02 Analysing Evidence Flashcards
(17 cards)
When a fraud examiner identifies suspicious indented writings on a pad of paper, the fraud examiner might be able to discern the text of the indentations by shining a bright-beam light at an oblique angle across the writing to reveal the shadows of the indented text.
A. True
B. False
A. True
Indented writing is the impression a writing instrument leaves on sheets
Indented writing is the impression a writing instrument leaves on sheets of paper below the sheet that contains the original writing. Fraud examiners should be alert for the presence of incriminating indented writings or the absence of logical indentations, both of which can be valuable in proving fraud.
Some indented writings can be seen by employing an oblique-lighting method. In this method, the fraud examiner takes the document into an area with subdued overhead lighting, places the document on a flat surface, and shines a bright beam of light—from a small-beam flashlight or small high-intensity lamp—across the document at a low oblique angle or parallel to the surface. Because shadows in the indentations will only show at right angles to the beam of light, it is necessary to move the light around and note the changing shadows as they form the text of the indentations.
The proper method for developing latent fingerprints that have been absorbed into porous materials, such as paper, is to dust them with fingerprint powder.
A. True
B. False
B. False
Fraud examiners should never try to develop latent fingerprints that have been absorbed into paper or other porous materials by dusting with fingerprint powder or any other means. Such efforts will not only be unsuccessful, but they will prevent additional examinations. Instead, fraud examiners should preserve evidentiary documents that contain latent fingerprints by placing them into labeled protective containers, such as sealable, acid-free paper envelopes. Also, fraud examiners should label the item’s container with their initials, the current date, where the document was obtained, and an identifying exhibit number (if any).
Experts use various methods to examine fingerprints on porous surfaces, including iodine fuming and brushing or spraying silver nitrate solution or ninhydrin spray, which reacts with the body chemicals and other substances in the latent prints that have soaked into the absorbent surface. Some of these methods will permanently discolor a document.
Black, a Certified Fraud Examiner, has obtained an oral confession from Green, a fraud suspect. Black wants to examine Green’s bank accounts. Which of the following would be the LEAST effective way to obtain permission to examine Green’s bank records?
A. Obtain a court order.
B. Obtain Green’s oral consent.
C. Obtain a subpoena.
D. Obtain Green’s written consent.
B. Obtain Green’s oral consent.
Documentary evidence can be obtained in a number of ways. The preferred method is to obtain evidence by consent, if both parties agree. In some cases, consent can be oral, but when information is obtained from possible adverse witnesses or the target of the examination, it is recommended that the consent be in writing.
Additionally, certain types of records can be obtained by consent only if the subject of the records consents in writing. Accessing a subject’s bank records from financial institutions, for instance, generally requires written consent. If no consent is given and evidence is held by other parties or in uncontrolled locations, specific legal action might be required. Most often, the legal process used takes the form of a subpoena or other court order to produce the documents and records (including electronic records). Other forms of court orders can be used to obtain witness evidence and statements.
The main goal of adequately documenting the chain of custody of an item of evidence is to prevent an opposing party in litigation from seizing the evidence.
A. True
B. False
B. False
From the moment evidence is received, its chain of custody must be maintained for it to be accepted by the court. The chain of custody is both a process and a document that memorializes who has had possession of an object and what they have done with it. Essentially, the chain of custody is a recordkeeping procedure similar to physical inventory procedures.
Establishing the chain of custody for a document establishes authenticity (i.e., the document is in fact what the party offering the document says it is), but it also ensures that evidence has not been altered or changed from the time it was collected through production in court.
In general, to establish the chain of custody, fraud examiners must make a record of when they receive an item or when it leaves their care, custody, or control. This is best handled by a memorandum with the custodian of the records when the evidence is received.
A fraud examiner needs to protect an evidentiary document with a latent fingerprint on it by placing it into a protective container. Which of the following should the fraud examiner include on the container’s label?
A. The fraud examiner’s initials
B. The date the item was placed in the container
C. The location where the document was obtained
D. All of the above
D. All of the above
Fraud examiners should preserve evidentiary documents that contain latent fingerprints by placing them into labeled protective containers, such as sealable, acid-free paper envelopes. To avoid smudging and contamination of the fingerprints, fraud examiners should wear protective gloves or carefully use tweezers when handling latent fingerprint evidence. Also, fraud examiners should label the item’s container with their initials, the current date, where the document was obtained, and an identifying exhibit number (if any).
Which of the following methods can be used to obtain documentary evidence?
A. Written consent
B. Subpoena
C. Oral consent
D. All of the above
D. All of the above
Documentary evidence can be obtained in a number of ways. The preferred method is to obtain evidence by consent, if both parties agree. In some cases, consent can be oral, but when information is obtained from possible adverse witnesses or the target of the examination, it is recommended that the consent be in writing.
Additionally, certain types of records can be obtained by consent only if the subject of the records consents in writing. Accessing a subject’s bank records from financial institutions, for instance, generally requires written consent. If no consent is given and evidence is held by other parties or in uncontrolled locations, specific legal action might be required. Most often, the legal process used takes the form of a subpoena or other court order to produce the documents and records (including electronic records). Other forms of court orders can be used to obtain witness evidence and statements.
While examining a document, a fraud examiner notices some very faint indented writings that might aid the examination if revealed. Which of the following would be the fraud examiner’s BEST course of action in analyzing these indented writings?
A. Performing the pencil scratching method
B. Performing the pencil shading method
C. Employing an expert to use an electrostatic detection apparatus
D. Applying a few drops of liquid and observing the liquid’s flow in the indentations
C. Employing an expert to use an electrostatic detection apparatus
Indented writing is the impression a writing instrument leaves on sheets of paper below the sheet that contains the original writing. Fraud examiners should be alert for the presence of incriminating indented writings or the absence of logical indentations, both of which can be valuable in proving fraud.
Fraud examiners should never attempt to develop indented writings by shading or scratching on the surface of a sheet of paper with a pencil. Although this method will reveal deep indentations, it will not reveal faint indentations and will prevent experts from analyzing them. Moreover, shading or scratching with a pencil might prevent other types of technical examinations. Likewise, fraud examiners should not apply any sort of liquid to an original document with indented writings, as doing so can damage the document’s ability to be analyzed.
Some indented writings can be seen by employing an oblique-lighting method. In this method, the fraud examiner takes the document into an area with subdued overhead lighting, places the document on a flat surface, and shines a bright beam of light—from a small-beam flashlight or small high-intensity lamp—across the document at a low oblique angle or parallel to the surface. Because shadows in the indentations will only show at right angles to the beam of light, it is necessary to move the light around and note the changing shadows as they form the text of the indentations.
Forensic document experts can perform advanced analysis to reveal messages in indented writings. They can use special lighting, photographic techniques, and sensitive instruments such as the electrostatic detection apparatus (ESDA) to detect and permanently record extremely faint indented writings that cannot be seen by the oblique-lighting method.
Javier, a forensic document examiner, determines that a document that purports to be the original writing of a famous author created fifty years ago is actually made from paper created no more than two years ago. Which of the following best describes the document?
A. An autoforgery
B. An indented writing
C. An anachronism
D. None of the above
C. An anachronism
Anachronisms are items located at a time when they could not have existed or occurred. Generally, exposing anachronisms in fraudulent historical documents requires the expertise of investigators, historical experts, scientific laboratories, and forensic document examiners. For example, accurate handwriting comparisons are rarely possible in the absence of adequate contemporaneous genuine writings of the purported author. In such cases, the experts examine the materials used to produce the documents, such as paper, ink, printing, adhesives and seals, bindings, and covers.
Often, to add credibility to forged documents, fraudsters backdate them. To determine whether contemporary documents were backdated, experts usually rely on diligent investigation and forensic document examiners.
Jones, a Certified Fraud Examiner and director of security for ABC Inc., obtained several boxes of documents while conducting a fraud examination. While inventorying the boxes and marking the evidence, Jones discovers a stock certificate he feels will be damaged if he marks it with his initials and the date. To maintain the proper chain of custody, Jones should:
A. Photograph and store the document.
B. Place the document in a marked envelope.
C. Mark the document regardless of the potential for damage.
D. Copy the document and initial and date the copy.
B. Place the document in a marked envelope.
To preserve the chain of custody, all evidence received should be marked so that it can later be identified. The most common way to mark the evidence is with the date and initials of the person obtaining the documents. If it is not practical to mark the document, or if marking it would damage the document, then it should be placed in an acid-free envelope that has been marked and sealed. To avoid creating indentations on the original document, do not write on the envelope after the document has been placed inside of it.
A fraud examiner discovers a paper document believed to include both the suspect’s indented writings and latent fingerprints. Which of the following is the BEST preservation method to use when collecting the document?
A. Put the document in a briefcase for analysis at a later point in time.
B. Place the document into a sealable, acid-free paper envelope while handling it with protective gloves.
C. Leave the document in place for a forensic document examiner to collect later.
D. Insert the document into a plastic bag using a pair of tweezers.
B. Place the document into a sealable, acid-free paper envelope while handling it with protective gloves.
Fraud examiners should preserve evidentiary documents that contain latent fingerprints by placing them into labeled protective containers, such as sealable, acid-free paper envelopes. Many types of paper and plastic containers can leach acids that damage originals over long periods of storage. While some plastic containers, such as those made of polyethylene or polypropylene, do not leach acid, they might cause harmful condensation to develop on the document. To avoid smudging and contamination of the fingerprints, fraud examiners should wear protective gloves or carefully use tweezers when handling latent fingerprint evidence. However, tweezers should not be used on documents if indented writing or photocopier examinations are planned.
Keeping track of the amount of paper generated is one of the biggest challenges in fraud cases. Which of the following is generally NOT a recommended practice when organizing evidence?
A. Make a key document file.
B. File all papers chronologically.
C. Segregate documents by witness.
D. Establish a database early.
B. File all papers chronologically.
Keeping track of the amount of paper generated is one of the biggest problems in fraud cases. Effective organization in complex cases includes the following:
* Segregating documents by either witness or transaction
* Making a key document file for easy access to the most relevant documents
* Establishing a database early in the case of a large amount of information
During the evidence-gathering stage of an investigation, organizing the documents chronologically is not recommended because it makes searching for relevant information more difficult. It is generally better to organize the documents by transaction or by party. The fraud examination report often follows a chronological timeline to give a narrative of a fraud scheme, in which case displaying key documents chronologically often makes sense. But in the organization phase, there usually is too much clutter for chronological organization to be effective.
A(n) ___________ is a writing, usually a signature, prepared by carefully copying or tracing a model example of another person’s writings.
A. Autoforgery
B. Indented writing
C. Anachronism
D. Simulated forgery
D. Simulated forgery
A simulated or traced forgery is a writing, usually a signature, prepared by carefully copying or tracing a model example of another person’s writings. Although identifiable as a forgery, a simulated, or traced signature, forgery often does not contain enough of the forger’s normal handwriting characteristics to permit expert identification.
When a fraud examiner identifies suspicious indented writings on a pad of paper, he should develop the writings by shading the pad’s surface with a pencil.
A. True
B. False
B. False
Indented writing is the impression a writing instrument leaves on sheets of paper below the sheet that contains the original writing. Fraud examiners should be alert for the presence of incriminating indented writings or the absence of logical indentations, both of which can be valuable in proving fraud.
Fraud examiners should never attempt to develop indented writings by shading or scratching on the surface of a sheet of paper with a pencil. Although this method will reveal deep indentations, it will not reveal faint indentations and will prevent experts from analyzing them. Moreover, shading or scratching with a pencil might prevent other types of technical examinations.
Which of the following is typically the most effective way to document chain of custody for a piece of evidence?
A. A memorandum with the custodian of the evidence when the evidence is received
B. Photographs of the evidence that clearly show what the evidence is and where it was originally found
C. A video recording of the fraud examiner explaining the process used to collect the evidence
D. An affidavit signed by the fraud examiner swearing to the evidence’s contents
A. A memorandum with the custodian of the evidence when the evidence is received
From the moment evidence is received, its chain of custody must be maintained for it to be accepted by the court. The chain of custody is both a process and a document that memorializes who has had possession of an object and what they have done with it. Essentially, the chain of custody is a recordkeeping procedure similar to physical inventory procedures.
In general, to establish the chain of custody, fraud examiners must make a record of when they receive an item or when it leaves their care, custody, or control. This is best handled by a memorandum with the custodian of the records when the evidence is received. The memorandum should state:
* What items were received
* When they were received
* From whom they were received
* Where they are maintained
When a fraud examiner is conducting an examination and is in the process of collecting documents, he should leave the original document where it was discovered and take only a copy of the document for examination.
A. True
B. False
B. False
Here are a few general rules regarding the collection of documents:
* Obtain original documents where feasible. Make working copies for review, and keep the originals segregated.
* Do not touch originals any more than necessary; they might later have to undergo forensic analysis.
* Maintain a dependable filing system for the documents. This is especially critical when large numbers of documents are obtained. Losing a key document is very problematic and can damage the case. Documents can be stamped sequentially for easy reference.
Harold, a fraud examiner, collects a computer hard drive as potential evidence in an investigation. He creates a memorandum to record the chain of custody and documents what item was received, when it was received, and from whom it was received. To meet the minimum standard for a chain of custody memorandum, what else would Harold need to include?
A. The name of the judge who signed the seizure order, if applicable
B. An explanation of why the item was collected
C. Where the item is maintained
D. The value of the noncash item received
C. Where the item is maintained
From the moment evidence is received, its chain of custody must be maintained for it to be accepted by the court. The chain of custody is both a process and a document that memorializes who has had possession of an object and what they have done with it. Essentially, the chain of custody is a recordkeeping procedure similar to physical inventory procedures.
In general, to establish the chain of custody, fraud examiners must make a record of when they receive an item or when it leaves their care, custody, or control. This is best handled by a memorandum with the custodian of the records when the evidence is received. The memorandum should state:
* What items were received
* When they were received
* From whom they were received
* Where they are maintained
The practice of forensic document examination is called graphology.
A. True
B. False
B. False
Graphology (or graphoanalysis) has been described as a pseudoscience in which its practitioners have the purported ability to determine a person’s character, moral traits (honesty/dishonesty, etc.), personality, and mental state based upon an analysis of that person’s handwriting. Graphology is often erroneously confused with forensic document examinations, especially by the media. Fraud examiners should be aware that some individuals who practice graphological analyses might have little academic and scientific training.
