SSP Legal & Ethical Compliance 5 — Questions and Answers
Question 1: In a criminal proceeding, the standard of proof required to obtain a conviction is:
- Preponderance of the evidence
- Clear and convincing evidence
- Beyond a reasonable doubt (Correct answer)
- Probable cause
Correct answer: Beyond a reasonable doubt
Criminal convictions require proof beyond a reasonable doubt, the highest standard in the legal system, to protect against wrongful convictions.
Question 2: A security manager instructs staff to search employee personal vehicles in the parking lot without consent or policy authority. This most likely violates:
- OSHA General Duty Clause
- Fourth Amendment protections against unreasonable searches (Correct answer)
- National Labor Relations Act
- Fair Labor Standards Act
Correct answer: Fourth Amendment protections against unreasonable searches
Unauthorized searches of personal property can violate Fourth Amendment protections and expose the organization to significant civil liability.
Question 3: Which act prohibits employers from using polygraph (lie detector) tests on most private-sector employees?
- Fair Credit Reporting Act
- National Labor Relations Act
- Employee Polygraph Protection Act (EPPA) (Correct answer)
- Privacy Act of 1974
Correct answer: Employee Polygraph Protection Act (EPPA)
The EPPA prohibits most private employers from requiring, requesting, suggesting, or causing employees or applicants to take polygraph tests.
Question 4: When a security practitioner is subpoenaed to testify about a confidential investigation, the appropriate action is to:
- Refuse to testify citing professional confidentiality
- Consult with organizational legal counsel before responding (Correct answer)
- Provide all information requested without restriction
- Destroy related records before the court date
Correct answer: Consult with organizational legal counsel before responding
A subpoena is a legal order requiring compliance, but legal counsel should be consulted to properly respond while protecting privileged information.
Question 5: The Sarbanes-Oxley Act (SOX) impacts corporate security practitioners primarily through requirements related to:
- Physical access control to retail locations
- Protection and integrity of financial records and audit trails (Correct answer)
- Employee health and safety programs
- International export controls
Correct answer: Protection and integrity of financial records and audit trails
SOX Section 802 requires companies to maintain accurate financial records and imposes criminal penalties for destruction or falsification, directly impacting records security.
Question 6: Which doctrine establishes that evidence obtained through illegal means may be inadmissible in criminal proceedings?
- Fruit of the poisonous tree doctrine (Correct answer)
- Chain of custody rule
- Best evidence rule
- Hearsay exclusion rule
Correct answer: Fruit of the poisonous tree doctrine
The fruit of the poisonous tree doctrine excludes evidence derived from an illegal search or seizure, making it inadmissible in court.
Question 7: A security professional discovers that a new company policy requires actions that conflict with the professional code of ethics. The best course of action is to:
- Comply with company policy since employment obligations supersede professional ethics
- Raise the conflict with management and, if unresolved, consult legal or ethics guidance (Correct answer)
- Immediately resign without attempting to address the issue internally
- Anonymously report the policy to a regulatory body without internal discussion
Correct answer: Raise the conflict with management and, if unresolved, consult legal or ethics guidance
Ethical conflicts should first be raised internally; if unresolved, consulting legal counsel or professional ethics boards ensures obligations are properly addressed.
SSP Legal & Ethical Compliance 5
In a criminal proceeding, the standard of proof required to obtain a conviction is: