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Investigations Sample questions. 1.Which of the following is not a legitimate purpose of an investigation for employee misconduct? a.To determine whether.

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Presentation on theme: "Investigations Sample questions. 1.Which of the following is not a legitimate purpose of an investigation for employee misconduct? a.To determine whether."— Presentation transcript:

1 Investigations Sample questions

2 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 of employees which might be derogatory for future use d.To determine if state or federal laws have been violated

3 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 of employees which might be derogatory for future use d.To determine if state or federal laws have been violated

4 2.The investigator’s best approach to questioning relies on the following: a.Most suspects will lie or circumvent the truth b.A suspect is innocent until proven guilty c.A key suspect is guilty and evidence must be found to substantiate that feeling d.A signed statement in the form of a confession must be obtained

5 2.The investigator’s best approach to questioning relies on the following: a.Most suspects will lie or circumvent the truth b.A suspect is innocent until proven guilty c.A key suspect is guilty and evidence must be found to substantiate that feeling d.A signed statement in the form of a confession must be obtained

6 3.In conducting gambling investigations, the staff investigator should: a.Cooperate with local, county, state or federal law enforcement b.Not use undercover operatives c.Wiretap the employees home telephone d.Search the lockers of all suspects

7 3.In conducting gambling investigations, the staff investigator should: a.Cooperate with local, county, state or federal law enforcement b.Not use undercover operatives c.Wiretap the employees home telephone d.Search the lockers of all suspects

8 4.Which of the following investigative resources should not normally be used in a gambling investigation conducted by a proprietary investigative force. a.Closed circuit TV cameras b.Undercover operatives c.Telephone surveillance d.Fluorescent powder

9 4.Which of the following investigative resources should not normally be used in a gambling investigation conducted by a proprietary investigative force. a.Closed circuit TV cameras b.Undercover operatives c.Telephone surveillance d.Fluorescent powder

10 5.In investigating homicide and suicide the best source would probably be: a.County coroner’s office b.Health office c.State attorney general’s office d.Federal law enforcement

11 5.In investigating homicide and suicide the best source would probably be: a.County coroner’s office b.Health office c.State attorney general’s office d.Federal law enforcement

12 6.To obtain information concerning marriage licenses an investigator would contact the: a.Appropriate health department b.Tax bureau c.Bureau of Vital Statistics d.Appropriate court

13 6.To obtain information concerning marriage licenses an investigator would contact the: a.Appropriate health department b.Tax bureau c.Bureau of Vital Statistics d.Appropriate court

14 7.In conducting a “claim” investigation where the claim is a serious one and where there is cause for doubt in connection with the loss or claim, the type of investigation to be used is: a.Telephone b.Mail c.Personal contact d.Undercover

15 7.In conducting a “claim” investigation where the claim is a serious one and where there is cause for doubt in connection with the loss or claim, the type of investigation to be used is: a.Telephone b.Mail c.Personal contact d.Undercover

16 8.A yellow colored crystalline solid pertains to the following explosive: a.TNT b.Dynamite c.Nitroglycerin d.Picric acid

17 8.A yellow colored crystalline solid pertains to the following explosive: a.TNT b.Dynamite c.Nitroglycerin d. Picric acid

18 9.Which of the following is not a high explosive? a.Nitrocellulose b.Nitroglycerin c.Dynamite d.Nitro starch

19 9.Which of the following is not a high explosive? a.Nitrocellulose b.Nitroglycerin c.Dynamite d.Nitro starch

20 10.One of the following is not considered an element of the common law crime of arson: a.Commercial building b.Malicious c.Burning d.Willful

21 10.One of the following is not considered an element of the common law crime or arson: a.Commercial building b.Malicious c.Burning d.Willful

22 11.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

23 11.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

24 12.If necessary to terminate an undercover investigation which one of the following actions should not be done: a.Withdraw agent safely b.Withdraw agent immediately c.Salvage as much of the result of date d.Reveal identity of the agent

25 12.If necessary to terminate an undercover investigation which one of the following actions should not be done: a.Withdraw agent safely b.Withdraw agent immediately c.Salvage as much of the result of date d.Reveal identity of the agent

26 13.The principal item of expense in an investigations budget will be: a.Communications b.Equipment c.Maintenance d.Personal costs

27 13.The principal item of expense in an investigations budget will be: a.Communications b.Equipment c.Maintenance d.Personal costs

28 14.The single most important administrative control in handling investigations is: a.Indexing b.Case assignment c.Case review d.Documentation of status

29 14.The single most important administrative control in handling investigations is: a.Indexing b.Case assignment c.Case review d.Documentation of status

30 15.As a general rule the number of consecutive years of employment or non- employment to be verified preceding the date of investigation are: a.5 years b.7 years c.3 years d.2 years

31 15.As a general rule the number of consecutive years of employment or non- employment to be verified preceding the date of investigation are: a.5 years b.7 years c.3 years d.2 years

32 16.Any investigation containing unfavorable information should be retained in file for a period of not less than: a.1 year b.5 years c.3 years d.2 years

33 16.Any investigation containing unfavorable information should be retained in file for a period of not less than: a.1 year b.5 years c.3 years d.2 years

34 17.The rule which states that approximately one in ten applications will have major omissions which will 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

35 17.The rule which states that approximately one in ten applications will have major omissions which will 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

36 18.Which of the following should be interviewed last or near the end of an investigation under usual circumstances: a.Those with extensive information b.Those preparing to take a trip out of area c.Those likely to be hostile d.Those with less than extensive information

37 18.Which of the following should be interviewed last or near the end of an investigation under usual circumstances: a.Those with extensive information b.Those preparing to take a trip out of area c.Those likely to be hostile d.Those with less than extensive information

38 19.If interviewee during investigations is hostile, it is preferable to conduct the interview at: a.The security office b.Home of the interviewee c.A neutral spot d.In an automobile

39 19.If interviewee during investigations is hostile, it is preferable to conduct the interview at: a.The security office b.Home of the interviewee c.A neutral spot d.In an automobile

40 20.Which of the following characterization regarding investigative surveillance is not true? a.They are expensive b.They are time-consuming c.They are often non-productive d.They are illegal in most jurisdictions

41 20.Which of the following characterization regarding investigative surveillance is not true? a.They are expensive b.They are time-consuming c.They are often non-productive d.They are illegal in most jurisdictions

42 21.The process whereby communications are intercepted or recorded is known as: a.Physical surveillance b.Technical surveillance c.Surreptitious surveillance d.Black bag operations

43 21.The process whereby communications are intercepted or recorded is known as: a.Physical surveillance b.Technical surveillance c.Surreptitious surveillance d.Black bag operations

44 22. It is becoming increasingly more difficult to do a good pre-employment background investigation because : a.Expense b.Lack of skilled investigators c.Various laws and court decisions which inhibit the use of techniques and/or instruments available d.Uncooperative attitude of persons interviewed

45 22. It is becoming increasingly more difficult to do a good pre-employment background investigation because : a.Expense b.Lack of skilled investigators c.Various laws and court decisions which inhibit the use of techniques and/or instruments available d.Uncooperative attitude of persons interviewed

46 23.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 which is well furnished like home d.In an area where light is focused in suspect’s face

47 23.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 which is well furnished like home d.In an area where light is focused in suspect’s face

48 24.The most consistently available and most valuable sources of information are: a.Documents at the scene b.Fingerprints on the objects involved c.Persons involved in the incident d.Telephone records of calls into and out of the area

49 24.The most consistently available and most valuable sources of information are: a.Documents at the scene b.Fingerprints on the objects involved c.Persons involved in the incident d.Telephone records of calls into and out of the area

50 25.An undercover operator should be: a.A member of the investigative staff of the organization b.A trusted employee in the department under investigation c.Unknown by anyone likely to be in the target population d.An off-duty law enforcement officer

51 25.An undercover operator should be: a.A member of the investigative staff of the organization b.A trusted employee in the department under investigation c.Unknown by anyone likely to be in the target population d.An off-duty law enforcement officer

52 26.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 for personnel action d.Obtain evidence of past or future crime

53 26.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 for personnel action d.Obtain evidence of past or future crime

54 27.Which of the following is not true concerning a witness: a.A witness must have directly observed the incident b.A person who heard the accused make certain remarks may be a witness c.Provide information for personnel action d.A person with knowledge of the whereabouts of the accused at the time of the incident may be a witness

55 27.Which of the following is not true concerning a witness: a.A witness must have directly observed the incident b.A person who heard the accused make certain remarks may be a witness c.Provide information for personnel action d.A person with knowledge of the whereabouts of the accused at the time of the incident may be a witness

56 28.In an incident investigation, the general rule is to first interview persons 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

57 28.In an incident investigation, the general rule is to first interview persons 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

58 29.A subject who has a sixth grade education has a statement typed for him by the investigator. Which of the following should not be included in the typed statement: a.Profanity used by the subject b.The actual sentences spoken by the subject c.Highly complex sentences and large words d.References to witnesses to the incident

59 29.A subject who has a sixth grade education has a statement typed for him by the investigator. Which of the following should not be included in the typed statement: a.Profanity used by the subject b.The actual sentences spoken by the subject c.Highly complex sentences and large words d.References to witnesses to the incident

60 30.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

61 30.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

62 Significant Notes Investigations

63 A confidential informant is one who furnishes information on the expectation that his/her identity will not be disclosed

64 Questions are the principal tools of interviewing

65 In interviewing, leading or suggestive questions which tend to influence the answers given by a subject should be avoided while asking for the original information.

66 When interviewing, the most efficient means of resolving an issue is to have the questions converge on it by progressing from the “general” to the “specific.”

67 The place of an interview should be well-lighted, adequately ventilated, comfortably furnished with a minimum of distraction

68 All admissions or confessions must be voluntary

69 An “interview” is the questioning of a person who has or is believed to have information of official interest to the investigation Whereas An “interrogation” is the questioning of persons suspected of having committed offenses or of persons who are reluctant to make full disclosure of information in their possession and pertinent to an investigation

70 As a general rule, the investigator does not take notes during the interrogation in order to keep from disrupting the interrogator’s rhythm.

71 The most positive means of identifying people is the science of fingerprints

72 To a large measure, the success of a polygraph examination depends upon the professional capabilities of the investigator

73 “Control Questions” are used in polygraph examinations to determine whether the person is a suitable subject for the polygraph test and whether capable of producing a specific physical response

74 In crime scene searches, the first thing for the investigator to do is provide for any needed medical attention and protect the scene

75 Types of crime scene searches are: a.Circle search b.Strip search c.Grid search d.Zone or sector search

76 The most important rule in crime scene photography is to photograph all evidence or possible evidence before anything is moved or touched

77 With regard to the collection of evidence, “Chain of custody” is a chronological written record of those individuals who have had custody of the evidence from its initial acquisition until its final disposition

78 A “Questioned Document” is a document whose genuineness is questioned, normally because of origin, authenticity, age or circumstances under which the document was written

79 An “exemplar” is a document requested by the investigator which duplicates the text of a questioned document and is known to be the product of a particular person or machine

80 There is no specific format for the taking of notes required during an investigation

81 Written statements used in recording investigative facts are primarily of the following types: a.Affidavit b.Question/answer statement c.Unsworn statements d.Memorandum of interview

82 There are many qualifications to be a good undercover investigator such as: a.Willingness to do the job b.Self-confidence c. Resourcefulness and adaptability d.Initiative and judgment e.Patience

83 Probably the most important aspect of an undercover operation is a credible cover or background story used by the undercover agent

84 Knowing when and how to close an undercover operation is as important as knowing how to start and proceed

85 The three most frequently used investigative techniques are: a.Informants b.Surveillance c.Undercover

86 There are two major types of surveillance: a.Physical b.Technical

87 Surveillance is defined generally as the secretive and continuos observation of persons, places and things to obtain information concerning the activities and identities of individuals

88 One of the most important qualifications of the person selected to conduct a physical surveillance is to be able to blend into the environment with “normal” appearance

89 One of the most important rules of physical surveillance is: “DON’T LOOK THE SUBJECT IN THE EYE”

90 As a general rule, sensitive investigative reports, such as undercover reports, should be disseminated on a: “need-to-know” basis

91 The primary type of evidence to be collected at a crime scene is that which is relevant

92 A knowledge of basic accounting terms is necessary in white-collar investigations. Two important terms are: a.“Accounts payable” money owed to suppliers b.“Accounts receivable” money owed by customers

93 One of the most common errors made in the interrogation of a subject in a larceny case is failure to ask if he/she stole the object

94 An “open-ended” question affords the interviewee opportunity to reply in a narrative fashion A “closed-ended” question restricts an interviewee in the amount of information given during a reply

95 A friendly approach is considered to be the most productive in interviews

96 Many experts feel that the reason a person steals the first time is because the “opportunity” was present

97 Searching motor vehicles for contraband poses special problems. One area often overlooked is the “hub caps” of a vehicle.

98 Counterfeiting of checks and other documents has increased primarily because of sophistication of color-copying machines

99 An oral confession, as well as one which is not signed, still has legal value

100 Proprietary Resources 1.It is better to staff a proprietary investigative unit with personnel who have acquired prior investigative experience 2.The investigator’s job should be regarded as an “exempt” job because it is considered to be “professional” to the extent it requires special preparation

101 Proprietary Resources 3.The two most important expensive items in the budget of an investigations unit are: –Personnel costs –Communications cost

102 Evidence In obtaining known specimens of hair from victim and/or suspect, submit at least 50 hairs from various areas of the head A questioned specimen of writing should be placed in a cellophane envelope and sealed

103 Evidence Charred documents should be placed on top of loose cotton in a box and delivered to the laboratory in person

104 Interviews and Interrogations The techniques most commonly used during an interrogation are: –Sympathetic –Logic and reasoning

105 Interviews and Interrogations Two main approaches used in interrogations: Indirect approach –exploratory in nature Direct approach – suspect’s guilt is reasonably certain

106 Devices to detect deception Polygraph –records changes in respiration, blood pressure, pulse and skin’s sensitivity to electricity Psychological stress evaluation –does not require body attachment –It records and analyzes stress-related components of the human voice –with or without knowledge of individual being tested

107 Devices to detect deception Voice analyzer –does not require body attachment –Records sub-audible tremors in speech on a digital tape –Processes speech electronically and provides immediate results for single or multiple-word questions

108 Surveillance A surveillance can be either covert or overt Two basic forms of surveillance –Physical - done by humans –Technical - done by technical and electronic equipment The most difficult type of surveillance is the “moving surveillance.” This entails following the subject wherever he goes

109 Claims Investigations Interviews in claims investigations should result in obtaining statements A claims report serves several purposes: –Provides a permanent record –Provides a summary of all claims –Brings together the various parts of the file

110 Embezzlement One of the most effective counter-measures against embezzlement is a disciplined environment with appropriate audits and other appropriate safeguards

111 Fraud The most difficult type of fraud to deal with is the fraudulent accident/injury claim, because no preventive measure can be effectively instituted

112 Espionage The unethical practice of one company to learn the secrets of their competitors

113 Explosions An explosion is defined as a sudden, violent and noisy eruption, outburst or discharge by materials acted upon with force such as fire, shock or electrical charge which causes the material, either solid or liquid, to convert into gas and violently expand or burst

114 Explosions Three basic rates of explosions are: –Flash fire –Explosions –Detonations multiple or compounded explosions

115 Explosions Two general types of substances with detonation capabilities: –Low explosives - Black powder, nitrocellulose, smokeless powder –High explosives - nitroglycerin, dynamite, nitro starch, TNT, picric acid, mercury fulminate, tetryl, lead azide nitromannite

116 Sabotage Investigation Any willful act designed to hinder or obstruct the purposes for which a company operates. It is very difficult to identify and prove acts of sabotage. A common method of sabotage is arson –Quite effective and tends to destroy evidence

117 Theft investigation An effective “loss control program” will do much to prevent internal theft.

118 Undercover Investigation Placement technique: The method to place the agent in the undercover role. The job must cover the area involved, have few controls and allow the investigator to appear ordinary. The “tailor-made job” should be avoided

119 Undercover Investigation Costs: Include the nominal wage paid to the agent(s), the payroll taxes, and the fee paid to the agency. The expense is the reason for daily reports and informed control. Use undercover investigation when there is no alternate method available


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