Risk Management & Safety Protocols Flashcards
7 cards from real CFA practice questions. Tap to flip, then mark Knew It or Still Learning — missed cards come back until you master them.
Read the first 7 Risk Management & Safety Protocols flashcards as text
An agent identifies a potential conflict of interest in an ongoing operation. The CORRECT response is to:
Answer: Disclose the conflict immediately to a supervisor and recuse if directed
Immediate disclosure allows supervisors to determine whether recusal or other mitigation is needed to preserve operational integrity.
A 'Continuity of Operations Plan' (COOP) in field agencies is designed to:
Answer: Ensure essential functions continue during and after a disruption
COOP establishes procedures so critical mission functions are maintained during emergencies, disasters, or significant disruptions.
Which hazard control method is considered MOST effective in the hierarchy of controls?
Answer: Elimination of the hazard
Elimination removes the hazard entirely and is the most effective control because it leaves no residual risk from that source.
A field agent suspects they are being followed. The recommended counter-surveillance technique is to:
Answer: Execute a surveillance detection route (SDR) to confirm and lose the tail
An SDR uses deliberate route changes and observation points to confirm surveillance and break contact without alerting the adversary.
When an agent must use force, the principle of 'proportionality' requires that:
Answer: The level of force used corresponds to the level of threat presented
Proportionality means the response must be no greater than what is necessary to neutralize the specific threat level faced.
A field agent's communication device loses power mid-operation. The FIRST step under PACE protocols should be to:
Answer: Switch to the pre-designated alternate communication method
PACE protocols pre-designate alternate methods so agents transition smoothly without improvisation when primary comms fail.
Under U.S. law, which doctrine allows field agents to use force in defense of others when a third party faces imminent serious harm?
Answer: Defense of others doctrine
The defense of others doctrine permits use of force to protect a third party facing an imminent threat of serious bodily harm or death.