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1. Complaints. A complaint refers to
information received which indicates or alleges that a
violation of the law has occurred or is about to occur.
Complaints may be specific or nonspecific, written or oral,
within or outside EBSA’s jurisdiction and may come from a
number of sources, such as individuals, news media, and other
enforcement agencies.
2. Complaints From Individuals.
Inquiries and complaints from members of the public are
generally handled by EBSA’s Benefits Advisors in accordance
with the procedures established by the Office of Participant
Assistance. When appropriate, a participant complaint may be
transferred as an investigative lead to the enforcement unit.
If a participant complaint is the source of an investigative
lead, interim contact with the participant should be made by
the investigator or the Regional Director’s designee as long
as the complaint remains unresolved. Final notification to the
participant should be made upon completion of the
investigation and documented in the case file.
3. Nonspecific Complaints. If the
information is indefinite, general in nature, grounded in
rumor or conjecture, or alleges activity which does not
constitute a violation of law, the complaint is
"nonspecific." Generally, investigations will not be
conducted on nonspecific information. However, a number of
such complaints relating to the same person, entity, or
subject matter, received over a period of time, may indicate
the need for investigation because the cumulative effect of
such complaints may form the basis for conducting the
investigation.
4. Confidentiality of Complaints. If
the complainant requests confidentiality, the complainant will
be identified as a "Confidential Source" and
described as to the degree of reliability, such as "who
has furnished accurate information in the past" or
"of unknown reliability" in a memorandum that is
included in the case file. The complainant's name will only
appear in the original written complaint or an original
memorandum relating to an oral complaint, which is to be kept
in the RD's or DS's safe. No complainant, particularly when
the complaint concerns a benefit dispute, can be guaranteed
confidentiality. The most that can ever be stated is that we
will attempt not to make disclosure unless required by law.
Similar protection will be afforded to government agencies
which request it, making reference to "Confidential
Source A, a U.S. government agency" or "Source D, a
municipal agency," etc.
5. Identification of Source. Law
enforcement agencies are not to be designated as confidential
sources of information except in those instances when the
agency involved, or its employee, specifically requests
anonymity as a condition precedent to the release of such
information. Such instances usually occur when the information
is "raw, unevaluated" matter and of such a nature as
to be a possible source of embarrassment to the contributor.
6. Information from Other Agencies.
Information received from some agencies, such as the FBI, is
released to the requesting agency only upon the condition that
the information is not to be released to other agencies
without prior permission of the contributing agency. The IRS,
by law, is compelled to consider tax return information to be
confidential (IRC section 6103). Any information obtained from
the IRS as authorized by IRC section 6103 shall be kept
confidential and not released outside EBSA or the Solicitor's
Office without prior permission of the Commissioner of
Internal Revenue. IRC section 7213 provides severe penalties
including criminal sanctions for unauthorized disclosure.
Information obtained from the IRS should not be discussed with
anyone, even within the Department, other than on a need-to-know
basis. See Chapters 12 and 20 for further details in dealing
with information obtained from the IRS.
7. Anonymity of Complainant. Even
though a complainant does not request to be treated as a
confidential informant, it is EBSA policy not to disclose the
complainant's identity during the course of an investigation
unless such disclosure is required by law. This does not apply
to an individual who is requesting help from EBSA in obtaining
an individual benefit.
8. Documenting Oral Complaints. When
appropriate, complaints should be documented in accordance
with the procedures established by the Office of Participant
Assistance. In other situations, the nature of the complaint
will determine if a written memorialization should be
prepared. If, in the judgment of the individual receiving the
complaint, further action will be required, an RI will be
prepared. If the matter is deemed to be of interest to the NO,
another RO, or a DO, copies will be furnished to each
interested office.
9. Complaints of Violations of Other
Laws. ROs or DOs in possession of information pertaining
to potential violations of laws enforced by other agencies,
federal or state, will refer such matters to the appropriate
agency. ROs should only refer to other agencies those
complaints which do not involve potential plan violations. If
a potential plan violation, as well as some other violation,
is involved, and the RD is uncertain as to proper disposition
of the matter, the case should be referred to OE for
appropriate action. Referrals to the PBGC should be made
through DFO.
10. Complaints Concerning Subjects
Outside Regional Office Jurisdiction. If an oral complaint
concerning an individual or organization outside the
territorial jurisdiction of the RO/DO is received, the
information will be forwarded to the appropriate RO. Prior to
referral, the RO should confirm with the receiving RO or DO
that a referral is appropriate.
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