03 Interview Theory and Application

Question 1

All of the following are signs of deceptive behavior in an interview subject EXCEPT:
A. The subject appears casual and unconcerned.
B. The subject frequently uses subtle hand gestures when talking.
C. The subject plays with a pencil during direct questioning.
D. The subject slouches unnaturally in his chair.

Answer 1

B. The subject frequently uses subtle hand gestures when talking.

The dishonest person will often try to appear casual and unconcerned, will frequently adopt an unnatural slouching posture, and might manipulate objects, such as a pencil. He also might react to questions with nervous or false laughter or feeble attempts at humor.
Nonverbal indications of deception include:
* Full-body motions away from the interviewer
* Physical responses such as sweating or labored breathing
* Changes in the use of illustrators
* Interruptions to the flow of speech
* Hands over the mouth
* Manipulation of objects such as a pencil
* Body positioned in a fleeing position
* Crossing of the arms
* Unnatural or casual reaction to evidence

Question 2

Which of the following witnesses should be interviewed by surprise?
A. Volatile witnesses
B. Friendly witnesses
C. Neutral witnesses
D. None of the above

Answer 2

A. Volatile witnesses

Surprise should be employed in any interview that is considered potentially volatile. In many instances, the potentially volatile respondent is unaware that he is going to be questioned, and will therefore be unprepared. If the interview is not conducted by surprise, the interviewer runs the risk of the respondent not showing up, showing up with a witness, or being present with counsel. A target’s friends, relatives, and romantic interests often make for a difficult interview. They perceive that the fraud examiner is deliberately targeting someone close to them.

Question 3

Some of the most effective information-seeking questions are phrased as subtle commands.
A. True
B. False

Answer 3

A. True

During the information phase of the interview, the interviewer should endeavor to ask primarily open questions to stimulate conversation. Some of the best open questions are subtle commands.

Question 4

Which of the following is a category of informational interview questions?

A. Open
B. Leading
C. Closed
D. All of the above

Answer 4

D. All of the above

Once the proper format for the interview is set, the interviewer then turns to informational questions to gather unbiased factual information. Typically, the interviewer will ask three types of questions during the fact-gathering portion of an interview: open, closed, and leading.

Question 5

When conducting a routine interview, a fraud examiner should introduce himself by stating his name, company, and title.
A. True
B. False

Answer 5

B. False

A fraud examiner must introduce himself before the interview commences. Generally, an interviewer should indicate his name and company, but he should avoid stating his title if possible. In some instances, the interviewer cannot avoid giving his title, and in such cases, the interviewer should use a title that will not conjure up emotions or possible fear in the respondent’s mind.

Question 6

“Aren’t you responsible for reviewing and approving your employees’ timesheets?” is an example of which of the following types of questions?
A. Double-negative
B. Open
C. Assessment
D. Leading

Answer 6

D. Leading

Leading questions are questions that are framed in a way that evokes a specific reply from the respondent; they are questions that contain a suggested answer. Most commonly, leading questions are used to confirm facts already known. This type of question gives the subject much less room to maneuver than an open or closed question because these questions direct the subject to answer in a particular way. Leading questions imply that the interviewer already knows the answer, asking the subject to confirm what is already known. They can be particularly effective in interview situations.
Examples of leading questions include: “So there have been no changes in the operation since last year?”; “Are you still employed by the Westbrook Furnishings Corporation?”; “You got promoted, right?”; “Don’t you get your income from various sources?”

Question 7

Blue, a Certified Fraud Examiner, has just begun an interview of White. After introducing himself and establishing rapport with White, what should Blue do next?
A. Establish a transitional statement
B. Establish the interview theme
C. Start asking questions
D. None of the above

Answer 7

B. Establish the interview theme

After providing the introduction and establishing rapport, the interviewer must state the interview’s purpose in some way prior to the commencement of serious questioning. Otherwise, the respondent might be confused, threatened, or overly cautious. Stating the purpose is known as establishing the interview theme.

Question 8

The goal of establishing an interview theme should be to:
A. Declare that the interviewer suspects the respondent of wrongdoing.
B. Determine the respondent’s guilt or innocence.
C. Get the respondent to make a commitment to assist before commencing serious questioning.
D. Inform the respondent that an official inquiry is being conducted.

Answer 8

C. Get the respondent to make a commitment to assist before commencing serious questioning.

After providing the introduction and establishing rapport, the interviewer must state the interview’s purpose in some way prior to the commencement of serious questioning. Otherwise, the respondent might be confused, threatened, or overly cautious. Stating the purpose of the interview is known as establishing the interview theme.
The goal of the theme is to get the respondent to make a commitment to assist. Failure to get a commitment to assist from the respondent is one of the common mistakes made by interviewers. Obtaining a commitment to assist is a critical step in setting the tone for the interview. A commitment for assistance requires positive action on the part of the person being interviewed. Remaining silent or simply nodding the head in response to a request for assistance is generally not sufficient.

Question 9

As a general rule, the more intelligent the witness, the less reliable his verbal and nonverbal clues of deception will be.

A. True
B. False

Answer 9

B. False

Conclusions concerning behavior must be tempered by a number of factors. As a general rule, the more intelligent the respondent, the more reliable verbal and nonverbal clues will be.
A higher level of intelligence breeds more consistency in responses from which deviations are more clearly recognizable. People of lower intelligence tend to be more erratic in their behavior, and thus meaningful deviations are more difficult to discern.

Question 10

Patricia, a Certified Fraud Examiner, is interviewing a person whose truthfulness is unknown. Which of the following responses to questions posed by Patricia might indicate a deceptive answer?
A. “I just can’t seem to remember.”
B. “Why would I do that?”
C. “What was that again?”
D. All of the above

Answer 10

D. All of the above

Repeating the question is a means for a deceptive respondent to gain more time to think of what to say. The respondent might repeat the question verbatim or might frame the answer with a request to repeat the question (e.g., “What was that again?” or similar language). Conversely, a truthful subject usually does not have to contemplate an answer.
Dishonest people will frequently make excuses about things that look bad for them, such as: “I’m always nervous; don’t pay any attention to that.”
In some cases, the deceptive person will have a fine memory for insignificant events, but when it comes to the important facts, will say something like: “I just can’t seem to remember.”
Rather than deny the allegations outright, the dishonest person is more likely to answer with a question, such as: “Why would I do something like that?” As a variation, the deceptive person will sometimes question the interview procedure by asking: “Why are you tormenting me?”

Question 11

Which of the following is the facilitator of communication that refers to an individual’s need for the esteem of others?
A. Recognition
B. Altruism
C. Catharsis
D. None of the above

Answer 11

A. Recognition

All human beings need the recognition of others. Social interaction often depends on an exchange of social goods. People will “perform” in exchange for recognition and other social rewards. The need for recognition can be fulfilled by attention from people outside the individual’s social circle. The skillful and insightful interviewer takes advantage of every opportunity to give the respondent sincere recognition.

Question 12

During the introductory portion of an interview, the interviewer must state the interview’s purpose in a general way. This is known as:
A. Providing the introduction
B. Establishing rapport
C. Establishing the interview theme
D. None of the above

Answer 12

C. Establishing the interview theme

The interviewer must state the interview’s purpose in some way prior to the commencement of serious questioning. Otherwise, the respondent might be confused, threatened, or overly cautious. Stating the purpose of the interview is known as establishing the interview theme.

Question 13

Prior to conducting an interview, an investigator should prepare a thorough list of questions to ensure that the interview is well structured and that no predetermined lines of inquiry are forgotten.
A. True
B. False

Answer 13

B. False

Whenever possible, do not prepare a list of predetermined questions to ask the subject. The interview should flow freely. The interviewer might, however, want to develop a list of key points to cover during the interview.
Also, do not provide the subject with a list of predetermined questions. Allowing the respondent to read a written list of questions can give him an opportunity to fabricate his answer.

Question 14

Geoff, a Certified Fraud Examiner, is preparing for the interview phase of his investigation. When planning for interviews, Geoff should do which of the following?
A. Select an uncomfortable venue for each of the witnesses.
B. Prepare a detailed list of questions to ask each subject.
C. Go into each interview with an undefined objective to catch the subject off guard.
D. Review the case file to ensure he has not overlooked important information.

Answer 14

D. Review the case file to ensure he has not overlooked important information.

To effectively prepare for the interview phase of an investigation, the fraud examiner must first develop a plan. The fraud examiner should contemplate what the interview is intended to accomplish and state an objective. He should also review the case file to ensure that it does not contain important information that has been overlooked.
Prior to the commencement of the interviews, the fraud examiner should clearly determine what information might be gleaned from each of the potential witnesses, as well as the best strategy to go about obtaining it.
When possible, the interview should be held in a venue where the subject will feel comfortable and secure, although it is not recommended that the interview take place in a particularly familiar environment such as the interviewee’s home or office. The most appropriate member of the investigative team should be selected to conduct the interview based on the specifics of the interview.
Rather than devise an exhaustive list of questions to ask the subject, the fraud examiner should instead formulate a brief outline of key points to discuss during the interview. Additionally, an investigator should consider which evidentiary documents to bring to the interview, if any, as well as which documents he might seek from the subject.

Question 15

Fraud examiners should generally conduct interviews as close as possible to the event in question.
A. True
B. False

Answer 15

A. True

The interview should be conducted as close as possible to the event in question. With the passage of time, the memories of potential witnesses and respondents can become faulty, and critical details can be distorted or forgotten.

Question 16

Which of the following refers to the inhibitor to communication in which the respondent confuses the order or timeline of experiences?
A. Chronological confusion
B. Inferential confusion
C. Unconscious confusion
D. None of the above

Answer 16

A. Chronological confusion

Chronological confusion refers to the respondent’s tendency to confuse the order of experiences, and it commonly occurs in interviews seeking case history information. Chronological confusion can occur in two ways:
* Two or more events are correctly recalled, but the respondent is unsure of the sequence.
* Only one event is recalled, and it is incorrectly assumed to have been true at an earlier point.

Question 17

To stimulate conversation during the information phase of the interview, the interviewer should ask:
A. Open questions that call for a monologue response
B. Closed questions designed to keep the witness focused on the intended topic
C. Leading questions that aim for a particular response
D. Specific questions designed to obtain all of the information known by the witness

Answer 17

A. Open questions that call for a monologue response

To stimulate conversation during the information phase of the interview, the interviewer should endeavor to primarily ask open questions. Open questions are those worded in a way that makes it difficult for the respondent to answer “yes” or “no.” Also, the answer to an open question is not dependent on the question. The typical open question calls for a monologue response, and it can be answered in several different ways.

Question 18

When people engage in conversations, including interviews, they respond automatically with expressions that have little real meaning, such as “Good morning” and “How are you today?” These kinds of expressions are called:
A. Ritualistic
B. Therapeutic
C. Expressionistic
D. None of the above

Answer 18

A. Ritualistic

Some aspects of conversation are ritualistic; that is, they merely are a form of verbal behavior that has no real significance other than to provide security in interpersonal relations. Examples include “Good morning” and “How are you today?” In interviewing, we must learn to detect ritualistic answers by the respondent and avoid giving them ourselves. The interviewer must be aware of the danger of engaging in ritualistic conversation and then confusing the results with valid information.

Question 19

Closed questions are worded in a way that makes it difficult for the respondent to answer “yes” or “no.”
A. True
B. False

Answer 19

B. False

Closed questions are those that require a precise answer, such as “yes” or “no.” Closed questions also deal with specifics, such as amounts, dates, and times. As far as possible, closed questions should be avoided in the informational part of the interview. They are used extensively in closing questions. Examples of closed questions include “Have you ever had a key to the mailroom?” and “How many years have you been in charge of the department?”

Question 20

Which of the following is a purpose of closing questions in interview situations?
A. To obtain additional facts
B. To maintain goodwill
C. To reconfirm facts
D. All of the above

Answer 20

D. All of the above

Closing questions seek to close the interview positively. In routine interviews, closing questions serve the following purposes: reconfirm facts, gather additional facts, and conclude the interview in a manner required to maintain goodwill.

Question 21

In interviews, introductory questions are designed to meet which of the following objectives?
A. To establish the interview theme
B. To provide the introduction
C. To establish rapport
D. All of the above

Answer 21

D. All of the above

Introductory questions are designed to meet four objectives: provide the introduction, establish rapport, establish the interview theme, and observe the respondent’s reactions.

Question 22

Which of the following is the facilitator of communication that refers to the process by which a person obtains a release from unpleasant emotional tensions by talking about the source of these tensions?
A. Sympathy
B. Catharsis
C. Altruism
D. Recognition

Answer 22

B. Catharsis

Catharsis is the process by which a person obtains a release from unpleasant emotional tensions by talking about the source of these tensions. We often feel better by talking about something that upsets us. Although we all are familiar with the frequent necessity for catharsis in ourselves, we do not always perceive the same need in others. The need for sympathetic understanding and the need for catharsis are related, but they are not the same thing. The interviewer who does not have time to listen to what he considers inconsequential or egocentric talk will often find the respondent unwilling to share important consequences.

Question 23

There should be two interviewers involved in a potentially volatile interview.
A. True
B. False

Answer 23

A. True

There should be two interviewers involved in potentially volatile situations. Having two people present provides psychological strength for the interviewers. Additionally, the second person can serve as a witness in the event that an interview turns bad.

Question 24

Baker, a Certified Fraud Examiner, is interviewing Green. During the interview, Baker could tell Green was becoming uncomfortable at the sensitive nature of the questions. As a general proposition, what should Baker do next?
A. Drop the sensitive questions altogether.
B. Press on with the questions.
C. Explain that everything said during the interview will remain confidential.
D. Ask a nonsensitive question and return later to the sensitive questions.

Answer 24

D. Ask a nonsensitive question and return later to the sensitive questions.

Sensitive questions should be avoided until well into the interview. Even then, such questions should be asked only after careful deliberation and planning. If the respondent starts to become uncomfortable with the questioning, the interviewer should move into a different area and approach the sensitive question later from a different vantage point.

Question 25

Which of the following are questions that contain a suggested answer? A. Compound B. Leading C. Complex D. Closed

Answer 25

B. Leading ## Footnote Leading questions are questions that are framed in a way that evokes a specific reply from the respondent; they are questions that contain a suggested answer. Most commonly, leading questions are used to confirm facts already known. This type of question gives the subject much less room to maneuver than an open or closed question because these questions direct the subject to answer in a particular way. Leading questions imply that the interviewer already knows the answer, asking the subject to confirm what is already known. They can be particularly effective in interview situations. Examples of leading questions include: "So there have been no changes in the operation since last year?"; "Are you still employed by the Westbrook Furnishings Corporation?"; "You got promoted, right?"; "Don't you get your income from various sources?"

Question 26

Which of the following is an example of a nonverbal clue to deception? A. Placing the hands over the mouth B. Leaning toward the interviewer when questions are serious C. Displaying no interest in implicating evidence D. None of the above

Answer 26

A. Placing the hands over the mouth ## Footnote Nonverbal clues refer to clues that are illustrated by an individual’s body language. When asked sensitive or emotive questions, the dishonest person will sometimes change his posture completely, as if moving away from the interviewer. Frequently, dishonest people will cover the mouth with the hand or fingers when being deceptive. Also, in an attempt to show concern, the guilty person will display a keen interest in implicating evidence. Nonverbal indications of deception include: * Full-body motions away from the interviewer * Physical responses such as sweating or labored breathing * Changes in the use of illustrators * Interruptions to the flow of speech * Hands over the mouth * Manipulation of objects such as a pencil * Body positioned in a fleeing position * Crossing of the arms * Unnatural or casual reaction to evidence

Question 27

In interview situations, _____________ questions consist of a series of interrelated questions and frequently require more than one answer, such as “What are your duties here, and how long have you been employed?” A. Closed B. Reverse C. Complex D. None of the above

Answer 27

C. Complex ## Footnote Complex questions are those that consist of a series of interrelated questions. For example: "What are your duties here, and how long have you been employed?" Complex questions and statements are too complicated to be easily understood, cover more than one subject or topic, require more than one answer, or require a complicated answer. Therefore, fraud examiners should avoid asking complex questions.

Question 28

Allen, a Certified Fraud Examiner for Cole Inc., has conducted an examination into allegations of misconduct against Roberts, the company's controller. Allen plans to meet with Roberts to ask him about the allegations and to obtain a confession of wrongdoing. Allen's meeting with Roberts is referred to as a(n): A. Admission-seeking interview B. Confrontation C. Custodial interrogation D. None of the above

Answer 28

A. Admission-seeking interview ## Footnote Admission-seeking questions are designed to obtain a legal admission of wrongdoing, and admission-seeking interviews are reserved specifically for individuals whose culpability is reasonably certain; all other reasonable investigative steps have been completed and as much information as possible has been developed from other sources; and the interviewer can reasonably control the interview's place, time, and subject matter.

Question 29

The proper way an interviewer should start the calibration of a witness is through the use of: A. Questions designed to produce stress in the witness B. Noncritical questions on background information C. Questions designed to make the witness lie D. None of the above

Answer 29

B. Noncritical questions on background information ## Footnote The best way to calibrate (or norm) a witness is through the use of noncritical questions on background information, place of employment, and the like. If the witness displays general nervousness or other verbal and nonverbal clues during this phase of the questioning, subsequent indicators might not be reliable. The key is to observe changes in behavior when pertinent questions are asked. Examples of noncritical questions include “When did you start with the company?” and “How long is your commute?”

Question 30

An interview subject’s intelligence level rarely has an effect on an investigator’s ability to accurately discern behavioral clues during an interview. A. True B. False

Answer 30

B. False ## Footnote Conclusions concerning behavior must be tempered by a number of factors. The more intelligent the respondent, the more reliable verbal and nonverbal clues will be. A higher level of intelligence breeds more consistency in responses from which deviations are more clearly recognizable. People of lower intelligence tend to be more erratic in their behavior, and thus meaningful deviations are more difficult to discern.

Question 31

In interviews involving anxiety and uncertainty, individuals might perform displacement activities that reduce nervousness. These types of displacement activities are known as: A. Calibrating B. Illustrators C. Paralinguistics D. Manipulators

Answer 31

D. Manipulators ## Footnote Manipulators are motions like picking lint from clothing, playing with objects such as pencils, or holding one’s hands while talking. Manipulators are displacement activities that reduce nervousness.

Question 32

Which of the following is a verbal clue of deception when displayed by a respondent being interviewed? A. Oaths B. Change in voice pitch C. Comments regarding the interview D. All of the above

Answer 32

D. All of the above ## Footnote Verbal clues refer to how an individual conveys information vocally, including tone, pitch, volume, and rate of speech. Verbal clues are those relating to wordings, expressions, and responses to specific questions. Some examples of verbal clues include: * Changes in speech patterns (e.g., changes in voice pitch) * Comments regarding the interview * Oaths

Question 33

In interview situations, the process of observing behavior before asking critical questions is called: A. Calibrating B. Deception analysis C. Kinetic analysis D. None of the above

Answer 33

A. Calibrating ## Footnote Calibrating (or norming) is the process of observing behavior before critical questions are asked, as opposed to doing so during questioning. Calibrating should be a routine part of all interviews. People with truthful attitudes will answer questions one way; those with untruthful attitudes will generally answer them differently.

Question 34

In interview situations, it is sometimes recommended that the interviewer shake hands with the respondent. What is the purpose of this? A. To break down psychological barriers B. To establish the interview purpose C. Professional courtesy D. Social courtesy

Answer 34

A. To break down psychological barriers ## Footnote In some cultures, it is recommended to make physical contact with the person being interviewed by shaking hands. Making physical contact helps break down psychological barriers to communication. The interviewer should not invade the respondent's personal space, however, as this might make the person uncomfortable. The interviewer uses body language to create the impression of trust during the interview by gesturing openly with the arms, clasping hands together, and leaning forward in a manner to indicate interest. Rapport can be established through verbal techniques by using soft words, agreeing with the respondent, and avoiding negative terms.

Question 35

When asked a "yes" or "no" question, it is generally easier for an individual to answer "yes" than it is to answer "no." A. True B. False

Answer 35

A. True ## Footnote Throughout the interview process—from the introduction to the close—the interviewer should seek continual agreement by attempting to phrase the questions so that they can be answered “yes.” It is generally easier for people to reply in the affirmative than in the negative.

Question 36

If, during an interview, the respondent replies, "I don't remember," this type of response is usually a symptom of resistance. A. True B. False

Answer 36

B. False ## Footnote Usually, "I don't remember" is not an expression of resistance. Instead, it is an expression of modesty, tentativeness, or caution. One of the best ways to respond is to simply remain silent while the person is deliberating. He is saying, in effect, "Give me a moment to think." If this is not successful, the best way to counter is to pose an alternate, narrower question.

Question 37

The verbal and nonverbal clues to deception are produced primarily by stress. A. True B. False

Answer 37

A. True ## Footnote It is said that everyone lies and does so for one of two reasons: to receive rewards or to avoid punishment. In most people, lying produces stress. The human body will attempt to relieve this stress (even in practiced liars) through verbal and nonverbal clues. Conclusions concerning behavior must be tempered by a number of factors. The physical environment in which the interview is conducted can affect behavior. If the respondent is comfortable, he might exhibit fewer behavioral quirks. The more intelligent the respondent, the more reliable verbal and nonverbal clues will be. If the respondent is biased toward the interviewer, or vice versa, this will affect behavior. In detecting deception during an interview, the interviewer must remember that the interviewee or target might already be under stress because of the situation. While lying and deception do indeed cause stress, it is not necessarily true that all stress exhibited during an interview is caused by lying.

Question 38

Sullivan is conducting an interview with Marsha, a potential co-conspirator in a fraud scheme. Throughout the interview, Marsha continuously moves around in her chair and touches her hair, indicating that she is nervous and under stress. Based on these signs, Sullivan should conclude that Marsha is lying to him. A. True B. False

Answer 38

B. False ## Footnote In detecting deception during an interview, the interviewer must remember that the interviewee or target might already be under stress because of the situation. While lying and deception do indeed cause stress, it is not necessarily true that all stress exhibited during an interview is caused by lying.

Question 39

Which of the following is the most appropriate type of question for fraud examiners to ask during interviews to confirm facts that are already known? A. Leading B. Most witnesses can hide the obvious signs of deception C. No single behavior should be isolated and no single conclusion should be drawn from it

Answer 39

A. Leading ## Footnote Leading questions are questions that are framed in a way that evokes a specific reply from the respondent; they are questions that contain a suggested answer. Most commonly, leading questions are used to confirm facts already known. This type of question gives the subject much less room to maneuver than an open or closed question because these questions direct the subject to answer in a particular way. Leading questions imply that the interviewer already knows the answer, asking the subject to confirm what is already known. They can be particularly effective in interview situations. Examples of leading questions include: "So there have been no changes in the operation since last year?"; "Are you still employed by the Westbrook Furnishings Corporation?"; "You got promoted, right?"; "Don't you get your income from various sources?"

Question 40

Which type of question is used to establish the respondent’s credibility? A. Leading B. Open C. Assessment D. Closed

Answer 40

C. Assessment ## Footnote Assessment questions seek to establish the respondent's credibility. They are used only when the interviewer considers previous statements by the respondent to be inconsistent because of possible deception. When evaluating a subject’s response to an assessment question for credibility, it is critical to observe both verbal and nonverbal reactions.

Question 41

Which of the following is one of the five general types of questions that an interviewer can ask when conducting an interview? A. Introductory B. Admission-seeking C. Informational D. All of the above

Answer 41

D. All of the above ## Footnote When conducting an interview, there are five general types of questions an interviewer can ask: introductory, informational, assessment, closing, and admission-seeking.

Question 42

When evaluating a respondent's behavior for signs of deception during an interview, it is important that the interviewer remember that: A. The interviewer cannot legally accuse the witness of deception B. Most witnesses can hide the obvious signs of deception C. No single behavior should be isolated and no single conclusion should be drawn from it D. None of the above

Answer 42

C. No single behavior should be isolated and no single conclusion should be drawn from it ## Footnote Because it is easy to draw the wrong conclusions when evaluating signs of deception, no single behavior should be isolated and no single conclusion should be drawn from it. Behaviors should be considered together. For example, a subject’s failure to make eye contact during an interview is not necessarily proof of deception.

Question 43

Playing with a pencil while talking is an example of a displacement behavior for reducing nervousness that a subject might exhibit during an interview. A. True B. False

Answer 43

A. True ## Footnote Manipulators are motions like picking lint from clothing, playing with objects such as pencils, or holding one’s hands while talking. Manipulators are displacement activities that reduce nervousness.

Question 44

When questioning a witness as part of a fraud examination, the interviewer should usually ask the questions in what order? A. In reverse order B. In random order C. From closed questions to open questions D. From the general details to the specific details

Answer 44

D. From the general details to the specific details ## Footnote As a general rule, questioning should proceed from the general to the specific; that is, it is best to seek general information before seeking details. A variation to this approach is to “reach backward” with the questions by beginning with known information and working toward unknown areas. An efficient method of doing this is to recount the known information and then frame the next question as a logical continuation of the facts previously related.

Question 45

Jones, a Certified Fraud Examiner, is conducting an interview of Adams, an accounts receivable clerk for Ajax Inc. At the beginning of the interview, Jones asked Adams a series of nonthreatening questions to observe his reactions. Jones was: A. Calibrating the witness B. Assessing the witness’s knowledge base C. Determining the witness’s equilibrium D. Establishing an interview theme

Answer 45

A. Calibrating the witness ## Footnote Calibrating (or norming) is the process of observing behavior before critical questions are asked. Calibrating should be a routine part of all interviews. People with truthful attitudes will answer questions one way; those with untruthful attitudes will generally answer them differently. The best way to calibrate a witness is through the use of noncritical questions on background information, place of employment, and the like. If the witness displays general nervousness or other verbal and nonverbal clues during this phase of questioning, subsequent indicators might not be reliable. The key is to observe changes in behavior when pertinent questions are asked. Examples of noncritical questions include “When did you start with the company?” and “How long is your commute?”

Question 46

In interview situations, a(n)______________ is any social-psychological barrier that impedes the flow of relevant information by making the respondent unwilling or unable to provide information to the interviewer. A. Antecedent B. Facilitator C. Inhibitor D. Repressor

Answer 46

C. Inhibitor ## Footnote To be an effective interviewer, one must understand that certain matters inhibit communication, while others facilitate it. It is the interviewer's task to minimize inhibitors and maximize facilitators. An inhibitor is any social-psychological barrier that impedes the flow of relevant information by making the respondent unable or unwilling to provide the information to the interviewer.

Question 47

In interview situations, ______________ communication is the use of interpersonal space to convey meaning. A. Kinetic B. Proxemic C. Chronemic D. None of the above

Answer 47

D. None of the above ## Footnote Proxemic communication is the use of interpersonal space to convey meaning. The relationship between the interviewer and respondent is both a cause and effect of proxemic behavior. If the distance between the interviewer and the respondent is greater, there is more of a tendency for them to watch each other's eyes for clues to meaning. It is important to position the respondent's chair and the interviewer's chair at an acceptable distance. The conversational distance varies from one culture to another. In the Middle East, the distance is quite short; in Latin America, equals of the same sex carry on a conversation at a much closer distance than in North America. Often, as the subject matter of the interview changes, the interviewer can note the changes in the respondent's proxemic behavior. If the person is free to back away, he might do so when the topic becomes unpleasant or sensitive.

Question 48

The use of trickery and deceit to obtain a confession will always render the confession inadmissible in a court of law. A. True B. False

Answer 48

B. False ## Footnote The use of deception to gain information can sometimes be employed legally, but fraud examiners should check with counsel regarding the applicable laws and regulations before engaging in such activity. In cases where deception is legal, the theory is that information can be obtained by nearly any means, with the exception of force or threats. The interviewer, however, may not employ any deception likely to cause the innocent person to confess. The use of deception is generally not justified regarding promises of leniency or confidentiality, nor is it usually justified to obtain a monetary or business advantage.

Question 49

In interview situations, a(n)_______________ is an orderly, continuous account of an event or incident given by a respondent with minimal or no prompting. A. Unprompted script B. Informational response C. Free narrative D. None of the above

Answer 49

C. Free narrative ## Footnote The free narrative is an orderly, continuous account of an event or incident, given with minimal or no prompting. It is used to get a quick synopsis of what is known about a matter. But when seeking to obtain a free narrative, be sure to designate specifically the occurrence that you wish to discuss. Sometimes the respondent must be controlled to prevent unnecessary digression. Otherwise, avoid interrupting the respondent, and do not stop the narrative without good reason. The respondent will sometimes provide valuable clues when talking about things that are only partially related to the matter under inquiry.

Question 50

Able, a Certified Fraud Examiner, conducted an interview of Baker, the controller of the ABC Company. Able asked the following question: "Since you were here when the controls were developed, can you tell me how they came about?" This kind of question is called a ____________________. A. Controlled answer technique B. Double-negative question C. Complex question D. None of the above

Answer 50

A. Controlled answer technique ## Footnote Controlled answer techniques may be used to stimulate a desired answer or impression. These techniques direct the interview toward a specific point. For example, it might be possible to get a person to admit knowledge of a matter by phrasing the question: "I understand you were present when the internal controls were developed; would you please describe how they were constructed?" This phrasing provides a stronger incentive for the respondent to admit knowledge than does: "Were you present when the internal controls were developed?" To stimulate the person to agree to talk or provide information, you might use a prompt such as: "Because you are not involved in this matter, I am sure you would not mind discussing it with me." This provides a stronger incentive to cooperate than: "Do you have any objections to telling me what you know?" Avoid negative construction, such as: "I don't guess you would mind answering a few questions?"

Question 51

Which of the following will affect the verbal and nonverbal behaviors that provide clues about whether a person is lying? A. Cultural differences B. Drugs and alcohol C. Mental illness D. All of the above

Answer 51

D. All of the above ## Footnote Behavioral clues are harder to read when the respondent is mentally unstable or is under the influence of alcohol or drugs. That is, people who are mentally unstable or are under the influence of drugs will be unsuitable to interview, and the behavioral clues of such individuals are unreliable. Additionally, racial, ethnic, and economic factors should be carefully considered when observing a respondent’s behavior. Some cultures, for example, discourage looking directly at someone. Other cultures use certain body language that might be misinterpreted.

Question 52

During the introductory phase of the interview, the interviewer should avoid terms such as: A. Inquiry B. Review C. Investigation D. All of the above

Answer 52

C. Investigation ## Footnote Interviewers are encouraged to formulate their questions in a way that will not bring about a strong emotional reaction from the respondent, and emotive words of all types should be avoided during the introductory phase. Such words put people on the defensive, making them more reluctant to answer and cooperate. Words such asinvestigation and audit should be avoided. It is better to use words with a softer meaning, such as inquiry or examination.

Question 53

In the course of establishing rapport, it is important that an interviewer observe a subject’s reaction to normal conversation to establish a baseline against which answers to more sensitive questions can be compared. A. True B. False

Answer 53

A. True ## Footnote After the interviewer establishes rapport through normal conversation, he must observe the respondent’s reactions. This will serve as a baseline for observing behavior when questions that are more sensitive are asked. If the respondent’s verbal and nonverbal behaviors are inconsistent from one type of question to another, the interviewer should attempt to determine why.

Question 54

The terms induction and deduction are most often associated with which inhibitor to communication? A. Inferential confusion B. Chronological confusion C. Trauma D. None of the above

Answer 54

A. Inferential confusion ## Footnote Inferential confusion denotes confusion and inaccuracies resulting from errors of inference. These errors generally fall into two categories: induction or deduction.Induction occurs when the respondent is asked to convert concrete experiences into a higher level of generalization. Deduction occurs when the respondent is asked to give concrete examples of certain categories of experience.

Question 55

In interview situations, ______________ is defined as a "relation marked by harmony, conformity, accord, or affinity." A. Active listening B. Calibration C. Rapport D. Norming

Answer 55

C. Rapport ## Footnote Merriam-Webster's Dictionary defines rapport as a "relation marked by harmony, conformity, accord, or affinity." In other words, there must be some common ground established before questioning begins. This is usually accomplished by the interviewer spending a few minutes engaging the respondent in casual conversation. For example, the interviewer might pay the respondent a compliment, make a joke, or ask a friendly question. This aspect, however, should not be overdone, as most people are aware that the interviewer is there for a meaningful purpose.

Question 56

Mario, a fraud investigator, has arrived unannounced at Johnson’s office to conduct an interview. When Mario requests that Johnson take some time to talk about some issues he’s looking into, Johnson replies that he’s too busy. How should Mario handle this situation? A. Emphasize that the interview will be short B. Stress that the interview will not be difficult C. Point out that he is already there D. Any of the above

Answer 56

D. Any of the above ## Footnote When the interviewer contacts the respondent without a previous appointment, there is a possibility that the respondent will be too busy at the moment to cooperate. "I'm too busy" is also used as an excuse for the real source of the person's resistance, which might be lethargy, ego threat, or dislike of talking to strangers. These situations can be diffused by the interviewer stressing that: * The interview will be short. * The interviewer is already there. * The project is important. * The interview will not be difficult. * The interviewer needs help.

Question 57

Which of the following is the facilitator of communication that refers to rewards that are not directly related to the interview experience but that cause the respondent to see the interview as a means to an end? A. Cathartic rewards B. Extrinsic rewards C. Sympathetic rewards D. Altruistic rewards

Answer 57

B. Extrinsic rewards ## Footnote Extrinsic rewards are rewards the interviewee receives that are not directly related to the interview experience, and they cause the respondent to see the interview as a means to an end. Extrinsic rewards for interviewees can include money, job advancement, and retention of privileges. What is irrelevant to the interviewer might not be to the respondent. A sensitive interviewer will be able to recognize what extrinsic rewards the respondent receives, if any, from being interviewed.

Question 58

Beta, a Certified Fraud Examiner, is conducting a routine interview of someone who does not know him. In such situations, it is usually best for Beta to omit his title when introducing himself. A. True B. False

Answer 58

A. True ## Footnote Beta must introduce himself before the interview commences. Generally, an interviewer should indicate his name and company, but he should avoid stating his title if possible. In some instances, the interviewer cannot avoid giving his title, and in such cases, the interviewer should use a title that will not conjure up emotions or possible fear in the respondent’s mind.

Question 59

In the context of an interview with a fraud suspect, which of the following is a nonverbal indication of deception? A. The suspect manipulates objects or uses excessive illustrators when responding to questions B. The suspect leans away from the interviewer when asked a tough question C. The suspect is facing the interviewer while his hips and legs are shifted toward the door D. All of the above

Answer 59

D. All of the above ## Footnote Nonverbal clues refer to clues that are illustrated by an individual’s body language. When asked sensitive or emotive questions, the dishonest person will sometimes change his posture completely, as if moving away from the interviewer. He also might manipulate objects, use excessive illustrators, and adopt a fleeing position. Nonverbal indications of deception include: * Full-body motions away from the interviewer * Physical responses such as sweating or labored breathing * Changes in the use of illustrators * Interruptions to the flow of speech * Hands over the mouth * Manipulation of objects such as a pencil * Body positioned in a fleeing position * Crossing of the arms * Unnatural or casual reaction to evidence

Question 60

In interview situations, certain social-psychological forces make the conversation easier to accomplish. These forces are known as: A. Alleviations B. Facilitators of communication C. Ego enhancers D. Inhibitors of communication

Answer 60

B. Facilitators of communication ## Footnote Facilitators of communication are those social-psychological forces that make conversations, including interviews, easier to accomplish. These facilitators require a basic understanding of what motivates people. The facilitators are: fulfilling expectations, recognition, altruistic appeals, sympathetic understanding, new experience, catharsis, need for meaning, and extrinsic rewards.

Question 61

Smith, a Certified Fraud Examiner for the XYZ Corp., is in the process of interviewing Alfred, a parts clerk, about a theft of inventory. Smith is unsure if Alfred is involved in the theft. In concluding the interview, Smith should: A. Tell Alfred that he could be considered a suspect in the theft and observe his reaction. B. Tell Alfred that there is not enough evidence to consider him a suspect and therefore he is free to go. C. Review the key points discussed during the interview to ensure he has understood everything Alfred has said. D. Avoid revisiting any previously discussed topics to prevent Alfred from knowing what Smith considers important.

Answer 61

C. Review the key points discussed during the interview to ensure he has understood everything Alfred has said. ## Footnote It is not unusual for the interviewer to have misunderstood or misinterpreted the respondent’s statements. Therefore, to ensure that the interviewer understood the information that the witness provided, he should review the key facts during the closing phase of the interview. However, the interviewer should not attempt to revisit all the information provided by the subject, only the facts that are most relevant.

Question 62

When conducting an investigation, it is often advantageous to administer interviews with two or more subjects simultaneously due to the likelihood that they will denounce each other. A. True B. False

Answer 62

B. False ## Footnote One of the basic rules of interviewing is to question only one person at a time. When two subjects are questioned simultaneously, the testimony of one respondent invariably influences the testimony of another. There are few absolute rules of interviewing, but this is one of them. Another basic rule is to conduct interviews under conditions of privacy. The interview is best conducted out of the sight and sound of friends, relatives, or fellow employees. People are very reluctant to furnish information within the hearing of others.

Question 63

It is recommended that any witnesses who are considered potentially volatile be interviewed without advance notice. A. True B. False

Answer 63

A. True ## Footnote Surprise should be employed in any interview that is considered potentially volatile. In many instances, the potentially volatile respondent is unaware that he is going to be questioned, and will therefore be unprepared. If the interview is not conducted by surprise, the interviewer runs the risk of the respondent not showing up, showing up with a witness, or being present with counsel. A target's friends, relatives, and romantic interests often make for a difficult interview. They perceive that the fraud examiner is deliberately targeting someone close to them.

Question 64

In interview situations, ___________ are questions that often suggest an answer opposite to the correct one. A. Double-negative B. Inverted C. Complex D. Reverse

Answer 64

A. Double-negative ## Footnote Double-negative questions are questions that have two forms of negation within a single clause. Double-negative questions, or statements containing double negatives, are confusing and often suggest an answer opposite to the correct one. Therefore, they should not be used. For example: "Didn't you suspect that something wasn't right?"

Question 65

When conducting interviews as part of a fraud examination, it is usually best to seek known information before seeking unknown information. A. True B. False

Answer 65

A. True ## Footnote As a general rule, questioning should proceed from the general to the specific; that is, it is best to seek general information before seeking specific details. A variation is to "reach backward" with the questions by beginning with known information and working toward unknown areas. An efficient method of doing this is to recount the known information and then frame the next question as a logical continuation of the facts previously related.

Question 66

Which of the following is NOT one of the designed purposes of asking introductory questions in interview situations? A. To give a detailed reason for the interview B. To get agreement from the respondent to cooperate C. To provide the introduction D. To establish rapport

Answer 66

A. To give a detailed reason for the interview ## Footnote Introductory questions are designed to meet four objectives: to provide an introduction, to establish rapport, to get the respondent to agree verbally to cooperate in the interview (i.e., establish the interview theme), and to observe the respondent’s reactions to questions.

Question 67

In most interviews, more than half of the respondent's communications with the interviewer are likely to be nonverbal. A. True B. False

Answer 67

A. True ## Footnote The interviewer must be skilled in interpreting the respondent’s reactions to questions. Social scientists say that more than half of the communication between individuals is unspoken. The interviewer must, therefore, observe systematically, though in a nondescript manner, the various responses the respondent gives during the course of the conversation. To observe the respondent’s reactions, the fraud examiner should move from comfortable to sensitive questions. That is, the interview process should begin by posing comfortable questions while establishing rapport. Asking comfortable questions will help the interviewer find some common ground on which to connect with the respondent.

Question 68

For purposes of evaluating deception, illustrators can be defined as: A. Expressions made with the face, the meanings of which are clearly understood B. Verbal statements that illustrate a point C. Motions made primarily with the hands to demonstrate a point D. None of the above

Answer 68

C. Motions made primarily with the hands to demonstrate a point ## Footnote Illustrators are motions made primarily with the hands that demonstrate points when talking. During nonthreatening questions, the respondent’s illustrators might occur at one rate, and during threatening questions, the respondent’s use of illustrators might increase or decrease.

Question 69

Which of the following is the facilitator of communication that refers to an individual’s need to identify with a higher value beyond immediate self-interest? A. Extrinsic rewards B. Altruism C. Catharsis D. None of the above

Answer 69

B. Altruism ## Footnote There seems to be a need for humans to identify with some higher value or cause beyond immediate self-interest. This might take the form of identification with the objectives of some larger group. Altruistic deeds usually increase self-esteem whether or not the deeds have been made public. This distinguishes altruism from publicity. Altruism is of major importance in motivating many respondents. Interviewers who understand the respondent's value system can use strategies and techniques that appeal to altruism.

Question 70

When planning for an interview, which of the following steps should be taken? A. Ensure that the interview is held in a venue where the subject will feel comfortable B. Prepare a brief list of key points to discuss during the interview C. Contemplate what the interview is intended to accomplish and state an objective D. All of the above

Answer 70

D. All of the above ## Footnote To effectively prepare for the interview phase of an investigation, the fraud examiner must first develop a plan. The fraud examiner should contemplate what the interview is intended to accomplish and state an objective. He should also review the case file to ensure that it does not contain important information that has been overlooked. Prior to the commencement of the interviews, the fraud examiner should clearly determine what information might be gleaned from each of the potential witnesses, as well as the best strategy to go about obtaining it. When possible, the interview should be held in a venue where the subject will feel comfortable and secure, although it is not recommended that the interview take place in a particularly familiar environment such as the interviewee’s home or office. The most appropriate member of the investigative team should be selected to conduct the interview based on the specifics of the interview. Rather than devise an exhaustive list of questions to ask the subject, the fraud examiner should instead formulate a brief outline of key points to discuss during the interview. Additionally, an investigator should consider which evidentiary documents to bring to the interview, if any, as well as which documents he might seek from the subject.

Question 71

Which of the following is NOT a recommended approach to dealing with a hostile or argumentative respondent during an interview? A. Make it difficult for the respondent to say “no” to any points raised. B. Attempt to reason with the respondent. C. Disarm the respondent by agreeing with his points whenever possible. D. Avoid showing any kind of reaction to the respondent’s hostile behavior.

Answer 71

B. Attempt to reason with the respondent. ## Footnote The interviewer will invariably encounter a few difficult people. There are five common-sense steps to take with such people: * Don't react. There are three natural reactions for an interviewer who is verbally assailed by the respondent: to strike back, to give in, or to terminate the interview. None of these tactics is satisfactory because none of these responses lead to a productive interview. * Disarm nonreceptive respondents. A common mistake interviewers make is to try to reason with an unreceptive person. To disarm the person, listen, acknowledge the point, and agree wherever possible. * In some situations, changing tactics to reduce hostility might be the only viable option. * Make it easy to say “yes” by agreeing with one of the respondent’s statements and go from there. * Make it hard for the respondent to say “no.”

Question 72

___________ questions are considered to be a less threatening form of questioning, and are therefore well suited for volatile interviews. A. Direct B. Hypothetical C. Leading D. All of the above

Answer 72

B. Hypothetical ## Footnote Hypothetical questions generally are considered to be less threatening and are therefore ideally suited for the potentially volatile interview. For example, suppose you are interviewing Mr. Smith regarding Mr. Jones. Rather than saying "Did Mr. Jones do it?" ask "Is there any reason why Mr. Jones would have done it?"

Question 73

A ______________ interview is one that has the potential to bring about strong emotional reactions in the respondent. A. Chronemic B. Volatile C. Evasive D. None of the above

Answer 73

B. Volatile ## Footnote A volatile interview is one that has the potential to bring about strong emotional reactions in the respondent. Typical volatile interviews involve close friends and relatives of a subject, co-conspirators, and similar individuals. The personality characteristics of those involved in the volatile interview vary. Some individuals are resentful of authority figures, such as fraud examiners and law enforcement officers, by nature. A target's friends, relatives, and romantic interests often make for a difficult interview. They perceive that the fraud examiner is deliberately targeting someone close to them.

Question 74

When a potentially deceptive interview respondent asks the interviewer to repeat a question or repeats the question himself, the respondent is usually just trying to make sure that he has fully understood the question being asked. A. True B. False

Answer 74

B. False ## Footnote Repeating the question is a means for a deceptive respondent to gain more time to think of what to say. The respondent might repeat the question verbatim, or might frame the answer with a request to repeat the question (e.g., “What was that again?” or similar language). Conversely, a truthful subject usually does not have to contemplate an answer.

Question 75

In interview situations, it is usually advisable to err on the side of taking too many notes rather than too few. A. True B. False

Answer 75

B. False ## Footnote Fraud examiners should take accurate, but not necessarily verbatim, notes during the interview. Do not try to write down all the information you are given during an interview, only the pertinent facts. Taking too many notes will make the interview process cumbersome, and it might inhibit the respondent. If, however, a quote is particularly relevant, try to write it down verbatim. Enclose all direct quotes in quotation marks. Furthermore, do not slow down the interview process for note-taking. Instead, write down key words or phrases, and then go back over the details at the end of the interview. In general, it is better to err on the side of taking too few notes rather than too many.

Question 76

Which of the following is a good practice for taking notes during an interview? A. Avoid making notes regarding opinions or impressions about a witness. B. Write down verbatim all responses given by the subject during the interview. C. Slow down the interview process if necessary to take accurate notes. D. Make any necessary additions to interview notes within several weeks of the interview.

Answer 76

A. Avoid making notes regarding opinions or impressions about a witness. ## Footnote When taking notes during an interview, fraud examiners should follow a few basic rules. First, they should take accurate, but not necessarily verbatim, notes during the interview. Taking too many notes will make the interview process cumbersome, and it might inhibit the respondent. Fraud examiners should also avoid slowing down the interview process for note-taking. Instead, they should write down key words or phrases and then go back over the details at the end of the interview. In general, it is better to err on the side of taking too few notes rather than too many. These notes should be expounded upon as soon as possible following the interview to ensure accuracy. Finally, fraud examiners should avoid making notes regarding their overall opinions or impressions of the subject. Such notes can cause credibility problems if they are later produced in court.

Question 77

In interviews, ______________ communication involves the use of volume, pitch, and voice quality to convey meaning. A. Paralinguistic B. Kinetic C. Proxemic D. Chronemic

Answer 77

A. Paralinguistic ## Footnote Paralinguistic communication involves the use of volume, pitch, and voice quality to convey meaning. One of the basic differences between written and verbal communication is that oral speech gives the full range of nonverbal accompaniment. For example, a "yes" answer might not mean complete agreement; it depends on the way in which the "yes" is said. The interviewer must learn to listen and observe changes in the nonverbal accompaniment and whether the verbal and nonverbal are harmoniously reinforcing or tend to give conflicting signals, as in cases where the respondent is trying to deceive the interviewer. Ten emotions have been studied by social scientists: anger, fear, happiness, jealousy, love, nervousness, pride, sadness, satisfaction, and sympathy. Some emotions, like anger and nervousness, can be more reliably identified than others.

Question 78

In interview situations, _______________ questions are those worded in a way that makes it difficult for the respondent to answer “yes” or “no.” A. Complex B. Monologue C. Open D. None of the above

Answer 78

C. Open ## Footnote Open questions are those worded in a way that makes it difficult for the respondent to answer “yes” or “no.” Also, the answer to an open question is not dependent on the question. The typical open question calls for a monologue response, and it can be answered in several different ways.

Question 79

To better prepare for the possibility that interview documents will be subpoenaed, fraud examiners should record their notes for each interview on a separate document. A. True B. False

Answer 79

A. True ## Footnote The interviewer will frequently need to take notes during the interview. Interviews without notes are limited in their value because they leave the results of the interview open to interpretation or dispute. When taking notes, fraud examiners should follow a few basic rules. First, the interview notes for each interview should be recorded on a separate document. This can be especially helpful if documents from a particular interview are subpoenaed. Second, take accurate, but not necessarily verbatim, notes during the interview. Do not try to write down all the information you are given during an interview, only the pertinent facts. Taking too many notes will make the interview process cumbersome, and it might inhibit the respondent. If, however, a quote is particularly relevant, try to write it down verbatim. Enclose all direct quotes in quotation marks. Third, do not slow down the interview process for note-taking. Instead, write down key words or phrases, and then go back over the details at the end of the interview. In general, it is better to err on the side of taking too few notes rather than too many.