Attachment_L-2_Descriptions_of_Personnel_Labor_Category_by_Work_Category.pdf

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ATTACHMENT L-2

DESCRIPTIONS OF PERSONNEL LABOR CATEGORY BY WORK CATEGORY

WORK CATEGORY 1

LEGAL SUPPORT LABOR CATEGORIES QUALIFICATIONS

Accounting Technician

(a) Responsibilities/Duties. Reviews and analyzes financial data, documents and manual or automated accounting systems. Work may be performed under guidance of a contractor Auditor or Financial Analyst. Is expected to work independently on tasks without the need for continuous input from SEC staff.

(b) Qualifications. Two-year degree in accounting or four-year degree in a related field (finance, business, banking, or economics) from an accredited college, university, school or educational institution that has been accredited by accrediting bodies or organizations recognized by the US Department of Education with 30 credit hours in accounting. Relevant financial and accounting experience performing technical level duties in accounting, banking, or finance for corporations or non-profit organizations may be substituted for the education and credit requirements. Must have at least one year specialized experience in banks and banking, and knowledge of manual and automated accounting systems used by banking, financial and other institutions. Must be able to work effectively in an extremely pressured environment. Must have and use excellent oral and written communications skills. Must have skill with Microsoft 2010 or newer programs.

Auditor

(a) Responsibilities/Duties. Plans, implements, and provides oversight on the work of other contractor personnel, as needed, on small and moderately sized audit investigations as required in support of litigation, and may work with little or no guidance. Performs analysis of corporate financial and operating statements, records and other information in order to arrive at results in accordance with the stated objectives of the audit investigation. Prepares interim and final oral and written reports to the Trial Staff on the progress, status, and results of audit investigations. Makes oral and written recommendations to Trial Staff based on audit results.

May support audit teams conducting large and complex audit investigations. May perform portions of the audit investigation under the guidance of a Senior Auditor. May provide direction and guidance to Financial Analysts working on the same audit investigations. Is expected to work independently on tasks without the need for continuous input from SEC staff.

(b) Qualifications. Must be a Certified Public Accountant or have an MBA or equivalent in accounting or directly related field, and have a minimum of three years of experience as an auditor and a minimum two years specialized experience in the specific subject matter area involved. Experience in successfully supporting an auditing team is highly desirable. Must have thorough knowledge of generally accepted accounting principles and generally accepted auditing

Page 2 of 12 SECHQ1-14-R-0021 Attachment L-2 standards, and working knowledge of appropriate accounting and financial analysis information technology systems and applications. Must be able to work effectively in an extremely pressured environment. Must have and use excellent oral and written communications skills. Must be proficient in Microsoft Office 2010 or newer programs.

Senior Auditor

(a) Responsibilities/Duties. In addition to Responsibilities/Duties of the Auditor, described above, the Senior Auditor may plan, implement and provide audit oversight on the work of other contractor personnel, as needed, on large and complex auditing investigations as required in support of litigation. May provide guidance and advice, and review the work product of Auditors and Financial Analysts to ensure that it meets the stated objectives of audit investigations. Is expected to work independently on tasks without the need for continuous input from SEC staff.

(b) Qualifications. In addition to qualifications required by Auditor, described above, must have a minimum of five years of experience as an auditor with a minimum three years specialized experience in the specific subject matter area involved, have extensive working knowledge of appropriate accounting and financial analysis information technology systems and applications.

Document Management Technician

a) Responsibilities/Duties. Files, retrieves and copies case file materials; creates witness binders; prepares deposition and trial exhibits; enters data on-line to case files and other databases; proofreads, edits, corrects text files created using Optical Character Recognition (OCR) programs such as Adobe Acrobat; retrieves documents from microfilm and digital image media; tabs, numbers, labels, assembles documents; fills out log sheets and reports on task progress; and performs quality control on the work of peers in all of these areas. Prepares documents for image scanning; performs other document collection related activities, including document screening, and labeling of files to be scanned. Performs simple database searches. Is expected to work independently on tasks without the need for continuous input from SEC staff.

b) Qualifications. Must have at least one year specialized experience with legal records management. Undergraduate degree preferred. Ability to perform detailed work consistently, accurately, and under pressure extremely important. Must be able to read and follow instructions. Must be able to understand task, task objectives, and the context of the task in the litigation support effort as a whole. Must take the initiative to ask questions when necessary to complete task correctly (e.g., where instructions are not explicit or appear to be contrary to the task objective). Must have typing/keyboarding skills and good communication skills. Must be knowledgeable user of the Government's office and network environment, including but not limited to, word processing, database, spreadsheet, imaging, and telecommunications systems.

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Financial Analyst

(a) Responsibilities/Duties. Performs analyses of financial statements, cost data, operating and project reports, etc. Makes initial assessments and recommendations as to areas requiring further review by Auditors. Reviews and analyzes the records of financial institutions, such as savings and loan associations, including operating and investment records, and inspection of properties, to make initial identification of areas requiring further analysis. Must have skill with Microsoft Office 2010 or newer programs. Is expected to work independently on tasks without the need for continuous input from SEC staff.

(b) Qualifications. Must be a Certified Public Accountant or an MBA or equivalent in a related field, such as finance, business administration, accounting, banking and credit, and have a minimum of two years of experience performing financial analysis and evaluation work.

Experience with successfully supporting an auditing team is highly desirable. Must have thorough knowledge of generally accepted accounting principles and generally accepted auditing standards, and working knowledge of appropriate accounting and financial analysis information technology systems and applications. Must be able to work effectively in an extremely pressured environment. Must have and use excellent oral and written communications skills. Must be proficient in Microsoft Office 2010 or newer programs.

Forensics Technician

(a) Responsibilities/Duties. Responsible for acquiring, preserving, analyzing and producing digital evidence. Duties include securing digital evidence; providing expert guidance on the extraction, transfer, and storage of electronic data so as to preserve the integrity of the evidence; documenting the chain of custody; and preparing reports and other written material for forensic experts and attorneys concerning the production, analyses, and preservation of electronic evidence. Must be able to communicate clearly with both technical and non-technical parties and be able to communicate technical details to non-technical parties in a clear and concise manner. Work performed must conform to SEC forensic protocols.

(b) Qualifications. Five years of experience as a Forensic Technician or equivalent position. May substitute one year work experience in computer hardware, network administration, or cyber-crime investigations in addition to the successful completion of a computer forensic proficiency, certification, or qualification test (such as CCE, IACIS, Encase, DCITP) within the last 2 years. A+ certification or equivalent. Handheld certification within the last two years required. Excellent written and verbal skills are required. Three years of experience with common forensic tools such as Guidance Software, AccessData, Celebrite, Paraben, Oxygen Software, and Micro Systemation. Undergraduate degree preferred.

Fraud Analyst

(a) Responsibilities/Duties. Assists in obtaining documents and other information related to investigations and cases. Performs research to locate potential witnesses. Conducts in-house, telephone and database research; manages case file. Assists in the preparation of interim

Page 4 of 12 SECHQ1-14-R-0021 Attachment L-2 and final reports and recommendations. Is expected to work independently on tasks without the need for continuous input from SEC staff.

(b) Qualifications. Must have two years of experience in performing investigative research and document analysis to include on-line database research (i.e., CLEAR, LEXIS/NEXIS, and Westlaw), asset searches, internet communications, and telephone research.

Undergraduate degree is preferred. Must have working knowledge of various public repositories of information. Familiarity with investigative tools, public and private records databases, and fraud investigations helpful. Excellent oral and written communication skills are required. Must be able to work effectively in an extremely pressured environment. Must have skill with Microsoft Office 2010 or newer programs.

Industry Expert Consultant

(a) Responsibilities/Duties. Individual with substantial, very specialized expertise, who can provide innovative, case- and investigation-specific solutions, analysis, and recommendations in a specialized industry area. Consults with investigations and trial teams, including attorneys, paralegals, and expert witnesses, to conceptualize and develop strategies, creates appropriate reports, analysis, and/or graphics and other media for presenting evidence and other data which may be used at trial or at hearings. Conducts and coordinates production of highly technical and complex items such as computer analysis of industry data and trends.

Supports investigations and litigation with technical expertise relevant to the securities industry and investigation of potential securities violations.

(b) Qualifications. Demonstrated ability to analyze data, present insights and recommendations regarding the industry area of required expertise. Produce high-quality presentations and reports, using computer tools and analysis tools. Must be fully trained in the tools used. Demonstrated ability to evaluate industry-specific data as related to Federal securities laws, rules and regulation. Ability to make constructive recommendations involving investigations and litigation. Must have outstanding oral and written communications skills for discussing case materials, analysis, and exhibits with the trial team, including expert witnesses. Three years’ experience consulting, researching, publishing, and/ or serving as a recognized expert in the specific industry or subject matter area is required.

Law Clerk I

(a) Responsibilities/Duties. Performs complex legal research for the trial staff. Assists in preparing draft legal documents, such as motions, briefs, memoranda of law, etc. reviewing documents for relevance and privilege; and assisting attorneys with all phases of litigation. Is expected to work independently on tasks without the need for continuous input from SEC staff.

(b) Qualifications. Must have law degree from an ABA-accredited law school. Requires sound working knowledge of federal and state court systems, legal research procedures, and legal research resources. Must have and use excellent oral and written communications skills to successfully interact with clients and attorneys. Requires thorough knowledge of legal research tools such as LEXIS/NEXIS, CLEAR, and Westlaw. Role also requires knowledge of e-

Page 5 of 12 SECHQ1-14-R-0021 Attachment L-2 discovery procedures and resources. Must be able to work effectively in an extremely pressured environment. Must be proficient in Microsoft Office 2010 or newer programs. Must have hands-on familiarity with a variety of computer applications, including databases (such as document review and file management systems), spreadsheets, and imaging.

Law Clerk - Bilingual

The Responsibilities/Duties & Qualifications for the Law Clerk - Bilingual is the same as

Law Clerk I, but the position includes a language specialty. The language will be specified when Law Clerk - Bilingual is required.

Law Clerk II

(a) Responsibilities/Duties. Performs complex legal research; preparing draft legal documents, such as motions, briefs, memoranda of law, etc.; reviewing documents for relevance and privilege; and assisting attorneys with all phases of litigation. Is expected to work independently on tasks without the need for continuous input from SEC staff.

(b) Qualifications. Must have law degree from an ABA-accredited law school and passed the bar exam in one of the 50 U.S. States or the District of Columbia. Must have at least two years of progressively more responsible experience on litigation support projects. Must have and use excellent oral and written communications skills to successfully interact with clients and attorneys. Requires sound working knowledge of federal and state court systems, legal research procedures, and legal research resources. Requires thorough knowledge of legal research tools such as LEXIS/NEXIS, CLEAR, Westlaw, Concordance or Recommind, Table of Authorities, and Table of Contents. Role also requires knowledge of e-discovery procedures and resources.

Must be able to work effectively in an extremely pressured environment. Must be proficient in Microsoft Office 2010 or newer programs, and Adobe Professional or newer program, to include redacting and redlining expertise. In addition, must have hands-on familiarity with a variety of computer applications, including databases (such as document review and file management systems), spreadsheets, and imaging.

Paralegal

(a) Responsibilities/Duties. Performs the following tasks while complying with established procedures: compiles, prepares, and summarizes relevant materials for use by attorneys in discovery and in preparation of motions, briefs and other legal documents;

summarizes depositions and other transcripts; maintains case files; performs simple legal research; indexes, tracks and controls document discovery (including documents produced and received in discovery); indexes, tracks, and controls exhibits and other materials at depositions and at trial. Prepares exhibit cross-references. Reviews documents for relevance and privilege according to established guidelines and criteria. Other examples of the types of work to be performed include compilation of documents for FOIA, production requests, Congressional inquiries, etc. May have a role involving special knowledge and skills, such as litigation, document analysis or accounting. Litigation specialty supports attorneys during trial, including

Page 6 of 12 SECHQ1-14-R-0021 Attachment L-2 courtroom locations. Is expected to work independently on tasks without the need for continuous input from SEC staff.

(b) Qualifications. Requires Paralegal Certificate and 2 years of experience in the required specialty, such as litigation, document analysis, or accounting. An equivalent level of legal training may be substituted for the Paralegal Certificate. For litigation specialty experience in trial support, cite checking legal motions and memoranda, and automated litigation support is required. Must have and use excellent oral and written communications skills. Requires thorough knowledge of legal research tools such as LEXIS/NEXIS, CLEAR, Westlaw, Concordance or Recommind; experience documenting Table of Authorities, and Table of Contents. Role also requires knowledge of e-discovery procedures and resources. Ability to consistently deliver highest quality work under extreme pressure will be very important. Must be proficient in all Microsoft Office 2010 or newer programs, and Adobe Professional, or newer program, to include redacting and redlining expertise. In addition, must have hands-on familiarity with a variety of computer applications, including databases (such as document review and file management systems), spreadsheets, and imaging.

Paralegal - Bilingual

The Responsibilities/Duties & Qualifications for the Paralegal - Bilingual is the same as

Paralegal, but the position includes a language specialty. The language will be specified when Paralegal - Bilingual is required.

Senior Paralegal

(a) Responsibilities/Duties. In addition to the Responsibilities/Duties performed by Paralegals, described above, independently performs complex legal research; synopsizes transcripts of hearings and oral arguments for attorney use; reviews case related materials and, for example, identifies potentially conflicting statements or areas requiring further investigation;

writes preliminary drafts of legal memoranda and correspondence. For litigation specialty, experience in witness interviews is required. Is expected to work independently on tasks without the need for continuous input from SEC staff.

(b) Qualifications. In addition to qualifications required by Paralegals, described above, the Senior Paralegal must have 5years of experience in the required specialty. An equivalent level of legal training may be substituted for the Paralegal certificate, however there is no substitute for the requirement for 5 years of experience in a required specialty. For litigation specialty 1 year of experience in trial support, cite checking legal motions and memoranda, and automated litigation support is required.

Records Management Technician

(a) Responsibilities/Duties. Retains, disperses, disposes of documents related to litigation and case records in compliance with Federal Government retention and disposition standards. Prepares reports of activities. May query SEC staff and contractor personnel supporting SEC employees to gather data relating to the records. May provide proposals for

Page 7 of 12 SECHQ1-14-R-0021 Attachment L-2 resolving unusually difficult records management problems. May initiate and coordinate with appropriate contacts in resolving complex records management issues. Is expected to work independently on tasks without the need for continuous input from SEC staff.

(b) Qualifications. Must have at least one year specialized experience with litigation records management. Federal Government litigation records management experience is highly valued. Undergraduate degree preferred. Must be able to perform records management in the litigation support effort as a whole. Must take the initiative to ask questions when necessary to complete task correctly (e.g., where instructions are not explicit or appear to be contrary to the task objective). Must have and use excellent oral and written communications skills. Must have proven ability to perform detailed work consistently and accurately. Must be able to work effectively in an extremely pressured environment. Must be proficient in Microsoft Office 2010 or newer programs.

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WORK CATEGORY 2

COURTROOM SUPPORT LABOR CATEGORIES QUALIFICATIONS

Courtroom Presentation Specialist

(a) Responsibilities/Duties. After consulting with the trial team, including attorneys, litigation specialists, paralegals, and expert witnesses, develop plans for trial or hearings using a courtroom presentation system. Prepares exhibit images for particular uses (e.g., zooming in on or highlighting a particular paragraph, or setting up two exhibits side by side on the screen). Develops simple graphic images/exhibits using standard off-the-shelf or proprietary software packages. Advises attorneys on the effectiveness of certain exhibits or sequences of exhibits. Is responsible for coordinating and managing courtroom presentation technology logistics and the smooth operation of the presentation system in the courtroom. Ensures proper digitization and synchronization of audio/video clips of transcripts and prepares excerpted audio/video clips of testimony or designations, as necessary. The Courtroom Presentation Specialist needs to be a "jack-of-all-trades" capable of performing all trial and courtroom support functions with no or minimal supervision, including equipment set up and troubleshooting, scripting, advising on graphics presentations, and courtroom operation of equipment and will possess significant knowledge and experience regarding courtroom procedures and protocol. The Courtroom Presentation Specialist must be self-sufficient with trial presentation preparation.

(b) Qualifications. Demonstrated ability to work effectively with a trial team through the entire pretrial and trial cycle, identifying and scanning exhibits, scripting with the attorneys, setting up the courtroom, operating and troubleshooting the system in the courtroom. Must be thoroughly familiar with standard courtroom presentation packages such as Trial Director and Sanction. Must have excellent oral communication skills. Must be able to work effectively as a team member in an extremely pressured environment. Must be able to travel for long periods of time. Must be able to work long hours for an extended period of time. At least one year specialized trial experience required. Familiarity with DOJ office automation environment helpful. Other automated litigation support experience valued.

Graphics Design Consultant

(a) Responsibilities/Duties. After consulting with the trial team, including attorneys, litigation specialists, paralegals, and expert witnesses, conceptualize and develop strategies, appropriate graphics and other media for presenting evidence at trial, including computer-generated graphics for projection or display on computer monitors, animations, simulations, multi-media slide shows, audio and video clips, etc. Recommends effective presentation formats, color schemes, scripting, and sequencing. Using computer and other graphics tools, generates specialized graphics and other complicated exhibits and presentation materials in a format which can be used in the courtroom or other presentation venues. Conducts and coordinates production of highly technical and complex graphics services, including creation of specialized, interactive packages designed specifically for the rapid retrieval of case specific evidence and authored to create an efficient and seamless tool for use in the courtroom. Each package, created through commercially-available and agency-compatible software to allow for

Page 9 of 12 SECHQ1-14-R-0021 Attachment L-2 in-house editing, should consist of hyperlinked components and allow the presenter to access any necessary information, regardless of format or volume, at any time using custom designed interface screens. Each program should be designed to be intuitive allowing the presenter to access the data without the need for a trained multimedia operator. Note that this is intended to be a senior level individual, with substantial, very specialized expertise, who can provide innovative, case-specific solutions. This labor category will be required for consultation and the more complex graphics.

(b) Qualifications. Demonstrated ability to recommend and produce high-quality graphics and other presentation media, using computer tools and other professional graphics and multi-media development tools. Demonstrated ability to evaluate the effectiveness of graphic and multi-media presentations, and to make constructive suggestions for improving. Must be able to understand the arguments being supported by the graphic materials, and to translate that understanding into effective media presentations. Must be fully trained with standard graphics presentation software and other media production software and websites, as necessary. Must have outstanding oral communications skills for discussing case and exhibits with the trial team, including expert witnesses. At least one year specialized experience with courtroom graphics required.

Graphic Designer I

(a) Responsibilities/Duties. After consulting with the trial team, including attorneys, litigation specialists, paralegals, and expert witnesses, and under the direction of Graphic Design Consultant, prepare appropriate complex graphics and other media for presenting evidence at trial, including computer-generated graphics for projection or display on computer monitors, animations, simulations, multi-media slide shows, audio and video clips, etc. Using computer and other graphics tools, generates specialized graphics and other complicated exhibits and presentation materials in a format which can be used in the courtroom or other presentation venues. Produces highly technical and complex items such as computer simulations, animations and interactive presentations.

(b) Qualifications. Demonstrated ability to recommend and produce high-quality graphics and other presentation media, using computer tools and other professional graphics and multi-media development tools. Demonstrated ability to evaluate the effectiveness of graphic and multi-media presentations. Must be fully trained with standard graphics presentation software such as PowerPoint, Photoshop, Illustrator and other media production software and sites, as necessary. At least one year specialized experience with courtroom graphics required.

Graphic Designer II

(a) Responsibilities/Duties. After consulting with the trial team, including attorneys, litigation specialists, and paralegals, prepare appropriate graphics and other media for presenting evidence at trial, including computer-generated graphics for projection or display on computer monitors, animations, simulations, multi-media slide shows, audio and video clips, etc. Using computer and other graphics tools, generates and/or revises graphics and presentation materials

Page 10 of 12 SECHQ1-14-R-0021 Attachment L-2 in a format which can be used in the courtroom or other presentation venues. Produces items such as computer graphics, demonstrative and other presentations.

(b) Qualifications. Demonstrated ability to recommend and produce high-quality graphics and other presentation media, using computer tools and other professional graphics and multi-media development tools. Demonstrated ability to evaluate the effectiveness of graphic and multi-media presentations, and to make constructive suggestions for improving. Must be fully trained with standard graphics presentation software such as PowerPoint, Photoshop, Illustrator and other media production software and sites, as necessary. At least five years specialized experience with courtroom graphics required.

Industry Expert Consultant

(a) Responsibilities/Duties. Individual with substantial, very specialized expertise, who can provide innovative, case- and investigation-specific solutions, analysis, and recommendations in a specialized industry area. Consults with investigations and trial teams, including attorneys, paralegals, and expert witnesses, to conceptualize and develop strategies, creates appropriate reports, analysis, and/or graphics and other media for presenting evidence and other data which may be used at trial or at hearings. Conducts and coordinates production of highly technical and complex items such as computer analysis of industry data and trends.

Supports investigations and litigation with technical expertise relevant to the securities industry and investigation of potential securities violations.

(b) Qualifications. Demonstrated ability to analyze data, present insights and recommendations regarding the industry area of required expertise. Produce high-quality presentations and reports, using computer tools and analysis tools. Must be fully trained in the tools used. Demonstrated ability to evaluate industry-specific data as related to Federal securities laws, rules and regulation. Ability to make constructive recommendations involving investigations and litigation. Must have outstanding oral and written communications skills for discussing case materials, analysis, and exhibits with the trial team, including expert witnesses. Three years’ experience consulting, researching, publishing, and/ or serving as a recognized expert in the specific industry or subject matter area is required.

Trial Consultant

(a) Responsibilities/Duties. Provides substantial, very specialized expertise and innovative, case-specific solutions. After consulting with the trial team, including attorneys, paralegals, expert witnesses, and other trial team specialists, conceptualize and develop strategies, appropriate graphics and other media for presenting evidence at trial or at hearings, including oversize charts for display in the courtroom, computer-generated graphics for projection or display on computer monitors, animations, simulations, multi-media slide shows, audio and video clips, etc. Recommends effective presentation formats, color schemes, scripting, and sequencing. Conducts and coordinates production of highly technical and complex items such as computer simulations and animations which may require a production studio. This labor category will only be required at the instruction or with the permission of the trial team.

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(b) Qualifications. Demonstrated ability to recommend and produce high-quality graphics and other presentation media. Must be fully trained using computer tools and other professional graphics and multi-media development tools. Demonstrated ability to evaluate the effectiveness of graphic and multi-media presentations, and to make constructive suggestions for improving. Must be able to understand the attorneys’ needs and arguments to be supported by the graphic materials, and be able to translate that understanding into effective media presentations. Must have outstanding oral communications skills for discussing case and exhibits with the trial team, including expert witnesses. Three years’ experience in the trial support environment is required, as is familiarity with standard courtroom presentation packages such as Trial Director and Sanction.

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WORK CATEGORY 3

MOCK JURY SUPPORT LABOR CATEGORIES QUALIFICATIONS

Mock Jury Consultant

(a) Responsibilities/Duties. Individual with substantial, very specialized expertise, who can conduct feedback forums and mock jury sessions for trial lawyers, and assist with voir dire (jury questioning) and selection before trial. Using accepted practices, select a representative mock jury and schedule them for the mock jury exercise. Under guidance from SEC lawyers, prepare shortened jury instructions and a verdict form for the mock jurors to use in their deliberations. Poll the mock jurors and solicit comments after several agreed-upon points in the exercise, including at minimum after a neutral introduction to the case, the SEC opening/closing, the defense opening/closing, and the SEC rebuttal. Provide a neutral introduction to the mock jurors, after which the opening/closing will be delivered to all the mock jurors assembled for the session (may include several panels aggregated into one group.) After the exercise, provide a detailed written and oral report on the exercise.

(b) Qualifications. Significant experience in jury consulting on complex law enforcement cases. Consultant shall have an advanced degree in a relevant field (e.g., psychology) with a minimum of 2 years of experience or a minimum of 7 years of experience as a trial lawyer. Demonstrated ability to obtain and analyze data, present insights and recommendations regarding the pending case. Produce high-quality reports, using computer tools and analysis tools, such as Microsoft Word, Excel, Power Point, and analytical software to show trends and areas of risk. Must be fully trained in the tools used. Demonstrated ability to evaluate mock jury derived data as related to the pending case. Ability to make constructive recommendations involving the case. Must have outstanding oral and written communications skills for discussing case materials, analysis, and exhibits with the trial team, including expert witnesses.