Fraud Investigation And Forensic Accounting In The Real World 1st Edition William L. Jennings - Solutions

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Discuss some of the models you might use to put structure to a problem you are analyzing.
When you are analyzing a series of low-level incidents, what does the success of your analysis depend upon?
What documents or data would you exclude from a common factor analysis?
What is the primary intent of a common factor analysis?
Discuss the ramifications of taking information “off the record.”
What possible consequences might arise if you did not report what you learned during your investigation?
What determines the success of an investigation?
What should you consider bringing to any formal presentation?
What are the six questions management should expect you to answer during the course of your investigation?
What does the “right” mental model mean to you?
If you were asked to develop a solution selection matrix, what might be some of the questions that you would need to ask?
What might a consequence be if you used the S.M.A.R.T.E.R. technique before you had established what your root cause is?
What is the purpose of a performance indicator?
What four steps should be used to develop a contingency plan?
What is a contingency plan?
What is the purpose of a solution selection tree?
Why is an action plan useful?
What kind of resistance do you anticipate from the organization if you were to identify a root cause that points at an underlying cultural weakness? How would you go about overcoming that resistance?
What are the questions you might ask yourself to determine whether a potential underlying factor is a root cause?
How would you handle a situation in which you have both facts that support a potential cause and other facts that appear to refute the potential cause?
How does the extent of condition review differ from the extent of cause review?
Why is an extent of cause review useful in an investigation?
What is a root cause test?
How does the WHY factor staircase differ from the “five” WHYs technique?
What are the four basic steps needed to validate (or invalidate) a factor as either a contributing cause or root cause?
In this section quite a bit of information was presented. If you are facilitating an investigation team, how would you assure team members gather the type of information you know is needed to have a complete assessment?
It is usually fairly easy for key decision makers to see how actions directly cause or trigger an incident or accident. It is not the same with the indirect causes. How would you go about helping management see how an inaction or condition allowed a circumstance or aggravated a situation and
What tools are specialized types of structure trees?
When is defense analysis (barrier analysis) most effective?
What is the purpose of a difference analysis (change analysis)?
Why is a cause and effect tree an effective tool?
What is a contributing factor? Describe a contributing factor associated with an incident your business has experienced.
How would you determine if a factor should be a contributing factor (a.k.a.causal factor)?
Why is actions and factors charting a critical tool during your investigation and what are the benefits for using this tool?
How does the task analysis technique relate to interviewing?
What are some ways of ensuring you have determined all the possible ways a machine part or component failed?
What is the purpose for developing an actions and factors chart?
What is actions and factors charting?
What makes a step of a task a critical human action (CHA)?
Why is task analysis useful?
What should your first step be in developing a fault tree for equipment-initiated incidents?
What should be your focus during an interview?
As an investigator, what are some steps you would do in preparation for an interview?
What are some of the concerns you might encounter as you attempt to preserve evidence before and during the course of an investigation?
What are the three sets of questions you need to pursue to see how an incident unfolded from an individual’s perspective?
If you are investigating an equipment failure, what will you determine with your first set of questions?
What are some of the basic questions that should be answered for any type of cause investigation?
Why is it a mistake for an investigator to assume that he or she already knows what caused the problem?
What are some of the challenges you could encounter when determining an extent of condition that is too wide?
What are some of the challenges you could encounter when determining an extent of condition that is too narrow?
If your problem description is poorly conceived, what might the consequence(s)be of having an inadequate problem description?
Why is it necessary to find out the extent of an adverse condition?
Why is it necessary to put a boundary around a problem?
What are the parts of a problem description? Describe each one.
Why should you develop a short problem statement early in an investigation?
If a problem was found in the training section of the accountability model, how would you work to correct it?
Why is it important to reach an understanding of an individual’s context (work environment and task demands) when performing an investigation?
What are the similarities between the A-B-C model of human performance and the stimulus-response model?
What is the purpose of each of the following investigation steps?Scope the problem.Investigate the factors.Reconstruct the story.Establish contributing factors.Validate underlying factors (“root causes”).Plan corrective actions.Report learnings.
What is the difference between a criminal investigation and the investigations being discussed in this manual?
Why is it important that investigators do a good job distinguishing between personal accountability and organizational accountability?
Why is it important that an investigator understand models of human behavior?
When hardware or equipment is involved, why is it important to find the physical root(s) of the problem before determining the human roots or the organizational roots?
Why is it important early in an incident investigation to understand the success path before an investigator starts looking for the cause(s) of failures?
Who (titles only please) would you reach out to gain appropriate access to persons, data, etc. for your team members?
How would you handle disruptive team members?
How would monitor team members progress toward completing objectives?
What criteria would you use to make decisions about dividing responsibilities among your team members?
Create a plan to divide responsibilities among your team members. Who will be responsible for doing what?
Make a list of the other types of team members you would assemble for your investigation.
Make a list of non-monetary rewards that you would appreciate receiving and why?
What structural dynamic should the project manager create with team members?
What activities should the project manager participate in?
What qualities would you want to see in the project manager?
What is the role of the project manager?
What activities should the team leader not participate in?
What activities should the team leader participate in?
What qualities would you want to see in the team leader?
What is the role of the team leader?
What are the roles of each level of leadership in an investigation or forensic accounting team?
Assume you are investigating a massive embezzlement like the one I described in the opening paragraphs of this chapter:a.List the skills, credentials, and experience of an ideal team that you would assemble to conduct this investigation.b.What past experience questions would you have for each
What is the most important consideration when assembling an investigation team?
You find credible evidence of fraudulent accounting entries to your company’s books and records.a. What is your working hypothesis of what occurred?b. What questions would you want your investigation to answer?c. Write a workplan to get your questions answered.d. Make a list of persons (titles
You find credible evidence of accounts receivable lapping.a. What is your working hypothesis of what occurred?b. What questions would you want your investigation to answer?c. Write a workplan to get your questions answered.d. Make a list of persons (titles only please) who might be involved in this
You find credible evidence of a senior executive falsifying expense reports.a. What is your working hypothesis of what occurred?b. What questions would you want your investigation to answer?c. Write a workplan to get your questions answered.d. Make a list of persons (titles only please) who might
What are the key requirements imposed by the AICPA on fraud investigators and forensic accountants?
What are the key requirements imposed by the IIA on fraud investigators and forensic accountants?
Write a fraud response plan for your organization.
You are told that your customer data has been stolen by cyber criminals.a. What is your strategy for responding to this crime?b. What specialized resources will you need internally?c. What specialized resources will you need externally?
You are told that significant payments are being made to phony vendors.a. What questions do you want answered?b. What answers would cause you to conclude the allegation was credible?c. Based on your company, write a working hypothesis of what happened.d. Write questions to test the hypothesis.e.
If you conclude that the allegation is credible who would your report it to?
If an allegation of fraud or other misconduct is made to you, what questions would you want answered before deciding what you will do?
What steps would you take if the business unit or process owner asks you to hold off on reporting your findings?
What are your lines of reporting?
Imagine you are speaking to the person asking you to initiate the investigation. What questions would you ask to make sure you fully understand the objectives and expectations for your investigation?
What types of actions can result in committing obstruction of justice?
What should you not do when you become aware of an incident?
What steps should you take when you become aware of an incident?
Develop a response plan for each type of incident.
Write out several incident scenarios for different types of incidents.

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Fraud Investigation And Forensic Accounting In The Real World 1st Edition William L. Jennings - Solutions

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