Investigations (10%)

Question 1

Which of the following is not a legitimate purpose of an investigation for employee misconduct.

A) To determine whether company rules have been violated.

B) To ascertain whether company policies have been violated.

C) To catalog information about employees that might be derogatory for future use.

D) To determine of state laws have been violated.

E) to determine if federal laws have been violated.

Answer 1

C) To catalog information about employees that might be derogatory for future use

Question 2

The investigation’s best approach to questioning relies on the following:

A) Most suspects will lie or circumvent the truth

B) a subject is innocent until proven guilty

C) a key suspect is guilty, and evidence must be found

D) a signed statement in the form of a confession must be obtained.

E) None of the above

Answer 2

B) a subject is innocent until proven guilty

Question 3

Some facts about drug users that may assist in recognizing problem areas during a drug investigation are set forth as follows. Indicate the one that is erroneous. A) The only common characteristic is that drug abusers use drugs to a point where they feel they can no longer manage with its support. B) the adult abuser of drugs commonly has a history of social maladjustment C) Drug abuse is concentrated in but no confined to “slum areas” of large cities D) Those who can afford to by drugs without resorting to crime are less likely to be arrested for drug violations. E) Chronic abuse of drugs is generally not considered a symptom of mental or emotional illness.

Answer 3

E) Chronic abuse of drugs is generally not considered a symptom of mental or emotional illness.

Question 4

A craving for a drug is exhibited often by the following: A) Water running from nose or eyes B) Frequent yawning or sneezing C) continual itching of arms and legs D) All of the above E) None of the above

Answer 4

D) All of the above

Question 5

a narcotic addict is sometimes called: A) A bingo B) A geezer C) A hophead D) A pop E) A bagman

Answer 5

C) A hophead

Question 6

One whose sexual desires are directed to both men and women is known as a: A) Lesbian B) Bisexual C) Homosexual D) Transvestite E) None of the above

Answer 6

B) Bisexual

Question 7

When it is necessary to question a witness about sexual deviation, all of the following should be avoided except: A) Using street language B) Giving the impression of being avid to develop the facts C) Leaving the impression that you suspect the subject of being a sex deviate D) Allowing the witness to frame the testimony in his or her own words E) None of the above

Answer 7

D) Allowing the witness to frame the testimony in his or her own words

Question 8

In conducting gambling investigations, the security officer should: A) Cooperate with local, county, state, or federal law enforcement B) Not use undercover operatives C) Wiretap the employees home phone D) Search the lockers of all suspects E) None of the above

Answer 8

A) Cooperate with local, county, state, or federal law enforcement

Question 9

Which of the following investigative resources should not normally be used in gambling investigations conducted by a proprietary investigative force? A) Closed circuit TV Cameras B) Undercover operatives C) Telephone surveillance D) Florescent Powder E) Physical surveillance

Answer 9

C) Telephone surveillance

Question 10

In an investigation concerning the regulations of common carriers in interstate commerce or an investigation of railroad accidents, a good source of information would be?

Answer 10

Interstate Commerce Commission

Question 11

When investigating a homicide or suicide, the best source of information would probably be?

Answer 11

The county coroner’s office

Question 12

To obtain information concerning marriage licenses, an investigator would contact the?

Answer 12

The Bureau of Vital Statistics

Question 13

In conducting a “claim” investigation where the claim is a serious one and where this is cause for doubt in connection with the loss or claim, the type of investigation to be used is?

Answer 13

Personal contact

Question 14

One of the following is NOT one of the desired characteristics of a statement obtained during a claim investigation: A) It should be written in ink or indelible pencil, or typed B) It must be dated C) It should be in a short paragraphs with two spaces between each paragraph D) It may be signed or unsigned E) It must contain the identification of the person making it.

Answer 14

C) It should be in a short paragraphs with two spaces between each paragraph

Question 15

A sudden, violent, and noisy eruption, outburst or discharge by a material acted upon with forces, such as fire, shock, or electrical charge, which causes the material, either solid or liquid, to convert into gas and violently expand or burst is the definition of what: A) A flash fire B) An explosion C) A detonation D) All of the above E) None of the above

Answer 15

D) All of the above

Question 16

A yellow-colored crystalline solid pertains to the following explosive: A) TNT B) Dynamite C) Nitroglycerin D) Nitro starch E) Picric acid

Answer 16

E) Picric acid

Question 17

Which of the following is NOT a high explosive: A) Nitrocellulose B) Nitroglycerin C) Dynamite D) Nitro starch E) Picric acid

Answer 17

A) Nitrocellulose

Question 18

Which of the following could be considered a source of information? A) A record B) a custodian of record C) A public official D) All of the above E) None of the above

Answer 18

D) All of the above

Question 19

One of the following is NOT considered an element of the common-law of arson A) Commercial building B) Maliciousness C) Burning D) Willfulness E) Of another

Answer 19

A) Commercial building

Question 20

Which of the following is NOT usually applicable to a confession? A) it was voluntary B) It was made subsequent to commission of a wrongful act C) It is often applied to civil transactions D) It gives no inference other than guilt E) it is an admission of guilt

Answer 20

C) It is often applied to civil transactions

Question 21

Which of the following is NOT a requirement for a successful undercover investigation: A) A qualified investigator B) A plausible cover story C) An effective control scheme D) Developing necessary evidence for prosecution E) A reliable method to discontinue or even suddenly abort the investigation

Answer 21

D) Developing necessary evidence for prosecution

Question 22

If it is necessary to terminate an undercover investigation, one of the following actions should NOT be done: A) Withdraw the agent safely B) Withdraw the agent immediately C) Salvage as much of the resultant data as possible D) Prepare explanations for those who demand then E) Reveal the agent’s identity

Answer 22

E) Reveal the agent’s identity

Question 23

The principal item of expense in an investigations budge will be what?

Answer 23

Personnel costs

Question 24

What is the single most important administrative control in handling an investigation?

Answer 24

Indexing

Question 25

The frequency of a re-investigation of the “financial lifestyle” inquiry should be how long?

Answer 25

Every 18 months

Question 26

In conducting interviews during an investigation concerning “financial lifestyle,” the investigator should more appropriately tell the person being interviewed that the employee is: A) Being considered for a position B) Suspected of wrongdoing C) Being interviewed for in connection with a position of trust D) Being considered for a promotion E) None of the above: Tell the interviewee nothing

Answer 26

C) Being interviewed for in connection with a position of trust

Question 27

One of the following is not prohibited by the Federal Civil Rights Act during an investigation: A) Asking questions about prior arrests B) Asking questions about prior convictions C) Directing inquire into areas of race or color for discriminatory purposes D) Directing inquiry into areas of religion or sex for discriminatory purposes E) None of the above

Answer 27

B) Asking questions about prior convictions

Question 28

Age discrimination in the Employment Act of 1967 bans discrimination against workers or applicants who are between what ages?

Answer 28

At least 40 but less than 65

Question 29

Questions on an application left blank or field investigative inquires that deal with a union membership or affiliation should be avoided as they may lead to charges that constitute violations of what act?

Answer 29

The National Labor Relations Act

Question 30

As a general rule, the number of consecutive years of employment or non employment to be verified preceding the date of the investigation is?

Answer 30

7 years

Question 31

Any investigation containing unfavorable information should be retained in file for a period of no less than how many years?

Answer 31

3 Years

Question 32

a question on an application from inquiring about prior arrests is illegal as it is a violation of what act?

Answer 32

The Civil Rights Act

Question 33

The rule that states approximately 1 in 10 applications will have major omissions, which require going back to the applicant, is called? A) The Rule of Ten B) The Rule of Nine C) The 1-10 Rule D) The Verification Rule E0 Sullivan’s Rule

Answer 33

A) The Rule of Ten

Question 34

Who should be interviewed last or near the end of an investigation under usual circumstances.

Answer 34

Those likely to be hostile

Question 35

If the interviewee during an investigation is hostile, it is preferable to conduct the interview where?

Answer 35

At the security office

Question 36

Which of the following characterizations regarding investigative surveillance is NOT true: A) It is expensive B) It is time consuming C) It is often nonproductive D) It is illegal in most jurisdictions E) IT can be fixed or mobile

Answer 36

D) It is illegal in most jurisdictions

Question 37

The process whereby communications are intercepted or recorded is known as what?

Answer 37

Technical Surveillance

Question 38

Situations in which at least one party to a communication is aware and willing that the recording of his or her conversation with another person or persons is being made are: A) A violation of the Omnibus Crime Control Act B) A violation of the Federal Communications Act C) Not a violation D) Allowed by the Federal Anti-Racketeering Statute E) Allowed by 18 USC 2511

Answer 38

C) Not a violation

Question 39

The specific emplacement of an agent or operative in an environment or situation in which the agent’s true role is unknown with the purpose of developing information to be used later in a criminal investigation is know as what?

Answer 39

Undercover investigation

Question 40

It is becoming increasingly more difficult to do a good preemployeement background investigation because of: A) The expense B) The lack of skilled investigators C) Various rulings and court decisions that inhibit the use of techniques or instruments available D) The uncooperative attitudes of persons interviewed E) Such investigations being illegal in a number of states

Answer 40

C) Various rulings and court decisions that inhibit the use of techniques or instruments available

Question 41

Which of the following is an advantage of having investigations conducted by in house security staff? A) It is cheaper as a general rule, depending on the number of checks being done B) In-house staff is better trained C) In-house staff has a better grasps as the objective of the investigation D) In-house staff has better sources of information E) None of the above

Answer 41

C) In-house staff has a better grasps as the objective of the investigation

Question 42

The most widely recognized and best-known instrument designed to detect deception is known as what?

Answer 42

Polygraph

Question 43

The most important factor in the use of a polygraph is?

Answer 43

The examiner

Question 44

Which of the following is NOT a good procedure with regard to the use of the polygraph by investigators? A) Pointing out its effectiveness B) Describing it as infallible C) Withholding detailed information from the examinee D) Telling the examinee how experienced the examiner is E) Working with the examiner as a team member

Answer 44

B) Describing it as infallible

Question 45

The US Army trains its polygraph operators as well as those from other US agencies at what location

Answer 45

Fort Gordon, Georgia

Question 46

A device that is used to detect deception through stress recorded by voice modulations is know as what?

Answer 46

Psychological Stress Analyzer

Question 47

Which of following characteristics relate to the psychological stress analyzer. A) No physical connection with the body is required B) The subject is not required to answer in a terse yes-or-no format C) It can be used covertly D) All of the above E) Non of the above

Answer 47

D) All of the above

Question 48

The effectiveness of the voice analyzer in accurately detecting deception is? A) 100% B) 96% C) 94% D) 85% E) Not determined

Answer 48

E) Not determined

Question 49

Identify the act that basically prohibits discrimination, discharge, failure or refusal to hire, etc. on any of the grounds of race, color, religion, sec, or national origin: A) The Fair Credit Reporting Act B) The Civil Rights Act of 1964 C) The First Amendment D) The omnibus Crime Control Act E) None of the above

Answer 49

B) The Civil Rights Act of 1964

Question 50

Under court interpretations of the Civil Rights Act of 1964, which of the following are NOT allowed during investigations: A) Questions regarding prior arrests B) Questions regarding convictions C) Questions regarding age D) Questions regarding residence E) Questions regarding prior employment

Answer 50

A) Questions regarding prior arrests

Question 51

Interviews should be conducted: A) In the company of the suspect’s attorney B) In an area where distractions are minimal C) In a comfortable room that is well furnished, like a home D) In an area where the light is focused on the suspects face E) None of the above

Answer 51

B) In an area where distractions are minimal

Question 52

The witness’s idea of the suspect, described in words, is called what?

Answer 52

Portrait parle

Question 53

The most important qualification of a good undercover operative is what?

Answer 53

Resourcefulness

Question 54

The main function of the private security agent is to: A) Locate stolen goods B) Ascertain and report illegal activities C) Receive well-rounded investigative experience D) Ascertain the state of moral E) None of the above

Answer 54

B) Ascertain and report illegal activities

Question 55

The person best suited for physical surveillance work is one who: A) Is tall enough to see over crowds B) Will blend into the area C) Has a college education D) Has a police background E) None of the above

Answer 55

B) Will blend into the area

Question 56

In conducting a polygraph, it is important to note the most important measure of stress recorded by: A) Breathing B) Galvanic skin response C) Heartbeats D) Perspiration E) None of the above

Answer 56

C) Heartbeats

Question 57

The pretesting interview prior to the polygraph examinations itself is used for the purpose of: A) Helping the subject relax B) Helping the examiner to get to know the subject C) Helping the examiner to judge the subjects character D) All of the above E) None of the above

Answer 57

D) All of the above

Question 58

On average, a polygraph examination takes how long?

Answer 58

1 hour

Question 59

Which of the following statements is NOT correct regarding the polygraph: A) The polygraph is not a lie detector B) the polygraph does not automatically register truth or falsehood C) A polygraph test is conclusive D) Historically, polygraphs have more often been used to establish innocence rather than to prove guilt E) None of the above

Answer 59

C) A polygraph test is conclusive

Question 60

Person are protected from abuse of polygraphs by: A) The courts through civil lawsuits B) State labor departments C) The National Labor Relations Board D) All of the above E) None of the above

Answer 60

D) All of the above

Question 61

The best way to verify an applicant’s statement is: A) By judicious use of telephone B) By personal visit with the applicant C) By mail D) All of the above E) None of the above

Answer 61

E) None of the above

Question 62

Which of the following should NOT be included in a written investigative report of an applicant: A) Derogatory information B) Confidential sources of information C) Results of a lie detector examination D) Arrest records E) None of the above

Answer 62

B) Confidential sources of information

Question 63

Of all those with mental disorders, the most dangerous subject to handle is: A) One suffering hysteria B) A paranoid psychotic C) A neurotic D) One suffering phobia E) Schizophrenic

Answer 63

B) A paranoid psychotic

Question 64

Mental disorders may be determined by symptoms. Which of the following is such a symptom: A) Sudden changes in behavior B) Behavior that is not harmonious with a situation C) Unduly prolonged depression D) All of the above E) None of the above

Answer 64

D) All of the above

Question 65

In handling a mentally disturbed person, one should: A) Take a strong position as the boss B) Assume a calm friendly position C) Leave the impression he or she has control of the situation D) All of the above E) None of the above

Answer 65

B) Assume a calm friendly position

Question 66

Which of the following is true in handling persons with mental disorders? A) Don’t deceive them B) Don’t become involved in their personal problems C) Where physical restrain is required, use two officers D) All of the above E) None of the above

Answer 66

D) All of the above

Question 67

There are several stages in an investigative process. Which of the following is not considered a stage? A) Whether to investigate B) Legal evaluation C) Gathering information D) Managerial decision making

Answer 67

B) Legal evaluation

Question 68

Which of the following is NOT a requirement for a successful undercover investigation: A) A qualified investigator B) A plausible cover story C) An effective control scheme D) A reliable method to discontinue or even suddenly abort the investigation E) Developing necessary evidence for prosecution

Answer 68

E) Developing necessary evidence for persecution

Question 69

The principal item of expense in an investigations budget will be what?

Answer 69

Personnel Cost

Question 70

The single most important administrative control in handling investigations is what?

Answer 70

Indexing

Question 71

As a general rule, the number of consecutive years of employment and non-employment that should be verified is what?

Answer 71

7 Years

Question 72

Any investigation containing unfavorable information should be retained in a file for a period not less than how many years”

Answer 72

3 Years

Question 73

The rule that states approximate 1 in 10 applications will have major omissions, which will require going back to the applicant is called what?

Answer 73

The rule of ten

Question 74

Who should be interviewed last or near the end of an investigation under usual circumstances?

Answer 74

Those likely to be hostile

Question 75

If an interviewee during investigations is hostile, where should the interview take place?

Answer 75

At the security office

Question 76

Which of the following characterization regarding investigative surveillance is not true? A) It is expensive B) It is time consuming C) It is often nonproductive D) It is illegal in most jurisdictions

Answer 76

D) It is illegal in most jurisdictions

Question 77

The process whereby communications are intercepted or recorded is known as what?

Answer 77

Technical surveillance

Question 78

It is becoming increasingly more difficult to do a good preemployement background investigation because of what?

Answer 78

Various laws and court decisions that inhibit the use of techniques and/or instruments available

Question 79

An undercover operator should what type of person

Answer 79

Unknown by anyone likely to be in the target population

Question 80

One of the objectives of an undercover investigation is not to: A) Establish a method of diversion of goods B) Ascertain the level of organized labor activity in the work force C) Provide information on personnel action D) Obtain evidence of past or future crime

Answer 80

B) Ascertain the level of organized labor activity in the work force

Question 81

In an incident investigation, the general rule is to first interview person who: A) Are not likely to be available for later interview B) Are likely to be hostile C) Have the most extensive information about the incident D) Are familiar with some part of the subject matter

Answer 81

A) Are not likely to be available for later interview

Question 82

Which of the following is not true regarding communications with an undercover agent: A) Normal contact is initiated by the agent B) The contact telephone should be answered with the name of the company C) An alternate contact telephone number should be established D) The telephones should be reserved exclusively for investigations

Answer 82

B) The contact telephone should be answered with the name of the company

Question 83

The basic rules of collecting, preserving and maintaining evidence: A) Must be done by many untrained people B) Must be done in a quick manner C) Must follow the chain of custody to be used in court D) Must not be documented properly E) None of the above

Answer 83

C) Must follow the chain of custody to be used in court

Question 84

Which of the following is NOT a kind of evidence: A) Physical evidence B) Scientific evidence C) Circumstantial evidence D) Testimonial evidence E) All of the above

Answer 84

E) All of the above

Question 85

Hearsay evidence is what kind of evidence?

Answer 85

Information revealed to the witness by another person

Question 86

A pen register is: A) A devices that records all numbers dialed on a telephone B) Used to keep track of these entering an event C) Signatures of those registering for an event D) A surveillance technique using a pen camera E) None of the above

Answer 86

A) A devices that records all numbers dialed on a telephone

Question 87

Which of the following are types of surveillance that can be used in an investigation: A) Fixed surveillance B) Proprietary surveillance C) Moving surveillance D) Relaxed surveillance E) Answers a and c

Answer 87

E) Answers a and c

Question 88

What are some common ways applicants falsify applications? A) Incomplete applications B) Willful omission of facts or job references C) Misrepresentation of job history or education D) References are non existent E) All of the above

Answer 88

E) All of the above

Question 89

Which act prohibits discrimination in hiring, firing, promoting, or giving raises or others benefits because of an employees race religion, sex, or national origin? A) Fair Credit Reporting Act B) Age Discriminating is Employment Act - 1967 C) Civil Rights Act - 1964 D) Americans with Disabilities Act (ADA) E) National Labor Relations Act (NLRA)

Answer 89

C) Civil Rights Act - 1964

Question 90

An explosion is defined as: A) An item that can cause fire damage B) A sudden, violent, and noisy eruption, outburst or discharge by a material acted upon with forces, such as fire, shock, or electrical charge, which causes the material, either solid or liquid, to convert into gas and violently expand or burst C) Any chemical compound, mixture, or device that functions by explosion to release instantaneous gas and heat D) Objects that produce significant sound waves E) Materials that can cause injury to others

Answer 90

B) A sudden, violent, and noisy eruption, outburst or discharge by a material acted upon with forces, such as fire, shock, or electrical charge, which causes the material, either solid or liquid, to convert into gas and violently expand or burst

Question 91

Which of the following are exceptions to the Omnibus Crime Control and Safe Street Act of 1968 (Title III): A) Wiretapping takes place in a one-party consent state B) The wiretap is obtained with a court order called an ex parte order C) It is necessary for emergency cases involving national security D) Answers a and b E) All of the above

Answer 91

D) Answers a and b

Question 92

Embezzlement is defined as?

Answer 92

The misappropriation of money and wrongful conversion of merchandise.

Question 93

Bombs are defined as?

Answer 93

Any chemical compound, mixture, or device that functions by explosion to release instantaneous gas or heat.

Question 94

What are the five qualities of and effective investigation?

Answer 94

The investigations must be objective, through, relevant, accurate, and current.

Question 95

What are the three “I’s” of an investigator?

Answer 95

Information, interrogation, and instrumentation

Question 96

What is an Investigation?

Answer 96

A systematic & thorough examination or inquiry into something or someone (the collection of facts & information) and the recording of that examination in a report)

Question 97

What is a fact-finding process, ideally separated from the decision-making process?

Answer 97

Workplace Investigation

Question 98

Facts of an effective workplace investigation

Answer 98

1. Must be fair & impartial
2. Must be factual & objective
3. Must be thorough
4. Must be well documented
5. Must protect the rights of suspected violators & witnesses
6. Must not violate the law, company policy, labor agreements, or anyone’s right to privacy
7. Must be confidential - evidence findings, notes, reports & conclusions should only be shared with those who need to know
8. Should always involve upper-management & HR

Question 99

Primary Purposes of any Investigation

Answer 99

1. Documenting incidents
2. Identifying the cause of undesirable situations
3. Documenting & correlating facts
4. Identifying suspects
5. Compiling information to prove/disprove allegations or implicate/exonerate suspects
6. To make a decision about suitability

Question 100

What is a lack of solid, ethical standards that can seriously damage the effectiveness of an investigative unit & can leave the organization open to civil or criminal liability?

Answer 100

Ethics

Question 101

Two Key Decisions for Outsourcing and Investigation

Answer 101

1. Size of the preferred vendor
2. Whether services will be bundled

Question 102

5 Attributes of an effective & reliable investigation

Answer 102

1. Objectivity
2. Thoroughness
3. Relevance
4. Accuracy
5. Timeliness

Question 103

5 Principle resources of an investigation unit

Answer 103

1. People
2. Information
3. Credibility
4. Physical assets
5. Financial assets

Question 104

4 Phases of the investigative life cycle

Answer 104

1. Initiation of the investigation & its source
2. The investigation itself
3. Reporting
4. use of the information (includes adjudication)

Question 105

3 Tools of an investigator (“the 3 I’s”)

Answer 105

1. Information
2. Instrumentation
3. Interrogation (principal tool)

Question 106

3 Definition or foundation documents for the unit

Answer 106

1. Functional charter (usually produced in the suite)
2. Policy statement
3. Objectives

Question 107

When should an employer determine whether the employee conduct is a legitimate subject of discipline & inquiry under state & federal laws?

Answer 107

Prior to conducting an investigation

Question 108

Principle characteristics of internal theft

Answer 108

1. diversion
2. conversion
3. disguise
4. divergence

Question 109

Incident investigations may also be referred to as…

Answer 109

Complaint Investigations (which is the most common type of investigation in many organizations

Question 110

An Incident Reporting System does 2 things that could not otherwise be done

Answer 110

1. Provides a history of events occurring to the organization
2. Provides a basis for professional efforts at asset recapture, recovery or incident reduction or termination

Question 111

4 Categories of Security Data Analysis

Answer 111

1. Claims avoided
2. Proofs of loss
3. Recovery of physical assets
4. Uninsured claims or causes of action

Question 112

The purpose of an Incident Report is to…

Answer 112

Provide data on which to base security decisions

Question 113

Benefits of an Incident Reporting System

Answer 113

1. Identifies the item targeted for theft
2. Determines which counter-measures were effective
3. Classifies events that are high-probability / low-criticality to low-probability / high-criticality
4. Provide an overview of where security personnel are spending their time
5. Plot event trends
6. Facilitate protection or recovery of assets and apprehension of thieves

Question 114

3 Steps to recommended reporting progression

Answer 114

1. All employees must notify their immediate supervisor of any incidents or known or suspected asset losses
2. First-line supervisors should be responsible for completing reports of losses within their areas of responsibility
3. The Security Manager is responsible for reviewing the report

Question 115

3 Types of Incident Database Reports

Answer 115

1. General management distribution reports
2. Corrective action reports
3. Loss status report

Question 116

Predictive Modeling

Answer 116

By tracking & analyzing incidents, the security manager can determine countermeasures that may prevent future losses

Question 117

What is a common mistake of inexperienced investigators

Answer 117

Failing to corroborate evidence

Question 118

3 Forms of evidence

Answer 118

1. Oral
2. Documentary
3. Physical

Question 119

Spoken statement regarding person’s knowledge which may be direct or indirect & gained in any manner

Answer 119

Oral Evidence

Question 120

Information usually in the form of documents or writing impressions

Answer 120

Documentary Evidence

Question 121

Evidence that is tangible

Answer 121

Physical

Question 122

Evidence that is first-hand knowledge

Answer 122

Direct Evidence

Question 123

Evidence that is highly informed inference (aka: circumstance evidence or hearsay evidence)

Answer 123

Indirect Evidence

Question 124

The rule that applies most often in determining the importance of evidence & its ability to prove a point

Answer 124

Materiality

Question 125

In the majority of inquiries who the most available and valuable sources of information?

Answer 125

The persons involved

Question 126

What evidence in its natural state, cannot be seen what is contained in the physical object that holds our evidence; equipment & software are required to make the evidence visible (i.e. fingerprints, electronic evidence)?

Answer 126

Latent Evidence

Question 127

Categories of Physical Evidence

Answer 127

1. Corpus Delicti
2. Associative
3. Identifying

Question 128

Evidence that proves a crime has been committed

Answer 128

Corpus Delicti

Question 129

Circumstantial evidence; links a suspect with the scene of the crime

Answer 129

Associative

Question 130

Associative evidence that establishes the identity of suspect & found at the scene

Answer 130

Identifying

Question 131

When does success in the use of evidence increase?

Answer 131

When an incident scene search is planned, coordinated, and executed by knowledgeable security employees

* A search may be either a cautious search of visible areas (avoiding evidence loss or contamination or a vigorous search of concealed areas)

Question 132

2 Main tasks that the on-site team should perform

Answer 132

1. Secure & protect the scene
2. Take control of the scene immediately

Question 133

In evidence searches what do you focus on first?

Answer 133

Evidence that could be lost

Question 134

What OSHA standard says to utilize universal precautions that require all blood, body fluids or other potentially infectious materials to be treated as if infected with blood-borne diseases?

Answer 134

Blood-born pathogens standard

Question 135

What are 3 things all explosive materials sensitive to?

Answer 135

heat, shock, friction

Question 136

What can result from direct or indirect exposure to laser beams

Answer 136

Irreversible eye damage

* Prolonged exposure to the skin should also be avoided

Question 137

What present hazards including toxic gases, explosive or oxygen-deficient atmospheres electrical dangers, or materials that can engulf personnel entering the space

Answer 137

Confined Spaces

Question 138

PPE - what provides protection from acids, alkaline solutions, hydraulic fluid, photographic solutions, fuels, lubricants, aromatics, petroleum and chlorinated solvents.?

Answer 138

Nitrile

Question 139

What offers resistance to oil, grease, acids, solvents, alkalies, bases & most refrigerants?

Answer 139

Neoprene

Question 140

What is resistant to alkalies, oils & limited concentrations of nitric & chromic acids?

Answer 140

Polyvinyl Chloride (PVC)

Question 141

What resists mild acids, caustic detergents, germicides & electronic solutions

Answer 141

Latex (natural rubber)

Question 142

What material swells & degrades if exposed to gasoline or kerosene?

Answer 142

Latex

Question 143

What is a running description of the incident scene?

Answer 143

The Narrative

Question 144

What type of approach should be used in the narrative

Answer 144

Systematic

Question 145

What should be used to supplement, not substitute, for the narrative?

Answer 145

Photographs & Sketches

Question 146

What can be caused by an incorrect point of view, improper perspective & deceptive tones like shadows?

Answer 146

Distortion

Question 147

What parts of the incident scene should be photographed first

Answer 147

The most fragile areas

Question 148

In what positions (twice - first) should the important pieces of the evidence be photographed?

Answer 148

A medium distance view that shows the evidence & its position to other evidence A close view that includes a scale and fills the frame

Question 149

Before releasing the incident scene ensure that the evidence is:

Answer 149

1. Collected according to legal requirements
2. Documented
3. Marked for identification

Question 150

Who is the only person to release the scene?

Answer 150

The person in charge

Question 151

What is the most critical point of the incident scene investigation and is the time when errors occur?

Answer 151

Collection of physical evidence

Question 152

What is the most common type of physical evidence?

Answer 152

Fingerprints

Question 153

How many people should observe the evidence in place during recovery & being marked

Answer 153

Two

Question 154

Where to mark evidence

Answer 154

Directly on the evidence when necessary

* The best way to certify a piece of evidence is with investigators initials

Question 155

What establishes the actual chain of custody

Answer 155

Proper marking of evidence at the time of seizure & transfer

Question 156

Adhesives - If possible submit the item to which the adhesive, caulk or sealant has adhered

Answer 156

If not possible remove a sample of the material with a clean sharp instrument & transfer it to a resealable plastic bag or leak-proof container, such as a film canister or plastic pill bottle

Question 157

Steps for proper anthropology

Answer 157

1. Clean & air-dry bones if possible
2. Pack in paper bags & wrap in protective material, such as bubble wrap or paper
3. If the tissue is present in the skeletal material, refrigerate until mailing & then ship in a foam cooler
4. Collect insect samples found on the remains in leak-proof containers such as film canisters or plastic pill bottle
5. Call the laboratory for additional instructions or contact an entomologist

Question 158

Handling Blood Evidence

Answer 158

1. Collect at least two 5ml tubes of blood in purple-top tubes, w/ EDTA as an anticoagulant for DNA analysis
2. Collect samples for drug-or-alcohol testing in gray-top tubes
3. Refrigerate (do not freeze) blood samples - use cold packs, not dry ice, during shipping

Question 159

How to dry bloodstained garments

Answer 159

Air-dry

Question 160

Bloodstains

Answer 160

1. Do not place wet or dried garments in plastic or airtight containers
2. Pack in a clean paper - do not use plastic containers
3. Air-dry the cloth or swab & pack in clean paper or an envelope with sealed corners - do not use plastic containers

Question 161

Oral Swabs (Buccal)

Answer 161

Air-dry the swabs & place in a clean paper or an envelope with sealed corners - do no use plastic containers

Question 162

Building Materials

Answer 162

1. Package each item of evidence in a separate paper bag - do not process tools for latent prints
2. Submit known a questioned debris in leak-proof containers such as film canisters or plastic pill bottles - do not use paper or glass containers

Question 163

Chemicals

Answer 163

1. Collect an unstained control sample, package separately, & submit it with the stained evidence
2. When cutting is not possible, transfer questioned stains by rubbing with a clean cotton swab
3. Air-dry the swab & pack in a heat - sealed or resealable plastic bag Submit an unstained swab as a control

Question 164

Computers

Answer 164

1. Use a sturdy cardboard container when shipping computer components; if possible, use the original packing case with the fitted padding
2. Use large, plastic bubble wrap or foam rubber pads as packing
3. Do not use loose foam pieces because they lodge inside computers & components & create static charges that can cause data loss or damage to circuit boards
4. Pack & ship central processing units in the upright position: label the outside container “this end up”

Question 165

Controlled Substances

Answer 165

Submit evidence in separate, heat-sealed or resealed plastic bags

Question 166

Lubricants

Answer 166

1. Air-dry the evidence & package separately in paper bags
2. Air-dry the swab & pack it in a heat-sealed or resealable plastic bag
3. Package lubricants separately in leak-proof containers

Question 167

Two sources of DNA are used in the Forensic analysis

Answer 167

1. Nuclear DNA (nDNA) is typically analyzed in evidence containing blood, semen, saliva, body tissue and hairs with tissue at the roots
2. Mitochondrial DNA (mtDNA) is typically analyzed in evidence containing naturally shed hairs, hair fragments, bones & teeth

Question 168

Dyes

Answer 168

Do not submit largely stained evidence (e.g. car seats) when possible, cut a small sample of the stained area & submit in a heat-sealed or resealable plastic bag

Question 169

Feathers

Answer 169

Submit feathers in heat-sealed or resealable plastic bags or paper bags

Question 170

Fibers

Answer 170

Submit fibers in clean paper or an envelope with sealed corners

Question 171

Glass

Answer 171

1. Submit samples of glass from each broken window or source in leak-proof containers such as film canisters or plastic pill bottle (do not use paper or glass containers)
2. Submit particles in leak-proof containers such as film canisters or plastic pill bottles - do not use paper or glass containers
3. Submit vacuum sweepings in leak-proof containers - do no use paper or glass containers

Question 172

Glass - Fractures

Answer 172

1. Pack all glass separately & securely to avoid shifting & breaking during shipping
2. Secure the glass between some plywood or sturdy cardboard - do not place any objects into the impact area

Question 173

Guns & Gun Parts

Answer 173

1. Firearms must be minimally handled to avoid loss or destruction of evidence
2. Objects must not be allowed to enter or contact the firearms barrel, chamber, or other operating surfaces
3. Use fingers to pick up a handgun by its knurl grips - Never stick anything down the barrel of the weapon
4. Do not mark the item - firearm pieces must be identified with a tag containing the caliber, make, model and serial number

Question 174

Hair

Answer 174

1. Collect at least 25 known hairs from different parts of the head or pubic regions - comb & pull out the hairs
2. Submit hairs in clean paper or an envelope with sealed corners
3. Packages each group of hair separately in clean paper or an envelope with sealed corners - do not use plastic containers
4. Refrigerate & submit as soon as possible to the selected laboratory

Question 175

Images

Answer 175

1. Never use the pause operation when viewing original videotapes
2. Process all film including bank surveillance film, prior to submitting
3. Do not mark or cut items submitted for comparisons where they are visible in the questioned images
4. Submit items such as clothing & firearms for other examinations before submitting them for image comparison

Question 176

Ink

Answer 176

Pack ink evidence separately from any document or surface with ink marks

Question 177

Latent Fingerprints

Answer 177

The laboratory is the best place to develop latent prints However, it is sometimes necessary to develop latent prints at incident scenes

Question 178

Paint

Answer 178

1. Collect control paint chips - controls must be taken from an area close to but not in any damaged area
2. Package paint specimens in leak-proof containers, such as vials or pillboxes
3. Do not stick paint particles on adhesive tape
4. Do not use plastic bags, cotton or envelopes to package paint specimens

Question 179

Pepper Spray or Foam

Answer 179

1. Air-dry the evidence & package separately in paper bags
2. Moisten a clean cotton cloth or swab with isopropanol (rubbing alcohol) & wipe over the sprays or foams
3. Prepare a second, moistened cloth or swab as a control
4. Air-dry the cloths or swabs & pack separately in heat-sealed or resealable plastic bags
5. Submit spray canisters when possible

Question 180

Polymers

Answer 180

1. Submit fragments in leak-proof containers, such as film canisters or plastic pill bottles - do not use cotton or paper containers
2. Remove damaged motor-vehicle parts & package separately in resealable plastic bags or boxes
3. If possible submit entire items with potential or smeared polymeric transfers
4. Package separately in paper bags - pack to prevent stain removal by abrasive action during shipping
5. Pack in clean paper - do not use plastic containers

Question 181

Product Tampering

Answer 181

1. Package & ship samples separately to avoid contamination
2. submit samples in leak-proof containers, such as film canisters or plastic pill bottles - do not use paper or glass

Question 182

Ropes & Cords

Answer 182

1. Submit the entire rope or cord, if the rope or cord must be cut, specify which end was cut during evidence collection
2. Submit in heat-sealed or resealable plastic or paper bags

Question 183

Saliva & Urine

Answer 183

1. Pack in clean paper or an envelope with sealed corners
2. When possible, cut a large sample of saliva or urine stains from immovable objects with a clean sharp instrument
3. Pick up cigarette butts with gloved hands or clean forceps - do not submit ashes Air-dry & place the cigarette butts from the same location in clean paper or an envelope with sealed corners
4. Pick up chewing gum with gloved hands or clean forceps, air-dry and place in clean paper or envelope with sealed corners

Question 184

Semen & Semen Stains

Answer 184

1. Submit small, dry semen-stained objects to the selected laboratory
2. Absorb dried semen stains on immovable objects onto a clean cotton cloth or swab moistened with distilled water
3. Air-dry the swab or cloth & place in clean paper or an envelope with sealed corners
4. These samples should not be packed in plastic containers

Question 185

Photographing Shoeprint & Tire Tread Impressions

Answer 185

General incident scene photographs must be taken to relate the impressions to the incident scene

Question 186

Shoeprint & Tire-tread Impressions

Answer 186

1. Allow the cast to air-dry for at least 48 hrs
2. Package the cast in paper, not plastic
3. Air-dry & package evidence separately in bubble wrap, clean/smooth paper, laminated folders or paper bags

Question 187

Soil

Answer 187

1. Air-dry the soil & the clothing & package separately in paper bags
2. Air-dry the soil & package separately in paper bags
3. Submit known & questioned soil in leak-proof containers - do not use paper envelopes or glass containers

Question 188

Tape

Answer 188

1. Whenever possible submit tape still adhered to the substrate minimizing the loss of trace evidence, latent fingerprints or contact impressions
2. Do not distort or tear the tape during removal
3. If the tape is cut during removal document and initial each cut

Question 189

Tissues Bones Teeth

Answer 189

1. Place tissues samples in a clean, airtight plastic container without formalin or formaldehyde
2. Place teeth & bone samples in clean paper or an envelope with sealed corners
3. Freeze the evidence place in foam containers, and ship overnight on dry ice

Question 190

Tool Marks

Answer 190

1. Submit samples in leak-proof containers, such as film canisters or plastic pill bottles
2. To avoid contamination, do not place the tool against the foot-marked evidence
3. Submit the tool rather than making test cuts or impressions

Question 191

Toxicology

Answer 191

1. Because of a large number of potentially toxic substances, it may be necessary to screen for classes of poisons, such as:

• Volatile compounds (ethanol, methanol, isopropanol)
• Heavy metal (arsenic)
• Non-volatile organic compounds (drugs of abuse, pharmaceuticals)
• Miscellaneous substances (strychnine, cyanide)

Question 192

Toxicology

Answer 192

2. The quantity of biological specimens submitted depends on

• Whether identity of a toxic substance is known The route of administration
• Time after exposure that biological specimens are collected
• Whether the persons involved are living or dead

Question 193

Toxicology

Answer 193

3. Place each biological specimen in a separate, labeled, sealed glass tube, plastic cup, or heat-sealed or resealable plastic bag
4. Biological specimens must be refrigerated or frozen during shipping

Question 194

Chain of Custody

Answer 194

The uninterrupted control of evidence, critical to the admission of evidence in court

Question 195

Written Evidence

Answer 195

Traits such as age, sex, personality, and intent cannot be determined by handwriting

Question 196

Written Evidence - Types of False Signatures

Answer 196

1. Traced signatures are prepared by using a genuine signature as a template or pattern
2. Simulated signatures are prepared by copying or drawing a genuine signature
3. Freehand signatures as written in the forger’s normal handwriting with no attempt to copy another person’s writing style

Question 197

Documentary Evidence

Answer 197

Burned or charred paper with information on it can sometimes be deciphered - it must be minimally handled and shipped in the container in which it was burned in polyester film encapsulation or between layers of cotton in a rigid container

Question 198

Res Gestae

Answer 198

1. Things done is an exception to the rule against hearsay evidence based on the belief that because certain statements made naturally, spontaneously, and without deliberation during the course of an event, they leave little room for misunderstanding or misinterpretation by another person

Question 199

Res Gestae

Answer 199

The courts believe such statements carry a high degree of credibility

Question 200

Types of evidence that can be admitted as res gestate fall into three categories

Answer 200

1. Words or phrases that form part of, or explain, a physical act
2. Exclamations that are so spontaneous as to belie concoction
3. Statements that are evidence as to someone’s state of mind

Question 201

The Daubert decision (1993) and Federal Rules of Evidence (Rule 702) identify five considerations

Answer 201

1. Whether the technique or theory can be or has been tested
2. Whether the technique or theory has been subject to peer review and publication
3. The known or potential rate of error of the technique or theory
4. The existence and maintenance of standards and controls
5. The degree to which the technique or theory has been generally accepted within the scientific community

Question 202

Public vs. Private Sector Investigations Scope

Answer 202

Corporate investigations tend to be broader in scope than those initiated by public law enforcement

Question 203

Private sector security value is frequently measured in

Answer 203

1. Recovery
2. Restitution
3. Risk reduction

Question 204

Burdens of Proof

Answer 204

1. Public sector (criminal court): Proof beyond a reasonable doubt
2. Private sector (civil court): Preponderance of the evidence

Question 205

Differences in multi-national and international investigations fall into one or more of three categories

Answer 205

1. Laws
2. Liaison
3. Approach

Question 206

Differences in multi-national and international investigations fall into one or more of three categories

Answer 206

1. Laws
2. Liaison
3. Approach

Question 207

What originated in the securities industry (Securities Act of 1933)

Answer 207

Due Diligence

Question 208

Due diligence

Answer 208

Always based on the “reasonably prudent person” rule

Question 209

Due diligence

Answer 209

Diligence emphasizes the positive aspect of due care, while negligence describes the failure to exercise due care

Question 210

What is the most important reasons for conducting due investigations

Answer 210

To protect assets

Question 211

What should be reviewed when performing due diligence investigations on businesses?

Answer 211

Capital expenditures should be reviewed for the last five years

Question 212

What is a common error in a due diligence investigation?

Answer 212

Relying on information from the target of the investigation

Question 213

What is the first step in due diligence investigations

Answer 213

To examine the issue at hand - the deal, the person, the investment, etc. - and understand what factors to focus on to answer the problem

Question 214

Due diligence investigative resources - Primary Sources

Answer 214

1. interviews with individuals
2. Direct observations of people, places or events

Question 215

Due diligence investigative resources - Secondary Sources

Answer 215

1. Government-maintained public records
2. Commercial record sources
3. Annual reports and other company records
4. News and other media sources

Question 216

Daubert vs. Merrell Dow Pharmaceuticals, Inc

Answer 216

requires judges to determine whether expert scientific testimony is based on sound science before allowing it into evidence

Question 217

General Electric Co. vs. Joiner

Answer 217

Found that trial judges can specify the kind of scientific testimony that juries can hear

Question 218

Kumho Tire vs. Carmichael Co

Answer 218

Expanded the scope of Daubert, requiring that any expert, scientific or otherwise, be scrutinized before testifying

Question 219

Kumho Tire vs. Carmichael Co

Answer 219

Expanded the scope of Daubert, requiring that any expert, scientific or otherwise, be scrutinized before testifying

Question 220

OSHA Investigation

Answer 220

OSHA expanded its general duty clause in 1993 to include a duty to protect employees from workplace violence when it fined Charter Barclay, psychiatric care facility, $12,000 for failing to protect its employees from assaults perpetrated by its patients

Question 221

General Duty Clause

Answer 221

This part of the Act requires employers to provide employees with a working environment free from recognized hazards

Question 222

Special Duty Clause

Answer 222

This part of the Act requires employers to comply with standards listed in the Act itself or published by the secretary of labor

Question 223

State Standards

Answer 223

A state-adopted standard separate from the OSHA special duty standards under the Occupational Safety and Health State Plan Association (OSHPA) program - state standards, policies and procedures at least as effective as those of OSHA

Question 224

Types of OSHA violations

Answer 224

1. Imminent dangers
2. Serious violation
3. Non-serious violation
4. De minimis conditions
5. Repeated violation/failure to correct

Question 225

OSHA normally schedules compliance inspections according to the following priorities

Answer 225

1. In response to fatalities or the hospitalization of two or more employees from the same incident
2. In response to employee complaints
3. In selected high-hazard “target industries”
4. Based on a random selection of industries that have not been previously inspected

Question 226

What can cost much more than penalties?

Answer 226

Purchase of new equipment Plant remodeling Lost production time

Question 227

What can cost much more than penalties?

Answer 227

Purchase of new equipment Plant remodeling Lost production time

Question 228

OSHA officers may be looking for compliance with two types of standards

Answer 228

vertical standards: which apply to a particular industry or particular operations, practices, conditions, processes means, methods, equipment or installations Horizontal standards: which are more general standards applicable to multiple industries

Question 229

Fines for OSHA violations

Answer 229

Serious violation: Up to $7k Non-serious violation: Up to $7k Repeated or willful violations: Up to $70k; minimum penalty for a willful violation is $5k Willful violation that resulted in the death of an employee is punishable by up to $10k in fines and a six-month jail sentence Violations of posting requirements are fined up to $7k each

Question 230

OSHA provides criminal sanctions in 3 situations

Answer 230

1. When an employer’s willful violation of a standard, rule, order, or regulation causes the death of an employee
2. When an individual makes a false representation regarding compliance with the Act
3. When a person gives advance notice of an inspection

Question 231

In determining whether an employment relationship exists, the OSHRC uses the “economic realities test” to

Answer 231

1. Determine who workers consider being their employer
2. Who pays workers
3. Who has a responsibility to control workers
4. Whether the cited employer has control over workers
5. Whether the cited employer had the power to hire or fire workers

Question 232

Multiple-employer doctrine

Answer 232

Is interpreted to hold that general contractors may be held in violation of safety regulations even if they had no employees at the job site, as a general contractor normally has the responsibility and the means to ensure that other contractors fulfill their obligations for employee safety

Question 233

Common defenses against OSHA-imposed criminal citations

Answer 233

1. An isolated occurrence or employee misconduct
2. Greater hazard
3. Infeasibility or impossibility of compliance

Question 234

Two types of injury and illness records must be maintained at each establishment

Answer 234

1. The log and summary of Occupational injuries and illnesses (OSHA forms 300 and 300A)
2. The Supplementary Record of Occupational Injuries and Illnesses (OSHA form 101) or equivalent

Question 235

Occupational injuries and illnesses that must be recorded are those that result in

Answer 235

1. Fatalities, regardless of the time between the injury and death, or the length of the illness
2. Lost workday cases, other than fatalities
3. Nonfatal cases without lost workdays that result in any of the following

Question 236

Typically results from a work accident or simple incident

Answer 236

Injury

Question 237

Typically arises from hours, days, or longer exposure to a substance, heat, noise, or other insults to the body, cumulative in its effect, and which may not have been noticed at the outset. It is an abnormal condition or disorder, other than an injury, caused by exposure to environmental factors connected with employment

Answer 237

Illness

Question 238

Four-phase program conducted by the security force

Answer 238

Phase 1) Zone the plant and identify critical safety points; use self-inspection checklists the officer can complete

Phase 2) Train security officers in specific OSHA requirements applicable to different inspection zones

Phase 3) Design safety inspection forms to be used by security officers to conduct safety

Phase 4) Review any identified issues or safety discrepancies, and determine the actions to correct them

Question 239

A “national consensus standard” is any of the following, as defined by OSHA

Answer 239

1. Any occupational safety/health standard or modification by a national-recognized standards-producing organization
2. Standards developed after conflicting or differing views had been considered
3. A practice designated as a national consensus standard by the Secretary of Labor after consultation with other federal agencies

Question 240

An interactive form of investigation

Answer 240

Undercover Investigation

Question 241

Main potential problem in an undercover investigation

Answer 241

the possibility that the investigation will be exposed or compromised

Question 242

Most common types of undercover investigations

Answer 242

Drug investigations Theft investigations

Question 243

Five phases of undercover operations

Answer 243

1. Planning and preparation
2. Information gathering
3. Verification and analysis
4. Disciplinary and corrective action
5. Prevention and education

Question 244

Information gathering phase includes two types of assets

Answer 244

People in the project management team Processes for communications reporting, filing

Question 245

Five distinct and interrelated individuals included in the investigative team

Answer 245

1. undercover investigator
2. Project manager
3. Client representative
4. A corporate attorney
5. A law enforcement representative if necessary

Question 246

One of the most popular formats for investigative reports is

Answer 246

Structured Narrative

Question 247

Maintains and archives the closed case file

Answer 247

Custodian of Record

Question 248

Why should I involve legal counsel?

Answer 248

is to protect the investigator’s work product from discovery

Question 249

Two methods of placement for the undercover investigator in the desired position

Answer 249

1. Cold hire
2. Controlled hire

Question 250

Cold hire

Answer 250

The investigator applies for and is hired for a position just like any other applicant (preferred but not always practical)

Question 251

Controlled hire

Answer 251

The employment process is covertly manipulated to ensure the investigator is hired and placed correctly

Question 252

What is the first step of the undercover investigator once engaged?

Answer 252

Relationship building

Question 253

To make (or break) the investigation the undercover investigator must be able to

Answer 253

1. Think
2. Plan
3. Execute

Question 254

Employees who are involved in breaking the law in one way will often find it easy to join the operative in trying to break the law in other ways

Answer 254

Cognitive Consistency

Question 255

Workplace crime is a function of three fundamental elements

Answer 255

1. Quality of people hired
2. The environment
3. The quality of supervision

Question 256

Interviews often begin with those most involved and work toward those less involved because

Answer 256

1. perpetrator(s) has already been identified
2. Interviews of others before the interrogation of the suspect may tip him off

Question 257

The timing of the removal of the operative is one of the most frequently debated subjects- Operative is one of the most frequently debated subjects

Answer 257

Operative should be kept it is as long as possible

Question 258

Who should the communications regarding the findings of an undercover investigation be delivered to?

Answer 258

The workforce only after all corrective actions have taken place

Question 259

Employee prosecution rarely provides any real return on the company’s investment

Answer 259

Disciplinary action is a preferred recourse, since prosecution from a business perspective, only further erodes the corporate bottom line & has been shown to have little deterrent value

Question 260

An activity, capability or resource that enhances the effectiveness or sufficiency of the investigative function

Answer 260

Force Multiplier

Question 261

3 Important force multipliers in investigations

Answer 261

1. Liaison
2. Online information sources
3. Intelligence information

Question 262

Liaison

Answer 262

1. Primarily a proactive medium
2. Joint Task Forces (JTF’s) represent a highly-structured form of liaison

Question 263

Sources - Types of Evidence

Answer 263

Interviewees or witnesses

Subject-matter experts

Physical evidence

Electronic evidence

Public records

Surveillance results

Open sources

Question 264

In the corporate environment, most credible information on losses, sexual harassment and other reportable incidents comes from employee tips

Answer 264

Sources

Question 265

Which are among the least accurate forms of investigative information?

Answer 265

Eyewitness Accounts

Question 266

Information obtained in undercover operations come from three sources?

Answer 266

1. The operative
2. Employee (subject( interviews
3. Witness interviews

Question 267

2 Types of witnesses

Answer 267

Fact witness

Opinion witness

Question 268

Investigative objectives tend to be _____ to the short-term expectations of the project?

Answer 268

Tactical

Specific

Question 269

Relative to the timeliness of an investigation it is important to

Answer 269

1. Open an investigation as soon as possible
2. Complete an investigation as quickly as possible
3. Avoid closing an investigation prematurely

Question 270

The most important reasons for beginning an investigation as quickly as possible following the report of an incident or allegation are:

Answer 270

1. The value of physical or electronic evidence diminishes rapidly
2. Witnesses provide the best information when the incident is fresh in their memory

Question 271

Formal documentation is among the first things to be neglected when caseloads increase

Answer 271

Management Responsibilities

Question 272

Management should consider the purpose of the investigation at the:

Answer 272

1. Case Level: sets the context within which the investigation will be conducted & helps keep focused
2. Strategic level: Dictates the necessary planning, organizing equipping staffing & preparation

Question 273

What is the main objective of Investigator Responsibilities?

Answer 273

For any preliminary investigation is to determine what crime or violation exists

Question 274

Objective

Answer 274

Obtain information & evidence to be presented in a factual, final report to senior management can take appropriate action

Question 275

Legal matters in investigations must be considered for two reasons:

Answer 275

1. Protect the company against liability
2. Ensure an appropriate conclusion if the case goes to court or another legal forum

Question 276

The objective of the Report

Answer 276

Enable the reader to readily understand what the investigator did, why, & what resulted

Question 277

5 basic steps of report writing

Answer 277

1. Gather facts
2. Record the facts immediately
3. Organize the facts
4. Write the report
5. Evaluate & edit the report if necessary

Question 278

Types of Investigative Reports

Answer 278

1. Initial report (soon after the case is opened)
2. Progress report (normally every 30 days)
3. Special report (focused on unusual action may be supplemental to the progress report
4. Final report (most important)

Question 279

Who is the primary collector of relevant evidence

Answer 279

The Investigator

Question 280

What is critical to the credibility of the investigator

Answer 280

Preparing for a court appearance or deposition

Question 281

Surveillance can be broken down into three broad categories

Answer 281

1. Physical (i.e. human observation or tracking)
2. Psychological (i.e. behavioral analysis)
3. Data (e.g. technical or electronic)

Question 282

The interview is a process of gathering information

Answer 282

1. “information interview” (non-accusatory) (Deming) or “general interview” (POA)
2. “Administrative interview” (simple, unstructured, all interviews other than the subject) (Ferrara)
3. Investigative & behavior - provoking questions to develop information
4. When the interviewees become a subject target or the accused person in the interview it becomes on interrogation

Question 283

An interrogation is the questioning of an accused or suspect person

Answer 283

1. “Confrontational interview” (accusatory, highly-structured) (Deming & POA)
2. “Investigatory interview” (complex, structured process focused on the subject (Ferrara)
3. A monologue by investigator offering psychological justification) for the wrongful behavior

Question 284

Hostages form an emotional bond with their captors

Answer 284

Stockholm Syndrome

Question 285

A persistently-held belief in another person such that the belief becomes reality

Answer 285

Pygmalion Effect

Question 286

Experienced interviewers frequently finish introducing other persons present by inviting them to spend a few minutes with the interviewee

Answer 286

Yes Conditioning

Question 287

“Floating Point” Strategy

Answer 287

1. Continuously re-evaluating a hypothesis as information is obtained allows an investigation to adjust questions accordingly
2. Inexperienced investigators often neglect the skill of listening when interviewing suspects
3. Active listening includes attentiveness, concentration acceptance, detachment and patience
4. Interviewers must be able to assess facts previously established in the light of information provided by the interviewee

Question 288

What is the most prized talent of an investigator?

Answer 288

The ability to obtain information through questioning

Question 289

Skilled interviewers must be:

Answer 289

Patient

Persistent

Prepared

Question 290

What is the most important factor of a successful interview?

Answer 290

The ability of the interviewer to establish a favorable rapport with the interviewee

Question 291

What sets the tone of the interview?

Answer 291

Demeanor

A negative attitude translates into negative results

Question 292

The value of each interview or interrogation is based on…

Answer 292

The investigator’s knowledge, skills in eliciting information, and ability to evaluate the veracity of the information obtained

Question 293

Investigations that include searches must comply with what?

Answer 293

The Fourth Amendment to the US Constitution

Question 294

An admission obtained by a private citizen who conducts an interrogation in violation of due process but otherwise follows constitutionally prescribed conduct may be admissible

Question 295

The court recognized union employees’ rights to representation at investigatory interviews that the employee reasonably believes might result in discipline

Answer 295

The Weingarten Rule

Question 296

In 2000, the NLRB expanded Weingarten & held that the right to representation at investigatory interviews applies equally to union & nonunion employees

but then…

Answer 296

In 2004, the NLRB ruled that non-unionized employees are not entitled under Sect. 7 of the NLRA to have a coworker accompany them to an interview with their employer, even if the employee reasonably believes that the interview might result in discipline

Question 297

Interview Planning & Preparation

Answer 297

The most critical preparatory action before an interview is to become thoroughly familiar with the case information

Question 298

Key factors in Interview Planning

Answer 298

Location

Time factors

Questioning order

Questions to ask

Persons present

Question 299

The choice of interview site depends on

Answer 299

1. Nature & phase of the investigation
2. The apparent involvement of the interviewee
3. The issue of interviewee confidentiality
4. The desired level of formality

Question 300

Where should uncooperative witnesses be interviewed?

Answer 300

In the security office or interview room

Question 301

Interview Environment

Answer 301

1. The subject should face the interviewer an witness should be seated to the side
2. The interview should not be conducted at a desk or table
3. The distance between the subject and the investigator should be about five feet
4. The subject should always have a clear path to the room’s exit
5. Interview only one subject at a time
6. Interviews should be conducted quickly after an event, to capture fresh recollections

Question 302

Priority of Interviews (in order)

Answer 302

1. Persons not likely to be available later
2. Persons believed to have the most pertinent information
3. Persons likely to be hostile
4. The offender or offending group

Question 303

Documenting the Interview

Answer 303

Prepared notes are acceptable if the interviewer does not refer to them regularly during the interview

Question 304

In interviews, the two types of questions generally asked are open & closed

Answer 304

1. To put an interviewee at ease, the beginning of the interview should contain “closed” questions
2. In the primary’s phase of an interview a narrative type of questioning should occur (“open”

Question 305

What kind of question allow for an unlimited response from the witness in his or her own words, thereby generating a greater amount of unsolicited information

Answer 305

Open-ended

Question 306

The interviewer should avoid making any promise or guarantee explicit or implied that:

Answer 306

1. Is illegal
2. Cannot be confirmed by the client or senior management
3. Cannot be fulfilled

Question 307

What may invalidate confessions or statements and may call for civil or criminal action

Answer 307

Coercion

Duress

Psychological constraint

Verbal abuse

Threats

Intimidation

Question 308

What must be understood by the interviewee?

Answer 308

That they are free to leave the interview location

Question 309

Most cases are solved with information developed during interviews and the subsequent efforts to corroborate or disprove interview findings

Question 310

Four formats of a written confession

Answer 310

1. A statement was written by the suspect
2. A statement authored by the interrogator but read & signed by the suspect
3. The statement took down by a secretary or stenographer & transcribed into a typed document for the suspect to read and sign
4. Recorded statement (studio video) by the suspect

Question 311

What must be done for a written statement or confession to be credible & admissible in US Court?

Answer 311

It must be given voluntarily be trustworthy. and include the following essential information

Question 312

What is the best closing strategy for an interview?

Answer 312

Asking if there is anything to add & if he or she be called again

Question 313

Reid Technique - 4 objectives of the interview

Answer 313

1. Obtain valuable facts
2. Eliminate the innocent
3. Identify the guilty
4. Obtain a confession

Question 314

Verbal responses include both spoken words & gestures that serve as word substitutes other verbal cues are

Answer 314

Tone

Pitch

Speed

Clarity

Question 315

Non-verbal Responses Include

Answer 315

Body movements

Position changes

Gestures

Facial expressions

Eye contact

Question 316

What is responsible for more than half of the information & meaning of a message communicated ina conversation

Answer 316

Non-verbal Behavior

Question 317

The Truthful Person

Answer 317

1. Makes general sweeping denials
2. Offers unqualified, direct, & spontaneous answers
3. Exhibits a reasonable memory
4. Responds to questions in a rational manner & a clear tone of voice

Question 318

Deceptive Person

Answer 318

1. Offers very specific denials
2. Avoids realistic words
3. Makes seemingly irrelevant comments
4. Gives delayed, evasive, or vague answers
5. Exhibits an unusually poor, selective, or remarkable memory
6. Qualifies answers or uses religion or oaths to support statements
7. Speaks in an irrational fragmented mumbled or subdued manner

Question 319

A Truthful Person

Answer 319

1. Sits upright but not rigid
2. Positions himself or herself in front of the questioner
3. Leans towards the questioner when making a point
4. Appears relaxed & casual

Question 320

A Deceptive Person

Answer 320

1. Slouches or leans back in the chair
2. Sits unnaturally stiffy
3. Sits off to the side, not directly in front of the questioner
4. Pulls elbows close to side arms folded & locked in front with legs crossed
5. Exhibits rapid & erratic posture changes

Question 321

Nonverbal behavior accompanies a deceptive response in an attempt by the guilty suspects to relieve anxiety

Answer 321

1. Distraction behavior
2. Displacement behavior

Question 322

Shifts in body posture, bringing a hand to the face, crossing the arms, etc…

Answer 322

Distraction Behavior

Question 323

Picking the lint off clothing, pacing, repetitious fast movement, etc…

Answer 323

Displacement Behavior

Question 324

No single word or nonverbal behavior automatically means a person is lying or telling the truth

Question 325

Activities suggesting deception

Answer 325

1. Significant posture change
2. Grooming gestures & cosmetic adjustments
3. Supportive gestures

Question 326

Which are a primary source of information & most critical aspect of an investigation?

Answer 326

1. Interviews with victim
2. Witnesses
3. Informants
4. Confidential informants

Question 327

A person who has been involved in a physically debilitating situation should be interviewed briefly on the event’s crucial aspects before being allowed to rest

Question 328

A person who is physically debilitated or psychologically stressed should not be subjected to a lengthy interview

Question 329

Who should be questioned as to alcoholic beverages consumed within the last 24 hrs & 95 to any medication taken

Answer 329

The Interviewee

Question 330

The interviewer should begin with broad; general questions & then become more specific

Answer 330

Witness Interviews

Question 331

Several principles underlie the interviewing of a cooperative witness

Answer 331

1. Maintain or reestablish rapport
2. Personalize the interview by treating the witness as an individual
3. State expectations
4. Ask open-ended questions
5. Avoid interruptions
6. Allow pauses

Question 332

Preparation begins long before litigation with an accurate & timely capture of facts & impressions of the incident in a report or notes

Question 333

The testimonial evidence the security professional will be presenting in court is called “parol” or “spoken word” and the attorney will want to make sure it supports the case

Question 334

Produce all tangible evidence

Answer 334

Duces Tectum

Question 335

The legal process, where attorneys and/or judge ask questions to determine candidates’ sustainability to be on the jury

Answer 335

Voir dire

Question 336

Theft and Fraud

Answer 336

1. Most frequent & costly forms of dishonesty
2. the most common motivation for an individual to commit an internal theft is one of economics or profit
3. Employees may be an organization’s greatest threat second only to competition
4. 30% of business failures result from employee theft with over one half of them failing in the first 3 years of their existence

Question 337

Theft & Fraud

Answer 337

1. Occupational fraud is a growing industry in which most perpetrators are first-time offenders
2. US organizations lose to 6% of their annual revenues to fraud
3. Small businesses suffer disproportionately larger losses than large businesses
4. More than 2 million shoplifter apprehensions are made every year
   - They are only a fraction of the estimated 200 million annual shoplifting incidents

Question 338

Theft & Fraud (cntd…)

Answer 338

5. Various studies estimate employees steal over a billion dollars a week from their employees
6. Some employees will steel to “the extent the organization will allow”
7. In the retail industry, up to 70% of losses are perpetrated by employees
8. For every dollar lost to shoplifting, employees, steel another $15

Question 339

Theft & Fraud (cntd..)

Answer 339

9. In the foodservice industry, employee theft imposes a 4% tax an every customer dollar spent
10. A serious form of embezzlement in the workplace is fraudulent cash disbursements
11. Employees also steal time

Question 340

Employee Theft & Fraud

Answer 340

Theft on the job is not necessarily correlated to external factors or influences; employees who are satisfied with their jobs are less likely to steel

Question 341

What significantly affects individual employee attitudes toward theft

Answer 341

Peer Pressure & Attitude

Question 342

Theft is usually perpetrated by what kind of employees

Answer 342

Those with Access

Question 343

The greater opportunity for theft the greater the chance it will occur; the greater the chance of detection, the less likely employees will steel

Question 344

Employees who steel…

Answer 344

are frequently involved in another counterproductive workplace activities

Question 345

Red Flags of Employee Theft

Answer 345

1. Secretive relationships
2. Missing documents
3. Indicators of substance abuse
4. Irregular hours of operation or building entry

Question 346

Primary Contributors to Employee Theft

Answer 346

1. Lack of supervision
2. Lack of effective processes

Question 347

Bi-modal Distribution

Answer 347

1. A small number of employees take large amounts of property
2. The vast majority of those who steel take only small amounts

Question 348

Two methods of theft committed by managers

Answer 348

1. Embezzlement
2. Defalcation

Question 349

The fraudulent appropriation of property by a person to whom it is entrusted

Answer 349

Embezzlement

Question 350

Misappropriation of trust funds or money held in a fiduciary capacity

Answer 350

Defalcation

Question 351

Joseph Wells motivations for Fraud

Answer 351

1. Financial pressures (gambling, drugs, living beyond one’s means, unexpected medical bills)
2. A desire to be (or appear to be) successful
3. Greed (predominant factor)

Question 352

How is the opportunity for fraud created?

Answer 352

Through the absence or weakness of internal controls

Question 353

Employees involved in theft have usually been involved in other misconduct

Question 354

What is not an insurance against theft?

Answer 354

Tenure

Question 355

Virtually every employee who steals has rationalized his or her dishonesty

Question 356

No theft regardless how minor should be tolerated or ignored

Question 357

Virtually every theft or fraud could have been prevented by better management

Question 358

What are the most common form of workplace embezzlement?

Answer 358

Cash Disbursements

Question 359

Four characteristic principles involved in internal thefts include

Answer 359

1. Diversion: when the money stops being spent in one area of business or on a product; & starts being spent on another
2. Conversion: when someone gives away or sells property that does not belong to them
3. Disguise
4. Divergence

Question 360

The relevant facts or elements of most economic crimes are?

Answer 360

Motive

Opportunity

Ability (rationalization)

Question 361

Most common rationalizations/myths by employers?

Answer 361

1. Only the needy & greedy steal
2. Good policies & procedures will catch most wrongdoers
3. Audits identify most irregularities
4. Prosecution is an effective deterrent

Question 362

Most fraudsters are influenced by an opportunity to profit & a clear correlation exists between theft & opportunity

Answer 362

Opportunity

Question 363

Employees displeased with their overall employment experience are most often those who engage in theft & other antisocial behavior at work

Answer 363

Job dissatisfaction

Question 364

Employees are greatly influenced by the informal social controls of co-workers such as peer-group gossip, ridicule & ostracism

Answer 364

Social Control

Question 365

Employee situational red flags for fraud

Answer 365

1. High personal debts (medical, gambling, excessive speculation in the stock market, etc.)
2. Poor credit rating or other financial difficulties
3. Living beyond one’s means
4. Excessive use of drugs or alcohol
5. Perceived inequities (being passed over for promotion)
6. Previous convictions for fraud or trust violations
7. Low moral character
8. Compulsive behavior

Question 366

Employee opportunity red flags for fraud

Answer 366

1. Position of trust
2. Significant knowledge of key operations
3. Easy rationalization of contradictory behavior
4. Close association with suppliers & contractors over a long period
5. Lax or remote supervision

Question 367

Common elements that must be present in every fraud case

Answer 367

1. Strong financial pressure
2. Opportunity to commit fraud
3. A means of justifying the fraud as appropriate

Question 368

Organization situational red flags for fraud…

Answer 368

• Costs rising faster than revenues (profit squeeze)
• Significantly aged or excess inventories
• Extremely rapid expansion of overall business or particular lines of business
• Constantly operating in a crisis mode
• Unrealistic sales quotas or revenue targets
• Significant cash flow problems
• History of corruption in the company’s industry
• Stiff competition
• Outdating of the company’s products or services
• A high rate of turnover among key financial positions

Question 369

Organizational opportunity red flags for fraud (cntd…)

Answer 369

• Dominant, hierarchical, & secretive management styles
• Unethical management models
• Exploitation, abuse, and poor management of employees
• Lack of employee training on the relationship between security and business success
• Lax enforcement of internal controls
• Heavy investments or losses

Question 370

Organization opportunity red flags for fraud

Answer 370

• Line supervisors’ failure to develop on the effective loss-prevention environment
• Urgent need for favorable earnings
• Poor accounting records
• Lack of separation of responsibility for ordering and receiving
• Domination of operating & financial decisions by a single person
• Failure to establish, communicate or enforce a code of business conduct

Question 371

A comprehensive model of theft & fraud prevention

Element 1: Prevention Problems

Components of prevention education include:

Answer 371

1. Process for screening all applicants for past trust violations
2. A code of business conduct that is communicated to employees, vendors & customers
3. Proper accounting practices that record all the financial transactions of the business
4. A clear separation of duties that limits the accessibility to key information that would allow an accounting individual to make changes in master files without someone knowing it

Question 372

A comprehensive model of theft & fraud prevention

Element 1: Prevention Problems

Components of prevention education include:

Answer 372

7. An indicator of the effectiveness of prevention efforts is the quick & accurate reporting of suspected theft & fraud

Question 373

A comprehensive model of theft & fraud prevention

Element 2: Incident

Element 3: Incident Reporting

Answer 373

• Fostering a culture of integrity & honesty is the best practice
• The most ethical organizations (and most successful) regularly & passionately reward employees with recognition & gratitude

Question 374

A comprehensive model of theft & fraud prevention

Element 4: Investigation

Answer 374

• Investigations are more successful when investigative roles & responsibilities are clearly defined
• The main objective of any preliminary investigation is to determine what crime or violation exists
• Under most circumstances, internal thefts & fraud investigations are conducted by in-house or private contractors & not by law enforcement

Question 375

A comprehensive model of theft & fraud prevention

Element 5: Action

Answer 375

• Taking immediate action against theft & fraud perpetrators is one of the strongest deterrents to future losses

Question 376

A comprehensive model of theft & fraud prevention

Element 6: Resolution

Answer 376

• Although discipline & prosecution can be effective deterrents, nothing makes a point like the payment of restitution by the perpetrator

Question 377

How can organizations better prevent theft & fraud?

Answer 377

Move from a reactive to a proactive approach

Question 378

What is the key to a fraud awareness program?

Answer 378

A continuous, well-developed & well-delivered

Question 379

What type of climate should be maintained?

Answer 379

Trust

Honesty

Cooperation

Question 380

What will significantly increase the chances of detecting vulnerabilities & systemic gaps before losses occur

Answer 380

Clear organizational policies procedures and practices

Question 381

How can organizations prevent much internal theft & fraud?

Answer 381

Reducing temptation & increasing the probability of detection

Question 382

Employees must feel confident that senior management will do what?

Answer 382

1. Take issues seriously
2. Will act with professionalism & discretion regarding reports made by employees
3. Steadily demonstrate their resolve to handle offenders, properly at all levels of the organization

Question 383

Practices that punish all employees are generally more expensive & hurt employee morale

Answer 383

• Draconian security methods such as searching employees at workplace exits are expensive and hurt employee morale
• Demonstrating a sincere appreciation for the individual’s contributions to the organization instills a greater sense of ownership and belonging & translate into less workplace theft

Question 384

Policies & work rules must be?

Answer 384

Reasonable

Fair

Communicated properly

Enforced constantly

Question 385

What percentage of employees responsible for 95% of workplace theft should practitioners focus on?

Answer 385

5%

Question 386

What method can be used to deter dishonor employees & empower honest ones?

Answer 386

Anonymous Incident Report Systems

Question 387

More occupational fraud is revealed by anonymous tips provided by employees than by all formal internal audits combined

Question 388

The 3 “shuns”

Answer 388

Termination

Prosecution

Restitution

*the most difficult but does the victim the most good

Question 389

Two prominent theories of white-collar crime

Answer 389

Differential accusation theory

Non-shareable need theory

Question 390

Differential Association Theory

Answer 390

• Edwin Sutherland
• Criminal behavior is most often correlated with an individual’s association with a criminal environment; people who frequently associate with individuals who have criminal tendencies become criminals as a result of those relationships
• Criminal behavior is not inherited but learned through other people by example & verbal communications
• Individuals also learn incentives, rationalization & attitudes associated with particular crimes
• Individuals learn the psychological machinations needed to commit a crime & justify it (rationalize)

Question 391

Non-shareable Need Theory

Answer 391

• Donal Crossey
• Defined as a violation of a position of financial trust
• Trusted persons become trust violators when they visualize themselves having non-shareable financial problems & feel they can resolve the problems by violating their position of trust

Question 392

Non-shareable Need Theory

3 elements must be present before a fraud or similar crime can take place

Answer 392

1. The perception of a non-shareable problem
2. Opportunity for a trust violation
3. Series of rationalizations that allow the individual to justify his or her behavior as appropriate for the situation

Question 393

A compliance program should be built on?

Answer 393

Clear corporate policy

Question 394

Purpose of a compliance program

Protect the organization against?

Answer 394

1. Violation
2. Lapses in business ethics
3. Concomitant legal sanction

Question 395

An effective program encourages

Answer 395

Enforcement

Monitoring

Employee Training

Question 396

What is a key element of any compliance program?

Answer 396

An effective reporting mechanism

Question 397

Main categories of crime relevant to asset protection

Answer 397

• Crimes based on unauthorized entry or presence
• Crimes based on theft
• Crimes based on force or threats of force against people
• Crimes based on damage or threats of damage to property
• Computer-related crimes
• Environmental crimes

Question 398

The ultimate guide to what constitutes criminal conduct is the statutory language that describes the prohibited conduct

Question 399

A misdemeanor or felony

Answer 399

Crime

Question 400

An offense other than traffic violations that may include a sentence of 15 days to 1 yr.

Answer 400

Misdemeanor

Question 401

An offense for which a sentence to a term of imprisonment in excess of one year may be imposed

Answer 401

Felony

Question 402

Conduct punishable by a sentence to a term of imprisonment or to a fine as provided by a law

Answer 402

Offense

Question 403

Criminal laws are based on a concept that prohibited conduct is a wrong against the general public, not merely a wrong against a particular person

Question 404

What undermines the intent of criminal laws?

Answer 404

Treating crimes as though they affect only the parties involved - and not the whole community

Question 405

What describes the state of mind or wrongful purpose required by criminal laws?

Answer 405

Mens rea (guilty mind)

Question 406

What is an exception to “mens rea” requiring only negligent behavior that results in criminal inquiry without intent?

Answer 406

Criminal Negligence

Question 407

The guilty act itself?

Answer 407

“Actus reus”

Question 408

What are also an exception to Mens rea requiring the only completion of the criminal act?

Answer 408

Strict Liability

Question 409

Two categories of sources of legal information

Answer 409

Primary source

Secondary source

Question 410

In-state or federal statute or case

(a strong source of information)

Answer 410

Primary source

Question 411

Another state’s or jurisdiction statute case or legal journal

(should not be relied upon formally)

Answer 411

Secondary source

Question 412

What should be the last resource of legal review?

Answer 412

Trade Journals

Question 413

The main body of criminal law is codified in?

Answer 413

Title 18 of the USC

Question 414

An action of a legislative body that becomes a law when it is approved by the executive branch in the manner required by the constitution

Answer 414

Statutory Law

Question 415

Acts** or **omissions are frequently defined as criminal even if they are not specifically included in the criminal sections of any statutory code

Question 416

Laws passed by cities, towns, & villages that are not generally referred to as statutes because the local level of government is not sovereign

Answer 416

Ordinances

Question 417

Cases decided by the appellate courts of a state or federal jurisdiction

Answer 417

Case Law

Question 418

Instances of litigation (civil) or prosecution (criminal) handled by a district court are rarely used to proffer a legal argument and are considered merely persuasive

Question 419

The following of prior case law in a jurisdiction

Answer 419

Precedent or the Principle of “Stare Decisis”

Question 420

Cases overturned or “distinguished”

Answer 420

Determined not to apply to a particular case even if similar

Question 421

US Constitution

Answer 421

• Basic document for US law
• Defines federal government & its branches & powers
• Grants the power to make laws to the legislative branch
• Article VI is the “supremacy clause” which makes laws under the US Constitution “the supreme law of the land”
• The US Constitution is the basis on which states & their citizens define the rights & duties at the government & the people
• Constitutional safeguards protect citizens from the government but not from other private citizens

Question 422

The trespassing & asportation, obtaining or withholding of property belonging to another with the intent to permanently deprive the owner of the use & benefit of such property or to appropriate the property to the taker or some third party

Answer 422

Theft

Question 423

To establish that a burglary has been committed one must prove that

Answer 423

1. The accused knew or should have known he did not have authority to be in the locale
2. The intent to commit a crime in connection with the unlawful presence or entry

Question 424

The taking of property through the use of force or threat of force

Answer 424

Robbery

Question 425

Shoplifting

In practice security personnel should apprehend a suspect as soon as he/she passes the designated payment or checkout area; apprehending a suspect off company property may be dangerous

Question 426

Federal Criminal Sentencing Guidelines

Require convicted companies make restitution to injured parties & pay a non-tax deductible fee

Question 427

“Let the master answer” - A common-law doctrine holding an employer liable for an employee’s acts that are within the scope of employment

Answer 427

Respondeat Superior

Question 428

Any unauthorized listening whether done in person or by means of electronic or other equipment

Answer 428

Eavesdropping

Question 429

Title 3 of the Omnibus Crime Control & Safe Streets Act

Answer 429

• Authorizes law enforcement of electronic surveillance
• Safeguards wire & oral communications
• Prohibits private possession/use of surveillence equipment
• Creates acceptable uniform circumstance for electrical surveillance
• Sets constitutionally acceptable procedures for government surveillance

Question 430

Electronic Communications Privacy Act

Extends Title III protection to cell phones, fiber, teleconferencing, voicemail, email, encrypted transmission & most pagers

Question 431

Allows government surveillance in the interest of national security

Answer 431

Foreign Surveillance Act

Question 432

Categories of computer-related crimes

Answer 432

The computer itself is targeted

The computer is used to facilitate a traditional crime

The computer is used as a storage device in the criminal activity

Question 433

Resource Conservation & Recovery Act 1976

Answer 433

First attempt to regulate the disposal of toxic waste

Question 434

Comprehensive Environmental Response Compensation & Liability Act

(CERCLA)

Answer 434

Establishes crime liability for failure to report the release of a hazardous substance

Question 435

Economic Espionage Act (1996)

All forms and types of business, technical, or economic information, tangible or intangible no matter how stored or compiled if:

-The owner thereof has taken reasonable measures to keep such information a secret

- The information derives independent economic value actual or potential from not being generally known to & not being readily ascertainable through proper means

Answer 435

Trade Secret

Question 436

Provides criminal penalties for “controlling persons” in corporations under certain conditions

• Applies to any company having a class of securities registered pursuant to section 12 of the Securities Exchange Act of 1934
• Also applies to any company required to file reports pursuant to Section 15(d) of the Securities Exchange Act of 1934

Answer 436

Foreign Corrupt Practices Act (FCPA)

Question 437

Makes it a criminal offense to offer a bribe to a foreign official to obtain or retain business

Answer 437

FCPA

Question 438

Intention to take the person into custody

• Through actual or constructive seizure or detention
• With the understanding of the arrestee that he is arrested

Answer 438

Elements of an Arrest

Question 439

An arrest can be made under these conditions

Answer 439

• Pursuant to federal or state law
• With or without a warrant
• By police, peace, officer, & private citizen

Question 440

A judicial process issued upon probate cause authorizing or commanding an act

Answer 440

Warrant

Question 441

Authorizes the taking into custody of the named person

Answer 441

Arrest Warrant

Question 442

Authorizes the search of the named place under the conditions imposed

Answer 442

Search Warrant

Question 443

In what way does the criminal law require statements be made by persons against their own interest?

Answer 443

Voluntary

Question 444

An arrest without a warrant can be made by a police officer or a private person according to state law

Question 445

• May arrest without a warrant with reasonable cause to believe the person committed an offense
• With reasonable cause, the police officer will not be held liable for the arrest

Answer 445

Police Officers

Question 446

• Citizens’ arrest authority is limited to:
• Any crime committed in the presence of the arrested person
• A felony even if not committed in that person’s presence

Answer 446

Private Person

Question 447

Private Person

Answer 447

• A security officer could be subject to civil damages if he apprehends the wrong person
• The arrested person must be taken “without unnecessary or unreasonable delay” before a court, judge, or police officer

*Failure to do so risks civil damages & criminal charges if force or threat of force was used

Question 448

• The security officer must have authority to make the arrest & the person to be arrested must be made aware

* A lack of arrest authority (i.e.. no crime or wrong person) his actions may constitute a fake arrest or assault

Question 449

A person who is unlawfully arrested can resist with all reasonable force

Question 450

If a subject is killed int he process of an arrest, the officer may be guilty of manslaughter or murder

Question 451

Private individuals who hold a valid police officer appointment & who make an arrest without a warrant (pursuant to the appointment) are protected as police officers

Question 452

The inducement by an LEO of a person not otherwise disposed to do so, to commit a crime for the purpose of persecuting him

Answer 452

Entrapment

Question 453

Entrapment

Answer 453

• Common (case) law for federal & some states; statutes in other states
• Entrapment cannot result from a private person unless acting with law enforcement (in some states)
• Conduct not constituting entrapment under the common law might still be considered a criminal act
• The mere act of giving another the opportunity to commit an offense is neither facilitation nor solicitation nor is it entrapment under current common law

Question 454

Procuring another to commit a crime

Answer 454

Criminal Solicitation

Question 455

Rendering aid to another with the knowledge it is in aid of the commission of an offense

Answer 455

Criminal Facilitation

Question 456

The 4th Amendment

Answer 456

• Prohibits unreasonable searches
• Does not apply to searches by private persons
• A warrantless search incidental to arrest is authorized but cannot extend beyond the immediate area

Question 457

Alternatives for when an employee is suspected of concealing evidence

Answer 457

1. Arrest the employee on the charge of the crime
2. Permit the employee to leave but file a criminal complaint with the police
3. Take disciplinary action against the employee

* if doubtful a combo of the 2nd & 3rd alternatives might be wiser than a citizen’s arrest

Question 458

Conditions of searches in private organizations

Answer 458

• Searches or inspections are consented to
• Searches or inspections are made conditions of employment
• Searches or inspections are not conducted in areas where the employee was given sole & exclusive right of possession & maintains a reasonable expectation of privacy, such as with a private locker or desk

Question 459

In federal matters, the request to the grand jury is made by who?

Answer 459

US Attorney or Assistant US Attorney

Question 460

In state actions, who makes the request or issues an “information”

Answer 460

US Attorney General

US Asst. Attorney General

District Attorney

County Attorney

Special Prosecutor

Question 461

Use of Force

Reasonably necessary force is generally allowed in?

Answer 461

• Defense of oneself or others
• To restrain others who one believes are about to commit suicide or do themselves serious harm
• To correct a minor (if a parent or guardian has the authority to do so)
• By a police officer or person directed by an officer to assist, or a private citizen to arrest or prevent escape of a criminal

Question 462

The permissible use of force varies jurisdiction to jurisdiction

Question 463

Generally, deadly force can only be used when?

Answer 463

• Fear of one’s own life (where simply debilitating the offender is not an option)
• Some jurisdictions require the attack or threat of attack be actual
• Some jurisdictions require only a reasonable belief such an attack is occurring or threatened
• Prevention of a crime involving deadly weapons or the apprehension of a criminal with a deadly weapon

Question 464

When using force in defense of another, some jurisdictions require that the defended person be authorized to use force to defend himself or herself in such cases the defender acts at his or her own peril

Question 465

The general rule is that a lawful occupant or an individual in charge of premises may use an amount of force reasonably necessary (but not deadly force) in preventing or terminating a perceived criminal trespass

Answer 465

Defense of Premises

Question 466

What are the two functions of locks alarms warning notices and other security measures?

Answer 466

1. Serve as deterrents
2. Provide a basis for appropriately invoking criminal sanctions against aggressors by security personnel acting in good faith

Question 467

Administrative law is an application of?

Answer 467

Civil Law

Question 468

Relates to functions powers and procedures of government administrative agencies and departments

Answer 468

Administrative Law

Question 469

Administrative law focuses on how government agencies do what?

Answer 469

Carry out assigned tasks under constitutions and statutes

Question 470

A government agency has an administrative role if it has the authority to?

Answer 470

• Make determinations affecting private rights, especially the power to make rules
• Adjudicate cases
• Conduct investigations
• Issue, suspend, revoke licenses
• Institute prosecutions

Question 471

Administrative law is not a separate category of law but rather what?

Answer 471

The application of statutory civil law to government agencies

Question 472

Actions of government must meet minimum standards of Constitutional due process

Question 473

Government agencies that have access to, or distribute public information related to privacy, rulemaking, investigations, subpoenas, reports, inspections, hearings and informal reviews, licenses adjudications & judicial reviews (oversight of agency actions by the courts)

Answer 473

Administrative Procedures Act (APA)

Question 474

Congress establishes, modifies & terminates agencies; which branch appoints key personnel?

Answer 474

Executive

Question 475

In day-to-day activities, promulgation of rules & investigations agencies have very broad independence

Question 476

An independent agency has the power to determine private rights through?

Answer 476

Rule-making

Investigations

Prosecution

Licensing

Other informal actions

Question 477

Freedom of Information Act (FOIA) 1966

Answer 477

• An amendment to the APA
• Deals with the release & disclosure of certain kinds of information by the Federal Governemnt

Question 478

the FOIA requires federal agencies to disseminate & disclose information about their activities & proceedings

Answer 478

• By publication in the Federal Register
• Distribution of material for public inspection & copying

Question 479

Broad exemptions to the “Disclosure Rule”

Answer 479

• National security information
• Internal (agency) personnel rules & practices
• Information specifically exempted by statute
• Trade secrets & confidential commercial or financial information

Question 480

The courts have required that in addition to being confidential, there must be a showing of an adverse effect on future government cooperation and a showing that disclosure will have an unfavorable & substantial impact on a party’s competitive position

Question 481

A promise by a government agency, not to disclose information may not prevent later disclosure, by that agency or another

Question 482

Exemptions to the Disclosure Rule

Answer 482

• Interagency & agency internal communication not normally available to parties in litigation with the agency
• Personnel, medical, and personal records
• Financial institutions information - financial institutions & agencies that regulate banks

Question 483

Exemptions to the disclosure rule

Answer 483

• Geological information
• Investigation records if it would: interfere with enforcement proceedings, deny a fair hearing to any party, or amount to an invasion of personal privacy
• Disclose investigative techniques
• Endanger the safety of LE personnel

Question 484

Health Insurance Portability & Accountability Act

HIPPA

Answer 484

Encouraged health care providers to engage in electronic transactions & required new safeguards to protect the security & confidentiality of the transactional information

Question 485

HIPPA

Answer 485

• Covers health care entities that conduct certain financial & administrative transactions electronically
• Covers all medical records & health information used or disclosed by a covered entity, in any form

Question 486

HIPAA

Covered entities generally must…

Answer 486

1. Adopt written privacy procedures concerning who has access to protected information how it is used, & when it is disclosed
2. Train employees on privacy procedures, and designate an individual responsible for ensuring the procedures are followed

Question 487

HIPPA is enforced by the HHS Office for Civil Rights (OCR)

Question 488

What is the main purpose of the Privacy Act?

Answer 488

Allow citizens to access information held by federal agencies about themselves

Question 489

Privacy Act applies only to federal agencies & not to the private sector

Question 490

Privacy Act provides following right & remedies

Answer 490

• Notice to and comment from the individual before disclosure by the agency (ten exceptions exist)
• A lawful FOIA application may require disclosure
• Right to access one’s own record & request justifiable amendments
• Right to civil damages if intentional improper disclosure caused injury

Question 491

Civil Law

Answer 491

• Deals with private rights & remedies
• Primarily establishes and adjudicates rights among private persons, both individual & corporate
• Civil rights involve statutory law, rather than common law
• 50 titles in the U.S.C. Title 18 is criminal law - others are primarily civil
• There is greater diversity in state’s civil state law then criminal

Question 492

Categories of Civil Law

Answer 492

• Statutory Law
• Common Law

* Contract common law

* Tort Common law

Question 493

What do Federal & State Bills of Rights protect citizens from?

Answer 493

Other Citizens

Question 494

Civil Law

Answer 494

• The number of subjects dealt with in civil law is much great
• The subjects of civil law developed & containing the most legislation are usually the subjects related to a state’s economic center

Question 495

Common Law

Answer 495

When a federal court hears a common law dispute it applies the same legal principles applicable to state law at the same location

Question 496

Terms & conditions expressed in words

Answer 496

Express Contracts

Question 497

Terms & conditions not stated in words; based on the parties really intending the terms

Answer 497

Implied Contract

Question 498

Imposes an obligation on someone who has benefited from an act or lack of an act, for another

Answer 498

Implied in Law

Question 499

Based on parties’ conduct even without formal words, but not if some critical term is unstated

Answer 499

Implied in Fact

Question 500

The value of a product or service, determined by a court, when it is disputed in an implied contract

Answer 500

Implied Reasonable Value

Question 501

Liability for the acts of another without personal fault of the one liable

Answer 501

Vicarious Liability

Question 502

If several parties have been jointly negligent but the judgment was against only one; that party is entitled to a proportionate contribution from the others

Answer 502

Contribution

*Might be prevented by a “hold-harmless” or “indemnification” in a contract

Question 503

For an employer to be liable for its employee (agency relationship-vicarious liability)

Answer 503

The employee must have acted within the scope of his duties

Question 504

Depending on the circumstances of the action taken while performing duties for a private employer; a law enforcement officer may be:

Answer 504

• Within the scope of employment of the LEA
• Within the scope of employment of the private employer
• Outside the scope of employment of either

Question 505

A willful or negligent wrong done to one person by another

Answer 505

Tort

Question 506

Unlike contract injuries, torts do not require any agreement between the parties & in cases of negligence may not depend on the intentions of the parties

Question 507

One in which the actor intends the consequence’s of the act or to do the act resulting in injury

Answer 507

Willful Tort

Question 508

The failure to use reasonable care & due diligence under the particular circumstances as a result of which another is injured or suffers some damage

Answer 508

Negligence

Question 509

Negligence does not require intent, even an intent to be negligent - rather it is the absence of an attitude or intent - to be duly careful - that characterizes negligence

Question 510

Negligence so gross or reckless as to be tantamount to acting with total disregard for the consequences of the action is sometimes held to be similar to an intentional wrong and may lead to heavier liability on the part of the negligent person

Question 511

Exemplary or punitive damages may be awarded multiplied by a factor of the actual damages to dissuade the negligent party from similar future behavior

Question 512

Examples of Torts

The actual use of force against another involves physical touching

Answer 512

Battery

Question 513

Examples of Tort

Putting another in fear that force will be used against him or her; do not involve physical contact

Answer 513

Assault

Question 514

Deprivation of another’s liberty or freedom which may involve actual physical restraint and may involve intimidation that physical force will be used if an escape is attempted

Answer 514

False Imprisonment

Question 515

Wrongful appropriation of the personal property of another or exercise of dominion by the converter over the personal property of another in a way inconsistent with rightful owner’s interest

Answer 515

Conversion

Question 516

Use of a trick, device, false scheme, or other deception that causes another to suffer loss because of reliance on the one committing the fraud

Answer 516

Fraud or Misrepresentation

Question 517

Behavior that results in annoying unwholesome or destructive conditions or produces substantial interference with another’s use or enjoyment of his property

Answer 517

Nuisance

Question 518

Damaging untrue oral (slanderous) & written (libelous) statements

Answer 518

Defamation

Question 519

The truth of a statement is generally an adequate defense to an action of defamation

Question 520

Occurs when without justification or proper cause there is

• Intrusion into secret affairs of another
• Disclosure of such affairs
• Placing of another in a false public light
• The appropriation of some private or secret aspect of another for the commercial use

Answer 520

Invasion of Privacy

Question 521

Federal Tort Claims Act (FTCA)

Allows individuals to recover from the US for property damage, personal injury, & wrongful death caused by the negligence of a federal employee

Answer 521

FTCA

Question 522

The government is liable if a law enforcement officer commits assault, battery, false imprisonment, false arrest, abuse of process or malicious prosecution

Question 523

The government is not liable if the claim against LEO is for libel, slander, misrepresentation, deceit or interference with contract