TENTATIVE

Occ. Code 6643400

New York State Department of Civil Service

Classification Standard

BRIEF DESCRIPTION OF CLASS SERIES

            Positions in this title series are responsible for a variety of tasks associated with conducting criminal, civil, and internal affairs investigations involving prospective personnel seeking employment with the Department of Correctional Services (DOCS), current employees, and inmates.  Incumbents of these positions conduct investigations concerning the personal history of applicants for positions with DOCS; conduct audits of programs and policies as assigned; conduct criminal, civil, and internal investigations involving Department personnel and inmates; and provide security for Main Office, as needed.

            These positions are classified in the Employee Investigations Unit, Workers Compensation Investigation Unit, and Inspector Generals Unit at DOCS.  All incumbents at DOCS assist in the total care and confinement of inmates, sentenced to the custody of the Department and as such perform various duties and functions in conjunction with the overall operation of a facility and/or location to which they are assigned.

DISTINGUISHING CHARACTERISTICS

            CORRECTIONAL SERVICES EMPLOYEE INVESTIGATOR:  journey level; investigate potential and/or current employees of DOCS.

            SENIOR CORRECTIONAL SERVICES EMPLOYEE INVESTIGATOR:  first supervisory level; supervise and train a minimum of four Correctional Services Employee Investigators and/or Correction Officers; conduct the more complex investigations; and conduct and/or supervise field investigations involving criminal, civil, and internal affairs matters.

COORDINATOR CORRECTIONAL SERVICES EMPLOYEE INVESTIGATIONS:  management level; responsible for the coordination, direction, and management of all employee investigations conducted in the unit to which assigned at DOCS.  In addition, incumbents are responsible for establishing and implementing policies and procedures to be adhered to by unit staff and for establishing unit goals.

RELATED CLASSES

            Correction Officers are responsible for the custody and security as well as the safety and well-being of criminal offenders in State Correctional Facilities, Correction Camps, Shock Incarceration Correctional Facilities, Work Release Centers and Drug Treatment Centers.  Incumbents are also responsible for offenders requiring mental health services while confined within the State correctional system and those who require health care at hospitals or health care centers outside of Departmental facilities.

            Consumer Frauds Representatives mediate consumer complaints, perform field investigations and conduct consumer education and outreach programs.

            Law Department Investigators provide investigative support to Law Department attorneys preparatory to litigation either filed against the State and its employees, or by the State in the defense of the public interest.

            Motor Vehicle Investigators independently perform a variety of criminal investigations, field inspections, inventories of seized properties, odometer fraud, identity verification, fraudulent document detection, vehicle theft examinations and security evaluations.  Incumbents provide technical expertise and participate in joint operations with various federal, State, county and municipal law enforcement agencies for the purpose of combating auto theft and the production and/or use of fraudulent documents.

            Beverage Control Investigators conduct investigations to obtain information concerning non-compliance with the Alcoholic Beverage Control Law or Regulations by licensees or unlicensed operators.  They examine records of alcoholic beverage establishments, analyzing inventory, pricing and receipt data to ascertain compliance with disclosure and other requirements.

ILLUSTRATIVE DUTIES

CORRECTIONAL SERVICES EMPLOYEE INVESTIGATOR

Conduct investigations concerning the personal history of applicants for positions within DOCS.

• Create case folders for each candidate being screened.
• Prepare and send out requests for information to verify background information provided by applicants by contacting employer and character references, schools and colleges, courts, police agencies, and military authorities.
• Access computerized records of other State agencies to obtain information such as motor vehicle driving records.
• Conduct face-to-face interviews with candidates to review records, obtain additional information and records, and clarify or obtain explanations about matters of concern in the candidates personal history.
• Supervise the fingerprinting of candidates.
• Obtain additional information about candidates by conducting interviews and field investigations and contacting other agencies.
• Maintain quality control, tracking, and accountability on all Division of Criminal Justice (DCJS) and Federal Bureau of Investigations (FBI) fingerprints submitted on all new employees Statewide.
• Provide fingerprint training to facility ID officers.

Conduct criminal, civil, and internal affairs investigations involving Department personnel and inmates.

• Conduct preliminary inquiries regarding complaints from inmates, Department personnel, and civilians, including conducting fact-finding interviews with witnesses, co-workers, and others as necessary.
• Conduct on-site surveillance activities pertinent to the case under investigation.
• May act in an undercover capacity, performing undercover activities, as required by the nature of the case and the investigation.
• Work with facility administrators, Counsels Office staff, Labor Relations staff, Personnel staff, and law enforcement agencies to find evidence and develop cases.
• Act in a supporting capacity for the Attorney Generals Office, Counsels Office, Labor Relations, and Personnel as cases enter the prosecution/disciplinary stage.
• May serve subpoenas as required.
• Prepare detailed progress reports regarding the status of investigations and information obtained for review by supervisory personnel.
• Based upon evidence developed during the course of investigations, submit reports with recommendations for appropriate action.
• When necessary, appear as witness on behalf of the Department.
• Interview material witnesses for the purpose of obtaining sworn, written testimony to be submitted as evidence.
• Conduct additional investigative tasks, as assigned, during the hearing phase of cases.

Provide security for Main Office by responding if the alarm is sounded by the receptionist.

SENIOR CORRECTIONAL SERVICES EMPLOYEE INVESTIGATOR

May perform all of the same duties and functions as a Correctional Services Employee Investigator.

Supervise subordinate staff.

• Provide supervision, guidance, and oversight to subordinate staff, and intervene and resolve problems as necessary.
• Determine and oversee staff assignments. 
• Approve leave and track time and attendance.
• Review, monitor, and evaluate staff performance. 
• Complete performance evaluations.
• Identify training needs and arrange for provision of training.
• Manage and direct program activities by setting priorities and deadlines.

Supervise investigations concerning the personal history of applicants for positions within DOCS.

• Evaluate the performance of subordinate staff on an ongoing basis.
• Supervise the preparation of case folders.
• Supervise the evaluation of cases and status changes as they occur.
• Oversee the conduct of face-to-face interviews with the candidates and necessary follow-up as needed.
• Monitor investigative staff to verify that a timely review of questionable cases for completeness and accuracy is performed and a proposed course of action is presented.
• Perform a final audit and evaluation of subordinates cases to ensure compliance and completeness with office policy.
• Monitor investigative staffs interaction with candidates and the public in general.
• Interact with agencies within the New York State Criminal Justice System, as well as the Federal System, in exchanging essential information.
• Train subordinates to ensure that they utilize available resources; i.e., NYSPIN, PC Programs, fingerprinting, etc., effectively in order to complete the investigative process.
• Respond to candidate inquiries made by Main Office executive staff and facility executive team members.
• Maintain quality control, tracking, and accountability on all DCJS/FBI fingerprints submitted on all new employees Statewide.
• Provide fingerprint training to facility ID Officers.

Supervise and conduct audits of programs and policies promulgated by the Commissioner.

• Perform and supervise on-site analyses to determine if programs and policies have been properly implemented and carried out by the facilities of the Department.
• Perform and supervise on-site analyses to determine the extent and effectiveness of specific policies and programs.
• Prepare reports of audit findings for submission to Coordinator Correctional Services Employee Investigations.

Supervise and conduct criminal, civil, and internal affairs investigations involving Department personnel and inmates.

• Supervise and conduct preliminary inquiries regarding complaints from inmates, Department personnel, and civilians.
• Conduct and assist subordinate staff with conducting fact-finding interviews with witnesses, co-workers, and others as necessary.
• As necessary, supervise and/or conduct on-site surveillance activities pertinent to the case under investigation.
• Provide daily supervision, training, and orientation to Correctional Services Employee Investigators and/or Correction Officers as assigned.
• Provide direction to Correctional Services Employee Investigators and/or Correction Officers relative to their investigative responsibilities and monitor their performance, making recommendations concerning areas where improvement is needed.
• Interact with local, State, and federal criminal justice agencies in obtaining and exchanging essential information pertaining to cases.
• Train subordinate staff to ensure that they effectively utilize available technological resources in completing the investigative process.
• Evaluate performance of assigned Correctional Services Employee Investigators and/or Correction Officers.
• As necessary, develop recommendations to supervisory staff for the return of detached service staff to their permanent facility.

May investigate Workers Compensation claims filed by employees of DOCS.

• Perform all of the above duties and functions, but does so in accordance with Departmental and State Insurance Fund policy and procedures and the Workers Compensation Law.
• Handle all aspects of the investigations from preliminary inquiries up to, and including, assisting in the prosecution of alleged offenders and furnishing court testimony.
• Incumbents assigned to Workers Compensation claim investigations typically do not supervise subordinate staff, but must be available 24 hours per day for immediate dispatch for the purpose of initiating the investigation of a questionable work-related accident or illness.
• Examine and, if necessary, photograph accident scenes.
• Examine claimants personnel, timekeeping, and medical records as they relate to the Workers Compensation claim.
• Work, in concert with facility administrators, agency Counsels Office, Bureau of Labor Relations, Office of Personnel, State Insurance Fund, Attorney Generals Office and law enforcement agencies in the development of legal evidence.
• May assist in the arrest of alleged offenders or serve legal process.
• Prepare reports for the Coordinator Correctional Services Employee Investigations for presentation to the Deputy Commissioner.
• Submit periodic reports regarding the final disposition of those cases that have been adjudicated, including comments as to the reasons for the success or failure of each case.
• Review existing mechanisms for the control of Workers Compensation abuse to ensure that they are being carried out according to Departmental policy and the Workers Compensation Law.
• Visit assigned facilities periodically to review procedures to be followed in those cases where fraud or abuse is suspected.
• Work closely with Main Office Personnel during all phases of the investigative and prosecution/discipline stages of the case, ensuring consistency in the application of policy.
• Based on his/her field experience, suggest or develop new mechanisms or procedures to enhance the effectiveness of the Departments Workers Compensation Program as it relates to controlling abuse.

COORDINATOR CORRECTIONAL SERVICES EMPLOYEE INVESTIGATIONS

May perform all of the same duties and functions of a Senior Correctional Services Employee Investigator.

Provide direction and oversight of  Employee Investigations Unit.

• Establish and implement policies and procedures to be adhered to by unit staff.
• Establish unit priorities and goals.
• Ensure that subordinate staff effectively utilize available technological resources in completing the investigative process.

Coordinate the recruitment, hiring, and completion of detailed background investigations of all entry level security and specific civilian personnel for the Department, as well as criminal history inquiries for Office of Mental Health staff assigned to the Department, extra service personnel, and registered volunteers.

• Coordinate with executive and managerial staff to determine Departmental hiring needs in order to ensure that an adequate pool of fully screened candidates is available at all times.
• Coordinate the programming of a computer oriented list maintenance system.
• Coordinate the scheduling of candidate medical examinations and the receipt of examination results with the Director of Employee Health Services.
• Serve as liaison with Psychological Screening Unit relative to Correction Officer Trainee candidates.
• Establish unit workloads and timeframes for completion of background investigations.
• Coordinate the exchange of information on candidates with other law enforcement agencies.
• Supervise the use of and dissemination of data received over the New York State Police Information Network, ensuring that security is maintained at all times and that exact records of inquiries are maintained.
• Coordinate the receipt of data required for investigations through negotiations and personal contact with various federal, State, and local agencies.
• Review all case recommendations prepared by staff, maintaining final authority to disqualify or declare eligibility of candidates.
• Maintain quality control, tracking, and accountability on all DCJS/FBI fingerprints submitted on all new employees Statewide.
• Provide in-service training on fingerprinting to EIU and Personnel staff, as well as ID Officers in the field.

Administer the disqualifications and appeals processes for prospective candidates.

• Review and evaluate additional information submitted by a candidate at the preliminary appeal stage and issue a decision to sustain disqualification or approve the candidate for appointment, consulting with legal and executive staff as necessary.
• If a candidate pursues the appeal process, direct the preparation of a detailed case study and present the case to the Civil Service Commission.
• Ensure that all steps in the process, including notification of disqualification, appeal requests, case preparation, and case submittals are processed within an appropriate time frame.

Coordinate all investigations of employees.

• Assign specific staff based upon type and sensitivity of investigation.
• Establish parameters under which assigned staff must complete investigations.
• Coordinate mutual investigations with other agencies.

Process and maintain all data relative to notifications of employee arrests, active and former, when received via teletype, DCJS notification, or telephone.  Notify the Office of the Inspector General, the Bureau of Labor Relations, and the Bureau of Personnel.

Manage a unit charged with investigating abuse of Workers Compensation Leave by employees, developing evidence, and taking necessary prosecutorial and disciplinary action.

• Supervise and, in the most complex cases, participate in actual investigations of alleged fraud or other violations of law, rules, and regulations pertaining to claims for Workers Compensation benefits.
• Review information received from various sources and prioritize those investigations that will be undertaken.
• For highly complex investigations, develop the construct of the investigation and assign staff necessary roles.  In some cases, this may also involve the use of staff from outside police agencies.
• On an ongoing basis, evaluate investigative activities and results with authority to either continue or terminate the investigation.
• Work with independent prosecutors in the development of major cases.
• Work with Labor Relations staff, as appropriate, relative to disciplinary issues.
• Submit progress reports to the Deputy Commissioner on a continuing basis regarding the status of active investigations and periodic reports regarding the final disposition of those cases that have been adjudicated, including comments as to the reasons for the success or failure of major cases.
• Work with various internal divisions; i.e., Personnel, Labor Relations, and Counsels Office, in developing and/or improving management systems aimed at controlling Workers Compensation abuse.
• Based on the results of investigations conducted by subordinate staff, identify policy and procedure deficiencies that allow for such abuses to occur and recommend modifications as necessary.
• In concert with Counsels Office staff and often in cooperation with the State Insurance Fund, recommend changes in legislation that will improve the enforceability of Workers Compensation Law and reduce the potential for abuse.
• Provide ongoing training to subordinate staff relative to both the investigative process and ensuring that they effectively utilize available technological resources in completing the investigative process.

MINIMUM QUALIFICATIONS

            CORRECTIONAL SERVICES EMPLOYEE INVESTIGATOR

Open Competitive:  three years of investigative experience, at least one year of which must have been in the criminal justice field.  An Associates Degree may be substituted for one year of the general experience, or a Bachelors Degree for two years of the general experience.

            SENIOR CORRECTIONAL SERVICES EMPLOYEE INVESTIGATOR

Promotion:  one year of permanent service as a Correctional Services Employee Investigator.

Open-Competitive:  four years of investigative experience, at least two of which must have been in the criminal justice field.  An Associates Degree may be substituted for one year of the general experience, or a Bachelors Degree for two years of the general experience.

            COORDINATOR CORRECTIONAL SERVICES EMPLOYEE INVESTIGATIONS

Promotion:  one year of permanent service as a Senior Correctional Services Employee Investigator.

Open Competitive:  six years of investigative experience, at least three of which must have been in the criminal justice field.  Of this experience, one or more years must have been in a lead investigator/supervisory capacity.  An Associates Degree may be substituted for one year of the general experience, or a Bachelors Degree for two years of the general experience.

Date:  7/09

NOTE:  Classification Standards illustrate the nature, extent and scope of duties and responsibilities of the classes they describe.  Standards cannot and do not include all of the work that might be appropriately performed by a class.  The minimum qualifications above are those which were required for appointment at the time the Classification Standard was written.  Please contact the Division of Staffing Services for current information on minimum qualification requirements for appointment or examination.