Fraud Rules Survey

Fraud Rules

1. Section 1 of 7 - Vendor Information

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As a Certified Fraud Examiner, CIA or CPA, you know that there is always a possibility of fraud being present in your client's transaction data.

Given your experiences, consider the following situations. If the situation is present, is the possibility of fraud increased?

For each situation, give a ranking of 1 to 5, where 1 indicates that with the situation described there is little or no increased possibility of fraud and 5 indicates that with the situation described, fraud is almost certain.

For example:

The condition is: A vendor has no tax id.
To indicate that you believe there is some increased possibility of fraud where this situation is present, you check: 2

The condition is: A payment was made to a vendor which exceeded an approval limit
To indicate that you believe there is a very high increased possibility of fraud where this situation is present, you check: 4

If you have no opinion, please check: N/A

A comment box has been provided for each situation. Please provide any feedback or comments you believe would be useful for our research.

In advance, thank you for your time.

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1. Section 1 of 7 - Vendor Information

1. The vendor address has changed more than once

2. Payments were made within 5 days to a newly opened vendor account

3. Payment was made to a vendor with no email address or physical address

4. Payment was made to a vendor with only a P.O. Box as an address

5. No phone number listed on vendor record

6. Payment was made to a vendor not on the approved vendor list

7. Serial checks issued to same vendor

8. A vendor is listed with no account number

9. A vendor has no tax id

10. A new vendor was added since the previous period

11. A vendor address matches an employee address

12. A vendor tax id matches employee ssn or tax id

13. Vendors listed with similar sounding names (i.e. Peachtree Supply is a legitimate vendor but the bookkeeper creates a fictitious company called "Peechtree Supply")

14. Payment was made to a vendor which exceeded an approval limit

15. A vendor phone number matches an employee phone number

16. A payment was made to a vendor outside of business hours

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1. Section 1 of 7 - Vendor Information

1. The vendor address has changed more than once

2. Payments were made within 5 days to a newly opened vendor account

3. Payment was made to a vendor with no email address or physical address

4. Payment was made to a vendor with only a P.O. Box as an address

5. No phone number listed on vendor record

6. Payment was made to a vendor not on the approved vendor list

7. Serial checks issued to same vendor

8. A vendor is listed with no account number

9. A vendor has no tax id

10. A new vendor was added since the previous period

11. A vendor address matches an employee address

12. A vendor tax id matches employee ssn or tax id

13. Vendors listed with similar sounding names (i.e. Peachtree Supply is a legitimate vendor but the bookkeeper creates a fictitious company called "Peechtree Supply")

14. Payment was made to a vendor which exceeded an approval limit

15. A vendor phone number matches an employee phone number

16. A payment was made to a vendor outside of business hours

Fraud Rules
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