IISA, the sequence of implementing program activities and objectives is

accomplished more efficiently and effectively, and that this structure is,

therefore, the more desirable one.

Conclusions

That the implementation of the ECE program and achievement of program

goals and objectives are affected, in large part, by the organiza

tional relationship of the Specialist to the ECE unit, and by the acceptance of the role and function of the Specialist by the U.S.

Attorney; and

That where the Specialist is structured as an integral part of the

ECE unit, the program becomes a vital part of the OUSA, and program objectives are accomplished more efficiently and effectively.

Recommendation

That CRM, in establishing new ECE units, ensure that Specialists will

be organizationally and functionally structured into the OUSA as an

integral member of the ECE unit.

WHAT ATTRIBUTES OF AND ROLE FOR THE SPECIALIST IN HIS ECE REGION WILL BEST ENSURE THE EFFECTIVE AND EFFICIENT UTILIZATION OF CRM RESOURCES?

The Specialist's role requires him to interact with numerous persons on

various aspects of white-collar crime enforcement. Given an environment

receptive to the ECE program, he is the key to the success or failure of

the program in his district. Therefore, the careful and considered selection

of the Specialist can be critical to the ultimate success of the program.

From the study team's discussions with CRM employees, the following attributes were found to be important or beneficial to the selection of the Specialist:

and hopefully, in fraud and public corruption;
diplomacy, an ability to get along with people, to develop their

interest and cooperative participation in the program;

an ability to organize and an understanding of management;

a knowledge of the law and available legal procedures in white-collar crime, and a knowledge of the district to which he is assigned; and

Although the study team did not review the Specialists' backgrounds and expertise in any depth, in general, they appeared to be well qualified to discharge their program responsibilities. However, there is the potential for future difficulties in program progress because certain functions of the

Specialist's role have not been well defined.

These functions include the

Specialist's role in:

the selection, assignment and continuing oversight of white-collar

crime cases;

the development of targeted investigations, especially when they
involve the participation of two or more investigative agencies;

Clarification of the Specialist's role in these functions will give law

enforcement personnel a better understanding of the program's objectives and will help to unify the expectations of all program participants. The discus

sion below explains why some role in each function is necessary, and suggests

limits within which the Specialist should operate.

The Selection, Assignment and Continuing Oversight of white-Collar Crime Cases. The ability of the Specialist to produce a comprehensive district report, to gather white-collar information, and to coordinate activities of investigators and prosecutors, will rest, in large part, on his familiarity with, knowledge of, and access to the district's white-collar crime cases. While the volume of white-collar cases, the classification of cases (major/

minor) and the policy or practice concerning assignment of cases in OUSAS

will vary from district-to-district, the organizational relationship of the Specialist to the ECE unit will, in great part, determine the level of his

involvement in the review of the OUSAS white-collar crime cases that are

presented to and accepted by the OUSA for prosecution.

The ability of the Specialist to review case information is important,

for:

it provides for the ongoing review of district priorities; it enables the Specialist to subsequently track priority cases; and it helps the Specialist to coordinate with relevant investigative agencies in specific case matters.

Clearly, it is neither useful nor possible in larger offices for the Specialist

to review all incoming white-collar crime cases, but it is crucial that the

Specialist at least participate in the process of reviewing cases, and this

situation does not currently exist in some offices.

The Development of Targeted Investigations. A major aim of the ECE program is to develop and coordinate complex or sophisticated cases against significant white-collar offenders. Such a task will involve the commitment of considerable time and resources by the investigating agencies, the OUSA and CRM. It is important, therefore, to have a good understanding of the role of each party in this joint effort. Simplistically, it is the AUSAs' responsibility to prosecute and the investigators' role to investigate; unfortunately, there is no easy way to define the role of the Specialist (or the AUSA, acting in the Specialist's capacity) or the interrelationship of these three parties during the development of a major, complex case.

Once the Specialist, working with the investigative agencies, selects a target for investigative efforts, he establishes his role in the development of the investigation. This role may take several forms ranging from passive to active. On the passive end of the spectrum, the Specialist may give oversight to the investigation, making suggestions as to possible avenues of

pursuit on an as-requested basis. More actively, the Specialist might partici

pate in developing strategies for an investigation, directing the investi

gation or actually participating in the investigation. Any of the roles may

be desirable and, at times, necessary, as the amount of guidance required will depend on the expertise and the cooperation of the investigative agencies, but in the more active role, the Specialist should exercise caution so as

not to assume responsibilities more appropriately handled by the investigator. For example, when it is necessary to conduct an initial interview with a

potential witness, and the information required is very specific, it might

be appropriate for the Specialist to assist the investigator in organizing his interview and drafting the questions; he should not, however, assume the

investigator's responsibilities.

Presently, many OUSAs encourage the agents to present their investigations

during the case's inception, and to contact the OUSA periodically as to the

case's status or to obtain advice for case development. This provides for

the OUSAs early involvement in a case, but does not clarify the extent of

that involvement.

Once a case requiring the work of several agencies is targeted, there needs

to be a method for determining which agency shall take the lead and for

settling disputes among the agencies. Many agency personnel believed that

this decision-making rests with the Specialist and was one of his most impor

tant functions.

At least one Specialist, however, felt that the Specialist

should not have to settle disputes, but that the agencies should be able to

work it out among themselves.

Varying perceptions of the Specialist's role in the development of a targeted

investigation could be clarified by defining the limits of his role.

This

clarification could occur through the development of a program guide issued

by the OECE.

The Prosecution of White-Collar Criminal Activities. Like other developmental

factors in the program, the extent to which a Specialist would engage in

prosecutorial activity was not a predetermined feature of the ECE program,

but was to receive clarity as it emerged in the course of implementing program