Fraud Investigator Series

California State Personnel Board Specification

Series established May 4, 1993

Scope

This series specification describes three Fraud Investigator classifications used within the California State Auditor's Office. These classes are used for positions that are responsible for the administration of the California Whistleblower Protection Act. Incumbents in this series conduct, supervise, and manage investigations of improper governmental activities involving violations of State or federal law by State employees, as well as fraud, waste, and abuse in State government.

This classification series is available for use only at the California State Auditor's Office. Entry into this series is typically at the Auditor Evaluator II classification.

Definition of Series

Fraud Investigators within the California State Auditor's Office conduct investigations based on allegations of improper governmental activities. Positions in this series gather evidence, conduct interviews, draw sound conclusions, and write reports based on the results of these investigations. Investigations must be conducted confidentially and often address extremely sensitive matters or issues. Incumbents in this series function as expert investigators and are required to be knowledgeable on an expansive range of subject matter relating to State and federal laws, State government operations, and investigative techniques. Positions in this series direct assigned subordinate staff conducting investigations; assess case status and make recommendations about investigative strategy; provide information to law enforcement and other officials, as appropriate; provide advice, training, and assistance to subordinate staff; and review the final product to ensure quality and accuracy.

Entry Level

Entry into this series is typically at the Auditor Evaluator II classification.

Factors Affecting Position Allocation

Independence of actions and decisions; consequence of error; supervision received or exercised; complexity, variety, and sensitivity of assignments; and type of contacts.

Definition of Levels

Fraud Investigator I

This is the journeyperson level in the series. Under supervision, incumbents receive formal and on-the-job training to learn the full range of investigative work and techniques. The incumbents are assigned a wide variety of investigative complaints with varying complexity. With increased experience and knowledge incumbents, under general supervision, handle sensitive, complex, and diverse investigative complaints of improper governmental activities. Incumbents perform complaint intake, assess complaints, gather evidence, conduct interviews, draw defendable conclusions, and assist in writing reports based on the results of their investigations. In addition, incumbents prepare correspondence related to investigative work. Incumbents assist in program or policy development and interpretation; and may have independent responsibility to oversee portions of an investigation.

Fraud Investigator II

This is the advanced journeyperson level in the series. Under the direction of the Fraud Investigator III, incumbents conduct the most sensitive, complex, and diverse investigations of improper governmental activities. Incumbents demonstrate strong analytical abilities and a comprehensive understanding and appropriate application of a wide range of investigative techniques and strategies. The Fraud Investigator II, provides assistance to California State Auditor's Office staff in the development of policies and procedures; participates in the most difficult and/or confidential investigations; assists in planning, developing, and directing components of an investigative program; and writes and ensures accuracy of investigative audit reports and prepares highly sensitive correspondence. Incumbents provide advice to California State Auditor's Office management concerning all aspects of fraud investigations. Incumbents may occasionally act in a lead capacity, supervising the work of the Fraud Investigator I, and other subordinate staff.

Fraud Investigator III

This is the full supervisory/managerial and highest level in the series. Under the general direction of the Deputy State Auditor, incumbents are responsible for the California State Auditor's Office investigative unit function; supervise four to ten staff members; assign priorities and develop specific work plans and workload requirements; and assist in the development and administration of policies and procedures. Incumbents plan, develop, and direct the investigative program; manage highly complex investigative audits where the work is of the most critical and sensitive nature; perform unusually difficult, complex, and/or sensitive aspects of investigative audit work and/or review reports; ensure and hold ultimate responsibility for the accuracy and quality of supporting documents and investigative reports; oversee the daily operations of the investigative unit; recruit, select, train, and evaluate the work of staff assigned; and advise  staff and executive management on standards and current trends related to investigating waste, fraud, and abuse in State government.

Minimum Qualifications

All Levels:

Education: Equivalent to graduation from a four year accredited college or university. (Registration as a senior student in a recognized institution will admit applicants to the examination, but they must produce evidence of graduation or its equivalent before they can be considered eligible for appointment.)

Fraud Investigator I

Either I

Six months of experience in the California state service performing professional auditing at a level equivalent to an Auditor Evaluator II.

Or II

Experience: Three years of experience in investigative work. (Experience in the California state service applied toward this requirement must include at least six months at the level of responsibility equivalent to an Auditor Evaluator II.)

Fraud Investigator II

Either I

Two years of experience in the California state service performing the duties of a Fraud Investigator I.

Or II

Four years of increasingly responsible experience in investigative work. (Experience in the California state service applied toward this requirement must be performing the duties of a class at a level of responsibility equivalent to a Fraud Investigator I for a period of at least two years.)

Fraud Investigator III

Either I

One year of experience in the California state service performing the duties of a Fraud Investigator II.

Or II

Broad, extensive (more than five years), and increasingly responsible experience in performing professional auditing with at least three years experience in investigative work, one year of which must have been in a supervisory or administrative capacity. (Experience in the California state service applied toward this requirement must be performing the duties of a class at a level of responsibility equivalent to a Fraud Investigator II for a period of at least one year.)

Knowledge and Abilities

Fraud Investigator I

Knowledge of: Provisions of the California Whistleblower Protection Act; general auditing and investigative principles and techniques, practices, procedures, and terminology; State law relating to improper governmental activities, general laws, and regulations related to State fiscal, personnel, and administrative practices.

Ability to: Apply the applicable laws and regulations to specific cases; conduct a wide range of investigations applying appropriate investigate techniques; prepare effective and adequate evidence; analyze the records, accounts, and documents of State departments; communicate effectively; and analyze situations accurately and adopt an effective course of action.

Fraud Investigator II

Knowledge of: All of the above; and the organization and function of the Investigations division within the California State Auditor's Office; principles and techniques of personnel management and supervision; the California State Auditor's Office Equal Employment Opportunity Program objectives; and a supervisor's role in the Equal Employment Opportunity Program and the processes available to meet equal employment opportunity objectives.

Ability to: Apply the required knowledge; and plan, organize, and assist in directing complex investigations; analyze situations accurately and take effective action; prepare, review, and edit written investigative reports and correspondence; conduct conferences and interviews; understand how written laws and policies relate to the Investigations division; implement training programs for subordinate staff; develop the skills and abilities of subordinate staff; make sound decisions to accomplish California State Auditor's Office goals; and effectively contribute to the California State Auditor's Office equal employment opportunity objectives.

Fraud Investigator III

Knowledge of: All of the above; and techniques and methods involved in administering investigative programs and the implementation of training programs for investigative and other staff; group leadership techniques; program planning, development, and evaluation; principles and practices of project management and coordination; applications of organizational and management theory; and a manager's responsibility for promoting equal employment opportunity in hiring and employee development and promotion, and for maintaining a work environment that is free of discrimination and harassment.

Ability to: All of the above; and plan, organize, and manage the investigative efforts of the California State Auditor's Office; employ sound management principles; formally present information regarding the provisions of the California Whistleblower Protection Act to various groups; work effectively with top-level managers of State agencies and other organizations; establish and maintain project priorities; assess staff performance; and effectively promote equal employment opportunity in employment and maintain a work environment that is free of discrimination and harassment.

Special Requirements

All Levels:

Willingness to travel, work away from headquarters, and work long and irregular hours.

Additional Desirable Qualifications

Fraud Investigator II and Above

Possession of a valid certificate for Certified Fraud Examiner (CFE).

Class History