PCI: 2022 – Investigations – 2 – LYL BCM Learning Portal

1. Question

What do investigators and IUs rely on to effectively gather, corroborate, and integrate facts?

SMART

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Objectives

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Metrics

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Statistics

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2. Question

What is the first step in any due diligence investigation?

Establish a budget.

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Assign an investigator / investigative team

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Request initial submissions of information from the target.

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Examine the issue at hand

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3. Question

What is referred to as the three “I’s” of an investigator?

Information, investigation, and instrumentation.

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Information, interrogation, and instrumentation.

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Information, interviewing, and instrumentation.

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Information, interrogation, and investigation.

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4. Question

What do investigators and IUs rely on to effectively gather, corroborate, and integrate facts?

Their education and experience

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Their training and inquisitiveness

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Their credibility and respectability

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Their attitude and behavior

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5. Question

What is the primary purpose of a background investigation?

To ascertain the veracity of details submitted by an applicant.

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To reveal any aspects of an application that may have negative implications for the hiring organization.

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To provide the basis for a more in-depth investigation as part of the overall background screening process.

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To prevent losses and mitigate damages.

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6. Question

What is one of the best ways to help achieve a favorable IU budget request?

To show value to the organization or to demonstrate that the unit pays for itself.

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To ensure all investigations result in a dismissal.

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To ensure all investigations result in a conviction.

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To ensure all investigations result in both a dismissal and a conviction.

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7. Question

How can outsourced investigations be more cost-effective?

Aby managing in a way that passes the charges for the investigation over to the business unit where, or on whose behalf, the investigation is performed.

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By ensuring the IU manager has the requisite training and experience in financial management

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By ensuring the minimum number of investigative personnel are assigned to those investigations

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By ensuring the minimum number of less experienced investigative personnel are assigned to those investigations.

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8. Question

What is the standard of proof necessary to refuse to hire a job applicant?

Good faith

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Beyond all reasonable doubt

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Balance of probabilities

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Preponderance of evidence

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9. Question

What are often among the first items to become neglected when caseloads increase?

Formal planning activities

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Formal interviewing and interrogation activities

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Formal documentation activities

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Formal debriefing activities

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10. Question

If litigation is expected or some capability of the company is suspected, to whom should the investigator deliver the investigation report?

The legal counsel of record for the company

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The CSO

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The CEO

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The commissioner of the investigation

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11. Question

During the early application review, employment or life history gaps are red flags. Such gaps should be investigated if they are more than……….?

1 week

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2 weeks

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1 month

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2 months

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12. Question

In which of the following is it particularly difficult to protect investigative information?

Joint task force environments

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Background investigations

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Fraud investigations

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Workplace violence investigations

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13. Question

Who / what has ultimate responsibility for ensuring the proper training and licensing of contract investigators?

The hiring organization

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The contractor/vendor.

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cLaw enforcement with the jurisdiction of the area in which the contract is awarded.

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An independent, third-party investigative training provider.

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14. Question

What will significantly affect the future of background investigations and pre-employment screening?

Rising costs

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Availability of investigative personnel and support staff

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Privacy legislation

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Equality legislation

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15. Question

What is an important characteristic of workplace misconduct investigations?

Generally, they are particularly difficult to investigate due to a lack of independent witnesses.

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Generally, they are particularly difficult to investigate due to a lack of evidence

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Although they may lead to a suitable case resolution in respect of the offender, generally, they have no value in organizational learning

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They leave the employer particularly open to legal action by employees or former employees who feel they have been treated unfairly.

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16. Question

Where would you find IU performance metrics and targets for areas of improvement?

In the functional charter

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In the policy statement

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In the IU goals

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In the IU set of objectives

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17. Question

“The purpose of an ___________ is objectively developing a reasonable conclusion based on the facts learned through the investigative process.”
What is the missing word?

Inquiry

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Investigation

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Interview

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Interrogation

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18. Question

Surveillance can be broken down into three broad categories. What are they?

Covert, overt, and passive

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Audio, visual, and technical

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Physical, electronic, and cyber

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Physical, psychological, and data

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19. Question

What is the lifeblood of the investigative mission?

Evidence

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Ethics

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Information

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Interrogation

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20. Question

What can help the interviewer establish rapport with the interviewee more easily?

Offering inducements at the beginning of the interview.

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Forming a friendship with the interviewee at the earliest opportunity during the interview.

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Being assertive with the interviewee from the outset of the interview.

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Having knowledge of some personal characteristics of the interviewee

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21. Question

The main potential problem in an undercover investigation is the possibility that the investigation will be exposed or compromised. Which of the following must
be applied/utilized to prevent this?

Effective supervision

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Usual organizational reporting lines

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Appropriate technical measures

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Confidentiality

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22. Question

What are the principal resources of an IU?

People.

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People, physical assets, and financial assets.

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People, information, credibility physical assets, and financial assets.

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All the above

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23. Question

To put an interviewee at ease, the beginning of the interview should contain which type of questions?

Wide-open

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Open

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Closed

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Leading

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24. Question

While background investigations and pre-employment screening become ever more important to businesses, institutions, and individuals, legislation in many
countries restricts pre-employment evaluations and screening. What is/is the main concern(s)?

Reputation

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Privacy and data protection

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Lawsuits and litigation

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Availability of information and evidence

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25. Question

Which of the following account for a significant amount of credible information on incidents and conditions that can result in losses, liability, and other problems

Whistleblowers

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Employee tips (anonymous and not)

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Complaints channeled through supervisors

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All the above

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26. Question

If an interviewee nods or shakes their head during an interview, what type of response is this?

Verbal

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Non-verbal

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Reflex

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Affirmative

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27. Question

What sets the tone of the interview?

The interviewer's demeanor

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The interviewee's demeanor

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The legal representative's demeanor

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The offense/The offense/case under investigationunder investigation

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28. Question

What can quickly lead to investigator disenchantment and degrade the IU’s effectiveness and its ability to resolve cases successfully?

Poor salary.

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Poor working conditions

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Poor case assignment.

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Poor initial training followed by poor opportunities for continuous professional development.

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29. Question

Circumstantial evidence is also known as what?

Associative evidence

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Identifying evidence

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Tracing evidence

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Trace evidence

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30. Question

What is the most critical preliminary action during the preparation of an interview?

Learn the case information thoroughly

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Ensure a suitable room/location is available for the interview

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Liaise with legal counsel to ascertain legislative requirements

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Ensure the availability of at least audio recording facilities for the planned duration of the interview.

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31. Question

What management style should IU managers adopt to help motivate investigators?

Transactional

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Transformational

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Participative

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Authoritative

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32. Question

Blood samples for drug and alcohol testing are collected in what type of tube?

Purple-top with EDTA

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Gray-top with EDTA

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Gray-top with sodium fluoride

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Purple-top with sodium fluoride

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33. Question

During an interview, what can help the interviewer to establish rapport more easily with the interviewee?

By conducting the interview with a co-interviewer.

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By having knowledge of some personal characteristics of the interviewee

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By ensuring the availability of refreshments at the beginning and for the duration of the interview

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By ensuring frequent breaks are offered to the interviewee during the interview.

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34. Question

What type of inquiry is often performed by a security supervisor or the security director rather than a full-time, professional investigator?

Incident investigations

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Misconduct investigations

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Compliance investigations

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Exploratory (informational) investigations

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35. Question

The value of private sector investigative capabilities is frequently measured in terms of which of the following?

The public good.

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Bringing offenders to justice through the criminal courts.

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Recovery, restitution, mitigation of litigation, and risk reduction.

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All the above.

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36. Question

The choice of interview site depends on the nature and phase of the investigation, and which of the following?

The apparent involvement of the interviewee

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The issue of interviewee confidentiality

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The desired level of formality

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All the above

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37. Question

During an investigation, if an informant is the only source of key data, the informant should be tested at least for which of the following?

Accuracy

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Consistency

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Integrity

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Credibility

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38. Question

The best prevention of exposure to workplace violence is……….?

A corporate workplace violence policy.

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A pre-employment background investigation program.

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A CCTV system capable of producing evidential-grade images.

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An effective entry control system.

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39. Question

Any investigative strategies developed must be compatible with one of the following?

The organization's overall strategic business plan

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The individual business unit's goals

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The investigative unit manager's instructions

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The investigator's subjective hypothesis

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40. Question

Which of the following statements is incorrect in relation to interviewing?

The subject should face the interviewer, and any witness to the session should be seated to the side.

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The subject's forward view should not include distractions such as a window.

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The interview should be conducted across a desk or table, as this allows for a degree of safety should the interviewee become hostile towards the interviewer

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The particular investigation and interview techniques used by the interviewer will dictate the spacing of the chairs.

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41. Question

In respect of investigation management, what will help minimize the problem of unrealistic expectations?

Opening the investigation as soon as possible

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Completing the investigation as soon as possible

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Avoiding closing the investigation prematurely

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Regular and timely communications between senior security or investigative managers and corporate or organizational decision-makers.

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42. Question

Which of the following statements is true?

The undercover investigation should be the exception, not the rule.

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The technique may be contemplated for any investigation and is particularly effective in conducting inquiries into union activities.

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This investigative technique is relatively simple in management and evidence collection and therefore prevents legal challenges and liability for theemployer.

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Undercover practices require little investment of time, patience, and resources by the company and therefore are a very efficient method of investigation.

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43. Question

What is the primary goal of a compliance investigation?

To prove the guilt of a possible offender suspected of violating regulatory requirements

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To provide guidance regarding possible or potential violations of regulatory requirements

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To apply all aspects of an effective investigation into establishing the truth around possible or actual violations of regulatory requirements.

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To demonstrate the effectiveness and efficiency of the IU in investigating possible or potential violations of regulatory requirements to senior management.

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44. Question

During a normal investigation, which of the following types of interviewees should be interviewed last?

The offender or offending group

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Persons who are not likely to be readily available later, such as an employee scheduled to be transferred to a distant location

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Persons believed to have the most pertinent information concerning the matter under investigation

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Persons who are likely to be hostile witnesses

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45. Question

What should the enterprise do early in a private sector investigation?

Produce a Request for Proposal (RFP) for external bids by investigative services suppliers

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Designate an appropriate business unit manager to assume the role of investigation manager.

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Determine the acceptable outcome or outcomes of the case.

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Instruct the facilities or estates manager to identify suitable buildings for storing future evidence and exhibits that will be generated during the investigation.

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46. Question

What is the most important activity for the undercover operative once they have been selected and placed?

Identifying potential or actual offenders.

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Questioning potential or actual witnesses and informants.

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Installing technical surveillance equipment to corroborate evidence.

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Learning the job and becoming familiar with surroundings.

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47. Question

“The reporting chain for investigative information or results is critical and can affect both the outcome of specific cases and the effectiveness of the unit
itself. Generally, the __________ reporting chain between the source of the information and the final decision maker is best.”
What is the missing word?

Longest

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Shortest

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Fastest

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Strongest

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48. Question

What is crucial for success in security and criminal investigations in the corporate environment?

Ensuring all investigators have a minimum of ten years of investigation experience.

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Ensuring all investigators have a minimum of ten years of previous law enforcement experience.

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Evidence.

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Management.

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49. Question

Who is responsible for the day-to-day administration of the case and the operative’s daily care and maintenance?

The client representative

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The project manager

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cThe corporate attorney

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The law enforcement representative

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50. Question

Which of the following options is incorrect in respect of the IU policy statement?

The statement outlines procedures for initiating and conducting investigations

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The statement addresses reporting channels, coordination mechanisms, and disposition.

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The statement only applies to the IU

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The statement also applies to other departments in the organization.

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PCI: 2022 – Investigations – 2

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