV.1-2015, 5.7.1, page 42
What is the purpose of reviewing initial documentation about the organization, incident, and/or individuals to be investigated?
To determine the investigation activities, better understand the client and organization, and determine if the investigation is properly designed and if there are any significant gaps.
Source: ANSI/ASIS INV.1-2015, 6.3.5, page 51
Which characteristics of the investigation should be monitored and measured?
Those that have material impact on the investigation’s performance.
Source: ANSI/ASIS INV.1-2015, 6.5.4, page 67
What factors help maintain objectivity in an investigation?
Independently corroborating evidence, Recognizing and neutralizing personal prejudices, Choosing words, phrases, and body language carefully.
Sources: PIM, 1.1.1, page 10 POA, Investigations, 1.2.1, pages 3-4
What are four typical objectives for an interview?
To obtain valuable facts, To eliminate the innocent, To identify the guilty, To obtain a confession.
Sources: PIM, 5.1, page 195 POA, Investigations, 5.1, pages 177-178
What is the difference between direct and indirect evidence?
Direct evidence is first-hand knowledge, while indirect evidence is highly informed inference on the part of the witness.
Sources: PIM, Chapter 6 Introduction, page 231 POA, Investigations, Chapter 6 Introduction, page 210
At a minimum, what does a chain-of-custody document identify?
Each custodian, when they received the evidence and to whom it was transferred.
Source: ANSI/ASIS INV.1-2015, 6.4.4.2.6, page 62
What is the theft triangle?
Need or want (desire), rationalization (motive), and opportunity.
Sources: PIM, 5.2.2, page 197 POA, Investigations, 5.2.2, page 179
