Investigations Post-Test

1.

1 point

Should the investigator wish to express an opinion or speculation these comments should be conveyed in:

Separate paragraphs in the report of investigation, identified as such.

The last paragraph of the report of investigation.

Brackets in appropriate paragraphs of the report of investigation and identified as such.

A different report or in a memorandum directed to the investigator’s supervisor.

2.

1 point

The true criterion for the size of the in-house investigative unit is the:

Number of prosecutions and number or convictions annually

Degree to which the investigative effort pays for itself

Size of the general employee population in the organization

Number of cases closed annually

3.

1 point

The most important and generally the most expensive type of countermeasure is:

Hardware

Software

People

Competitive Intelligence

4.

1 point

When a seal is applied to a truck or a railroad car the seal number should:

Be noted on the bill of lading or other shipping document including the control copy.

Be noted on the bill of lading or other shipping document but not on the control copy.

Never be noted on any shipping document as this is sensitive information.

Be recorded only in the shipping log maintained at the originating point of the shipment.

5.

1 point

Which of the following procedures is not recommended when using a contract investigations agency?

A letter setting forth the basis and requirements of service.

Identification to the agency of the company personnel to whom reports should be submitted.

Authorization for the agency to use the company name.

Clear instruction to the agency not to represent itself as the company.

6.

1 point

The financial and lifestyle inquiry is primarily a:

Series of records checks and an analysis of the information gathered.

Detailed evaluation of an individual after interviews of personal references supplied by the subject.

Meeting with the subject’s department head to discuss the subject’s lifestyle.

Detailed neighborhood check involving interviews with at least four neighbors.

7.

1 point

When writing a report of investigation the:

Past, present and future tenses are always used

Past tense is always used

Present tense is always used

Past and present tenses are always used

8.

1 point

The activities of private sector security organizations are measured in terms of:

Numbers of arrests and convictions

Funds expended and funds or assets recovered

The ration of uniformed to plain clothes security employees

The number of management employees in the organization

9.

1 point

Which of the following investigative steps would not be appropriate for a credit-life style inquiry?

A review of the enterprise’s own security files.

A check of available local law enforcement agency records.

A check of civil litigation records.

Interviews with personal references.

10.

1 point

Pilferage involves:

Extensive planning

Little planning or technique

Complex theft techniques

Access to the shipping and storage documents for a particular shipment

11.

1 point

The irregular or nonstandard movement of company property, personal property of employees of visitors, and customer property generally requires manual or paper processing. Which of the following is NOT a basic concept for this process:

All asset movements and all changes in asset control or responsibility must be in accordance with the policies and procedures of the organization.

The movements and control of responsibility must have prior authorization and be properly recorded.

With the exception of personal property, documents that authorize the movement of property must be pre-numbered.

The identity of the person moving the assets or assuming control of, or responsibility for, the as sets must be positively verified.

12.

1 point

The investigators in an in-house investigative unit are supervised by:

Another security professional who is competent in evaluating investigative activity and results.

A legal department management person who is competent in the prosecution of criminal cases.

The senior management person in the human resources department who is experienced in determining disciplinary actions to be taken

A management person who has at least third level supervisory status.

13.

1 point

Studies have found that, for employees who engaged in theft, the most important consideration was the:

Organizational sanctions

Informal social controls such as peer group gossip, ridicule and ostracism

Familial social sanctions

Media exposure

14.

1 point

When conducting interviews in the course of an incident investigation the investigator should:

Begin the interview shortly before a scheduled meal period to increase tension in the interviewee.

Unless urgent circumstances dictate otherwise, accommodate schedules to the convenience of the interviewee.

Schedule interviews to avoid overtime work on the part of the investigator.

Arrange to conduct the maximum number of interviews in the first day of the investigation.

15.

1 point

Studies of workplace theft have shown that approximately:

One-third of the employees reported stealing company property, but a small number of employees take large amounts of property.

Three-fourths of the employees reported stealing company property and the vast majority take small amounts of property.

Less than one-fourth of the employees reported stealing company property but the vast majority take large amounts of property

Less than ten percent of the employees reported stealing company property but the vast majority take large amounts of property.

16.

1 point

Which of the following is NOT an attribute of an effective theft and fraud prevention program:

A process for screening all applicants for past trust violations.

Control consciousness fostered throughout the organization including written policies describing prohibited activities and the action required if violations are noted.

Periodic employee communications that include case histories, avoiding the use of names or other descriptors, demonstrating vulnerabilities and management actions against those who commit theft or fraud.

Periodic publicity throughout the organization of case histories of theft and fraud including the names and departments of the violators and the actions, including prosecution, taken against them.

17.

1 point

In following investigative leads, which of the following steps would be taken first?

Observe relevant but not time-sensitive events or locations.

Interview those with the most extensive information.

Interview persons likely to be hostile.

Interview those not likely to be available later.

18.

1 point

A fraud called “lapping” that is committed in the accounts receivable unit involves

Posting the payment twice to the same customer account.

Delaying the posting of a cash payment to cover a prior theft

Posting a cash payment to the account of a confederate

Posting a cash payment to a customer account only on a date that is agreeable to the customer.

19.

1 point

In an incident investigation, a preliminary analysis of the original information is usually made by the security professional who assigns and reviews investigations. The preliminary analysis:

Produces a list of the required investigative steps and, sometimes, their sequence.

Provides a determination of whether the investigation will be cost-effective.

Provides the basis for determining if the investigation should be continued

Always results in an interim report of investigation.

20.

1 point

Cressy’s theory holds that the following three elements must be present before a fraud or similar crime takes place:

A lack of administrative controls, inadequate supervision, and the ability to rationalize the behavior.

Substance abuse, opportunity for a trust violation, and inadequate supervision.

A non-sharable problem, an opportunity for a trust violation, and a series of rationalizations for the behavior.

An opportunity for a trust violation, a lack of administrative controls, and the ability to rationalize the trust violation

21.

1 point

A property pass is used to authorize:

Large movements of material in the normal course of business

Regular movements of small shipments of materials

Irregular or unusual movements of company or personal property

The movement of scrap material

22.

1 point

In the narrative section of a report of investigation:

Technical terms are normally used extensively.

Lengthy explanations are used in order to completely report the actions taken.

Each step in the investigation should be covered in a separate paragraph.

Multiple steps in the investigation should be covered in a single paragraph to avoid a lengthy report.

23.

1 point

Which of the following would not normally be a part of the undercover investigative team?

A corporate decision-maker

A finance department representative

A human resources representative

A corporate security department representative.

24.

1 point

The general rule in writing a summary or synopsis of a report of investigation is that:

Supporting facts are supplied for every major point covered by the report.

Each source used is fully identified.

Every major point covered by the report requires at least one sentence in the synopsis.

Conclusions are not permitted in the synopsis.

25.

1 point

In an undercover investigation the undercover investigator:

Conceals his or her presence.

Conceals his or her true identify.

Gathers information concerning labor organizing activities.

Attempts to pass access control points into the facility unnoticed

26.

1 point

The best rule to follow in the event of a loss or mysterious disappearance of goods when a transportation carrier is involved is:

Report the condition by telephone and confirm the report in writing within 24 hours to the appropriate carrier.

Notify the Department of Transportation immediately and request a conformation of the report.

Report the condition by telephone to the appropriate insurance agency and confirm the report in writing within 24 hours.

For an intrastate shipment, notify the state transportation authorities within 24 hours of the discovery; for interstate shipments, notify the Federal Bureau of Investigation within 24 hours of the discovery.

27.

1 point

The type of lock specifically designed to secure a truck trailer which is parked unattended overnight is:

A shrouded padlock

A trailer pin or kingpin lock

A double laminated lock

A seven pin lock with a hardened shackle

28.

1 point

Which of the following is not relevant in determining physical protection for a cargo handling facility?

Cargo packaging

Cargo volume

Cargo value

Place of cargo origin

29.

1 point

The Clark and Hollinger studies of workplace theft are instructive in formulating loss prevention policies and procedures particularly in the finding that the single most predictor of theft was the employee’s:

Need for the assets

Relative rank in the organizational hierarchy

Perceived chance of being detected

Marital status

30.

1 point

As a result of the Clark and Hollinger studies, the overall message to organizations attempting to deter theft by employees is:

Installing multiple levels of security devices to control theft will instill a sense of satisfaction among employees.

Providing major security systems creates an environment in which theft is all but impossible.

Showing sincere concern for the individual’s contribution to the organization instills a sense of ownership and feelings of belonging.

Creating strong control systems of internal control instills a sense of well being in employees.

31.

1 point

The information provided by personal references in the course of a pre-employment investigation:

Is of no value because they are friends and would only say good things about the subject.

Can be relied upon without further corroboration.

Should be accepted at face value without consideration that the reference is a relative or friend.

Although apparently neutral, is often helpful indirectly as collateral information.

32.

1 point

Competitive intelligence acquisition is a process of the collection of information using:

Open sources and interviews

Radio frequency transmitters

Wiretaps

Manipulation of safes and locks to gain access to the information

33.

1 point

An incident or “complaint” investigation is an inquiry conducted:

When a pre-employment investigation reveals an incident involving the subject in a previous employment situation.

Into any matter or condition that requires fact finding.

Into the personal habits of an applicant

When the lifestyle of an employee appears abnormal when compared with the income of the employee.

34.

1 point

Undercover investigation should be used:

In routine investigations

In lieu of other investigative techniques when the undercover operatives are idle.

When there is a high probability that undercover operations will produce significant results and all other options have been ruled out.

When labor organizing activities are apparent and no other form of investigation is likely to identify the person or persons responsible.

35.

1 point

In a marine terminal, the stevedore is accountable for the cargo until:

The terminal operator's agent signs for the goods

The intermodal carrier moves the goods from the dock

The cargo reaches a "point of rest"

The complete shipment is delivered to the terminal warehouse

36.

1 point

The only effective production control for the more complex incident investigation is:

Periodic review of the cost of the investigation by the finance department

Regular review of the case by the investigations supervisor.

Periodic case discussions in security staff meetings.

Regular reviews by an outside security consultant.

37.

1 point

A competent investigator writes a report so that the reader can readily understand:

What the investigator did, why it was done, and the results of the action.

The personal prejudices of the investigator.

The identity of all sources of information gathered in the course of the investigation.

What disciplinary action the organization had taken in past similar cases.

38.

1 point

The sole purpose of seals is to:

Prevent entry

Indicate tampering

Determine the honesty of employees

Provide a record of asset movement

39.

1 point

When the assistance of specialists from another department or a contract investigative agency is required for a complex in-house investigation the scope and flow of the investigation is controlled by the:

Staff investigator

Contract agency investigator

Investigator with the most experience

Senior company person

40.

1 point

Business crime losses are typically the result of:

Non-violent acts committed by insiders

Non-violent acts committed by outsiders

Violent acts committed by insiders

Violent acts committed by outsiders