Investigation Memo & Case File Flashcards
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Read the first 7 Investigation Memo & Case File flashcards as text
Which tabbing or indexing system is commonly recommended for organizing a physical fraud investigation case file?
Answer: A logical structure with sections for background, evidence, interviews, and legal referrals
Organizing a case file into logical sections (background, evidence, interviews, referrals) makes the file easy to navigate and present in legal proceedings.
When a fraud examiner receives a subpoena for records in the case file, the first action should be to:
Answer: Notify legal counsel and preserve all relevant documents without alteration
Upon receiving a subpoena, the examiner must notify legal counsel and implement a litigation hold to prevent spoliation of evidence.
A case file memo references surveillance footage captured on Day 5 of the investigation. The footage file is stored digitally. What must accompany it in the case file?
Answer: Metadata documentation and a hash value to verify the file has not been altered
Digital evidence integrity is verified through hash values (e.g., MD5 or SHA-256), which confirm the file has not been modified since collection.
In a fraud case file, a 'suspect profile' document typically includes which of the following?
Answer: Background information, role within the organization, and documented behavioral red flags
A suspect profile compiles factual background, organizational role, and documented red flags to provide context for the investigation.
Which of the following memo entries would be INAPPROPRIATE in a professionally maintained fraud case file?
Answer: 'Subject appears to be lying based on his nervous demeanor during the interview.'
Characterizing a subject's demeanor as evidence of lying is an unsupported subjective conclusion inappropriate for an objective investigation record.
What does a 'tickler' or 'follow-up' section in a case file serve?
Answer: It tracks pending investigative steps, outstanding requests, and deadlines
A tickler section ensures that open action items, pending document requests, and follow-up interviews are tracked and not overlooked.
Why is it important to document the date and time a memo is created, not merely the date it is finalized?
Answer: The creation timestamp can establish when the examiner first documented a finding, which may be critical in litigation
Creation timestamps establish the chronological record of when information was documented, which can be pivotal if the investigation's timeline is challenged.