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Flashcards in Investigations Deck (80)
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1

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

Objectivity,
Thoroughness,
Relevance,
Accuracy,
Timeliness.

2

What are the three levels of investigative management?

Strategic,
Operational,
Case.

3

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

The shortest one.

4

What are the three main tools of an investigator?

Information,
Interrogation,
Instrumentation.

5

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

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

6

What are the five principal resources of an investigations unit (IU)?

People,
Information,
Credibility,
Physical assets,
Financial assets.

7

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

Demonstrate how the unit pays for itself.

8

What elements constitute the investigation life cycle?

Initiation,
Investigation,
Reporting,
Results/follow up.

9

In investigations, what’s the difference between an analysis diagram and a horizontal diagram?

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.

10

In what situation is protecting investigative information particularly difficult?

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.

11

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.

12

What are the most challenging problems in international investigations?

Cultural differences create challenges in international investigations.

13

What is the overall objective of an investigation?

A successful outcome or resolution of the case.

14

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

Incident investigations.

15

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

An incident report.

16

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.

17

What four situations do workplace misconduct investigations typically address?

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

18

What is the biggest challenge in investigating workplace misconduct issues?

Getting employees to report wrongdoing.

19

What are the three force multipliers in investigations?

Online information sources (e.g. commercial databases),
Liaison (e.g. joint task forces),
Intelligence information (e.g. informants).

20

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 the best use of an investigator’s time.

21

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

Parochialism,
Protection of sensitive information,
Data management,
Reporting chains.

22

What are the four stages of an investigative reporting process?

Initial report,
Progress report (within 30 days of initial report),
Special report,
Final report.

23

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

The attorney of record.

24

What kind of legal privilege is typically granted to properly controlled investigative reports?

Qualified privilege, protecting against defamation suits.

25

When should an undercover investigation be used?

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

26

What is the main potential problem in an undercover investigation?

The possibility that the investigation will be exposed or compromised.

27

Who should be made aware of the existence of an undercover investigation?

Only those with an absolute need to know.

28

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

Undercover investigation.

29

What are the five phases of an undercover operation?

Planning and preparation,
Information gathering - operative placed,
Verification and analysis - operative removed,
Discipline and corrective action,
Prevention and education.

30

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.