9. One of the most powerful people locator tools is the: A. Department of Motor Vehicles B. Credit bureau header C. Last name search D. Bankruptcy fings 10. Generally, the question of whether it is realistically possible to recover known assets can be partially answered by searching all of the following sources EXCEPT: A. Barkruptcy filings B. Tax liens C. Judgments D. Griminal records III. Workplace Searches 11. The is the principal constitutional limitation on investigative searches and surveillances by law enforcement, public employers, and other govemment representatives. A. Fourth Amendment B. Fifth Amendment C. Soxth Amendment D. Seventh Amendment 12. When a government employer searches an employee's workspace, the search must satisfy which two of the following conditions in order to be constitutionaly valid? I. The search must be based on probable cause. II. The search must be reasonable in scope. III. The employer must obtain a warrant. IV. The search must be justified at its inception. A. I and II B. I and III C. I and N D. and N 13. ABC Corp., a private compary, intentionally searched the purse of one of its employees. Assume that the employee had a reasonable expectation of privacy in the purse, and that the search was conducted in such a manner as to be highly offensive to a reasonable person. Also assume that there was no state action involved in the search. Which of the following statements is true? A. The employee can sue ABC for violating her Fourth Amendiment rights. B. The employee can sue ABC for common law invasion of privacy. C. Both A and B are correct. D. The employee has no grounds to sue ABC; only public employers can be sued for invasion of privacy. 14. Which of the following is NOT true of reasonable expectations of privacy? A. The Fourth Amendment only applies to workplace searches where an employee has a reasonable expectation of privacy. B. The employee has to have an ownership interest in the area to have a reasonable expectation of privacy. C. If an employee has exclusive control over the area, that tends to show the employee had a reasonable expectation of privacy. D. A reasonable expectation of privacy can exist for a desk drawer, a file cabinet, a locker, or even an entire office, depending on the circumstances. 15. Public employer workplace searches for investigations of work-related misconduct are to be judged on a: A. Reasonableness standard B. Probable cause standard C. Plain view standard D. Predication standard 16. Which of the following are recommended methods by which employers can reduce their liability for invasion of privacy claims? A. Lowering employees' expectations of privacy in the workplace B. Conducting a workplace search only with the govemment's involvement C. Adopting a written policy providing that, to maintain the security of its operations, the company retains the right to access and search all work areas and personal belongings D. Both A and C are correct 27. Which of the following would be an appropriate excuse clause to include in a signed confession? A. "I didn't mean to do it." B. "I didn't mean to hurt aryone." C. "I didn't do it." D. "1 didn't think I was doing anything wrong." 28. Proxemics is a term used to describe: A. The environment of an interview B. The use of interpersonal space to convey meaning C. The subject's attitude D. The relative culpability of the subject 29. While taking notes during an interview, the interviewer should NOT: A. Take down verbatim as much of what the subject is saying as possible. B. Concentrate on recording specific nouns, pronouns, verbs, and qualifiers that the subject uses. C. Document the interviewer's own opinions and conclusions about the subject's guit. D. Maintain eye contact with the subject as much as possible during note taking. 30. In routine interview situations where the object is to gather information from neutral or corroborative witnesses, which of the following types of questions will generally NOT be used? A. Assessment B. Introductory C. Informal D. Closing 31. A volatile interview is one that has the potential to bring about strong emotional reactions in the respondent. Which of the following is NOT a method an investigator can use to control volatile interviews? A. Have two interviewers involved in the interview. B. Conduct volatile interviews on a surprise basis. C. Ask the order of questions out of sequence. D. Dim the lighting in the interview room. 32. In most people, lying produces stress. The human body wil attempt to relieve this stress through verbal and norverbal clues. A practiced interviewer will be able to draw information about the honesty of a subject's statements from their behavior. Which of the following is NOT considered a verbal clue to deception? A. Increasingly weaker denials B. Character testimony C. Comments regarding the interview D. A strong apparent concem regarding the accusations V. Legal Considerations in Interviews 33. Green is an at-wil employee of ABC Corporation, a private company. During an investigation of intemal fraud, Green is interviewed by intemal investigators about missing funds. If there is no state action by ABC Corporation, which of the following statements is correct? A. Green is entitled to have an attomey present at the interview, but the investigators do not have to give him Miranda wamings. B. The investigators must give Mrranda warnings to Green, but he is not entitled to have an attomey present during the interview. C. The investigators must give Mranda warnings to Green, and he is entitled to have an attomey present during the interview. D. The investigators are not required to give Miranda warnings to Green, and he is not entitled to have an attorney present during the interview. 34. Under which cause of action can an investigator be held liable for a TRUE statement made about a suspect? A. Defamation B. Public disclosure of private facts C. Both defamation and public disclosure of private facts D. Neither defamation nor public disclosure of private facts 35. As a result of a ruling by the National Labor Relations Board, an employer's request for confidentiality regarding an intemal investigation must be accompanied by which of the following? A. Mranda warning B. Self-evaluation privilege C. Compelling need for secrecy D. The advice of counsel A. INMESTIGATIONS I. Preparing for an Irvestigetion 1. Fraud examination methodology is constructed so that all cases are handed in a uniform fashion. In general, what is the order in which an investigator should interview witnesses and suspects (from first to last)? I. The accused II. Neutral third-party witnesses III. Suspected coconspirators N. Corroborative witnesses A. I, II, III, N B. I, N, II, I C. N,I,a,I D. N,III,I, 2. According to the Fraud Examiners Manual, intemal auditors are often used to do all of the following EXCEPT: A. Provide assistance in technical areas of the company's operations. B. Review internal documentary evidence. C. Evaluate tips or complaints. D. Answer complex legal questions. 3. The totality of circumstances that would lead a reasonable, professionaly trained, and prudent individual to believe that a fraud has occurred, is occurring, or will occur is known as: A. Declaration B. Fraud theory approach C. Predication D. Probable cause 4. Serior management and corporate counsel who fail to investigate certain instances of aleged misconduct and fall to establish appropriate procedures for limiting the prohibited conduct might be held liable for violating which of the following? A. Foreign Corrupt Practices Act B. Generaly accepted accounting principles C. Private Securities Litigation Act D. U.S. Bribery Act 5. While conducting a fraud investigation, it is NOT recommended that internal auditors: A. Assess the probable level and extent of complicity within the organization. B. Design procedural methodology to identify the perpetrators, the extent of the fraud, the techniques used, and the cause of the fraud. C. Call law enforcement in at the beginning of the investigation. D. Be aware of the rights of the aleged perpetrators and personnel within the scope of the investigation. 6. When choosing an investigation team, it is critical to identify those who can legtimately assist in the irvestigation and those who have a legitimate interest in the outcome of the irmestigation. Why should these people be included on the investigation team and all other personnel be segregated? A. The fewer people involved in the investigation, the greater the chance that one of them might leak confidential information about the investigation. B. The individuals involved in the investigation team might have to testify in legal proceedings. C. A smaller team increases the risk of irvasion of privacy claims. D. A smaler team increases the risk of defamation claims. II. Collecting Documentary EVidence 7. The Freedom of Information Act (FOlprovides for public acoess to which type of information? A. Trust records B. Divorce or probate suits C. Telephone records D. Bark records 8. All of the following information can be obtained through a UOC filings search EXCEPT: A. Name of the debtor or joint debtors B. Name of the financial lender C. Amount of debt incurred by the debtor D. Type of collateral pledged as security 9. One of the most powerful people locator tools is the: A. Department of Motor Vehicles B. Credit bureau header C. Last name search D. Bankruptcy fings 10. Generally, the question of whether it is realistically possible to recover known assets can be partially answered by searching all of the following sources EXCEPT: A. Barkruptcy filings B. Tax liens C. Judgments D. Griminal records III. Workplace Searches 11. The is the principal constitutional limitation on investigative searches and surveillances by law enforcement, public employers, and other govemment representatives. A. Fourth Amendment B. Fifth Amendment C. Soxth Amendment D. Seventh Amendment 12. When a government employer searches an employee's workspace, the search must satisfy which two of the following conditions in order to be constitutionaly valid? I. The search must be based on probable cause. II. The search must be reasonable in scope. III. The employer must obtain a warrant. IV. The search must be justified at its inception. A. I and II B. I and III C. I and N D. and N 13. ABC Corp., a private compary, intentionally searched the purse of one of its employees. Assume that the employee had a reasonable expectation of privacy in the purse, and that the search was conducted in such a manner as to be highly offensive to a reasonable person. Also assume that there was no state action involved in the search. Which of the following statements is true? A. The employee can sue ABC for violating her Fourth Amendiment rights. B. The employee can sue ABC for common law invasion of privacy. C. Both A and B are correct. D. The employee has no grounds to sue ABC; only public employers can be sued for invasion of privacy. 14. Which of the following is NOT true of reasonable expectations of privacy? A. The Fourth Amendment only applies to workplace searches where an employee has a reasonable expectation of privacy. B. The employee has to have an ownership interest in the area to have a reasonable expectation of privacy. C. If an employee has exclusive control over the area, that tends to show the employee had a reasonable expectation of privacy. D. A reasonable expectation of privacy can exist for a desk drawer, a file cabinet, a locker, or even an entire office, depending on the circumstances. 15. Public employer workplace searches for investigations of work-related misconduct are to be judged on a: A. Reasonableness standard B. Probable cause standard C. Plain view standard D. Predication standard 16. Which of the following are recommended methods by which employers can reduce their liability for invasion of privacy claims? A. Lowering employees' expectations of privacy in the workplace B. Conducting a workplace search only with the govemment's involvement C. Adopting a written policy providing that, to maintain the security of its operations, the company retains the right to access and search all work areas and personal belongings D. Both A and C are correct 27. Which of the following would be an appropriate excuse clause to include in a signed confession? A. "I didn't mean to do it." B. "I didn't mean to hurt aryone." C. "I didn't do it." D. "1 didn't think I was doing anything wrong." 28. Proxemics is a term used to describe: A. The environment of an interview B. The use of interpersonal space to convey meaning C. The subject's attitude D. The relative culpability of the subject 29. While taking notes during an interview, the interviewer should NOT: A. Take down verbatim as much of what the subject is saying as possible. B. Concentrate on recording specific nouns, pronouns, verbs, and qualifiers that the subject uses. C. Document the interviewer's own opinions and conclusions about the subject's guit. D. Maintain eye contact with the subject as much as possible during note taking. 30. In routine interview situations where the object is to gather information from neutral or corroborative witnesses, which of the following types of questions will generally NOT be used? A. Assessment B. Introductory C. Informal D. Closing 31. A volatile interview is one that has the potential to bring about strong emotional reactions in the respondent. Which of the following is NOT a method an investigator can use to control volatile interviews? A. Have two interviewers involved in the interview. B. Conduct volatile interviews on a surprise basis. C. Ask the order of questions out of sequence. D. Dim the lighting in the interview room. 32. In most people, lying produces stress. The human body wil attempt to relieve this stress through verbal and norverbal clues. A practiced interviewer will be able to draw information about the honesty of a subject's statements from their behavior. Which of the following is NOT considered a verbal clue to deception? A. Increasingly weaker denials B. Character testimony C. Comments regarding the interview D. A strong apparent concem regarding the accusations V. Legal Considerations in Interviews 33. Green is an at-wil employee of ABC Corporation, a private company. During an investigation of intemal fraud, Green is interviewed by intemal investigators about missing funds. If there is no state action by ABC Corporation, which of the following statements is correct? A. Green is entitled to have an attomey present at the interview, but the investigators do not have to give him Miranda wamings. B. The investigators must give Mrranda warnings to Green, but he is not entitled to have an attomey present during the interview. C. The investigators must give Mranda warnings to Green, and he is entitled to have an attomey present during the interview. D. The investigators are not required to give Miranda warnings to Green, and he is not entitled to have an attorney present during the interview. 34. Under which cause of action can an investigator be held liable for a TRUE statement made about a suspect? A. Defamation B. Public disclosure of private facts C. Both defamation and public disclosure of private facts D. Neither defamation nor public disclosure of private facts 35. As a result of a ruling by the National Labor Relations Board, an employer's request for confidentiality regarding an intemal investigation must be accompanied by which of the following? A. Mranda warning B. Self-evaluation privilege C. Compelling need for secrecy D. The advice of counsel A. INMESTIGATIONS I. Preparing for an Irvestigetion 1. Fraud examination methodology is constructed so that all cases are handed in a uniform fashion. In general, what is the order in which an investigator should interview witnesses and suspects (from first to last)? I. The accused II. Neutral third-party witnesses III. Suspected coconspirators N. Corroborative witnesses A. I, II, III, N B. I, N, II, I C. N,I,a,I D. N,III,I, 2. According to the Fraud Examiners Manual, intemal auditors are often used to do all of the following EXCEPT: A. Provide assistance in technical areas of the company's operations. B. Review internal documentary evidence. C. Evaluate tips or complaints. D. Answer complex legal questions. 3. The totality of circumstances that would lead a reasonable, professionaly trained, and prudent individual to believe that a fraud has occurred, is occurring, or will occur is known as: A. Declaration B. Fraud theory approach C. Predication D. Probable cause 4. Serior management and corporate counsel who fail to investigate certain instances of aleged misconduct and fall to establish appropriate procedures for limiting the prohibited conduct might be held liable for violating which of the following? A. Foreign Corrupt Practices Act B. Generaly accepted accounting principles C. Private Securities Litigation Act D. U.S. Bribery Act 5. While conducting a fraud investigation, it is NOT recommended that internal auditors: A. Assess the probable level and extent of complicity within the organization. B. Design procedural methodology to identify the perpetrators, the extent of the fraud, the techniques used, and the cause of the fraud. C. Call law enforcement in at the beginning of the investigation. D. Be aware of the rights of the aleged perpetrators and personnel within the scope of the investigation. 6. When choosing an investigation team, it is critical to identify those who can legtimately assist in the irvestigation and those who have a legitimate interest in the outcome of the irmestigation. Why should these people be included on the investigation team and all other personnel be segregated? A. The fewer people involved in the investigation, the greater the chance that one of them might leak confidential information about the investigation. B. The individuals involved in the investigation team might have to testify in legal proceedings. C. A smaller team increases the risk of irvasion of privacy claims. D. A smaler team increases the risk of defamation claims. II. Collecting Documentary EVidence 7. The Freedom of Information Act (FOlprovides for public acoess to which type of information? A. Trust records B. Divorce or probate suits C. Telephone records D. Bark records 8. All of the following information can be obtained through a UOC filings search EXCEPT: A. Name of the debtor or joint debtors B. Name of the financial lender C. Amount of debt incurred by the debtor D. Type of collateral pledged as security