Printer Friendly Version
1. Purpose. The contents of this
chapter are intended to acquaint Investigators/Auditors with
basic EBSA requirements for conducting and documenting
interviews. In addition, overview information relating to
various aspects of interviewing is provided to assist
Investigators/Auditors in developing skill in performing
interviews.
2. Objectives. The objectives of an
interview are to develop credible information that is relevant
and material to the investigation and to ascertain the
interviewee's version of the facts. Particular objectives will
vary with the nature of the case and the facts or
circumstances, which are being investigated.
Some objectives of interviews are:
-
To verify the accuracy of the plan's
books, records, and reports filed with the Department.
-
To obtain information not recorded in
the plan's books, records, and reports.
-
To secure explanations for recorded
entries.
-
To secure details and explanations for
unrecorded transactions and events.
-
To secure admissions regarding
violations from potential defendants.
-
To obtain evidentiary information
regarding specific transactions and/or actions of
individuals dealing with the plan(s).
-
To assess the desirability of the
interviewee being used as a witness at trial.
3. Definition of Interview. An
interview is the questioning of a natural person who may or
does possess information relevant to the matter under
investigation. Under this definition subjects of interview may
include, but are not limited to, individuals who have
knowledge of a single document or transaction; custodians of
systems of regularly kept records; fiduciaries of employee
benefit plans; service providers to employee benefit plans;
and subjects of criminal investigations. Often the interview
of a subject of a criminal investigation, especially when such
individual is in governmental custody, is referred to as an
interrogation.
4. Establish a Goal. In preparation
for an interview, the interviewer must necessarily prepare
him/herself by thoroughly analyzing all available background
information, the available evidence, and any other material
which will complete the questioner's knowledge with respect to
the matter at hand. However, no amount of background knowledge
can assist the interviewer in accomplishing his/her mission,
unless and until he/she establishes a clear-cut goal or
objective that can serve as a target toward which plans and
efforts can be directed. In this regard, there are two main
factors which must be considered in determining the objective
of the interview:
-
The requirements of the law or
investigative assignment.
-
The "unknown details" to be
resolved. The interviewer must determine why he/she should
question the individual concerned. The reasons may be many
or few, but there should be a reason and the interviewer
must know what it is.
After the probable relationship of the
interviewee to the case is determined, the interviewer is in a
position to determine what details the interviewee is likely
or apt to know. Each "unknown factor" becomes a
question, the answer to which should be obtained.
"Unknown factor" questions should cover every topic
the Investigator/Auditor wishes to discuss.
5. Aids. Aids are important in
interviewing and may prove very helpful to the
Investigator/Auditor during the questioning of an interviewee.
Some typical aids are:
-
Written or recorded statements of
other interviewees.
-
Reports filed with EBSA or other
agencies.
-
Background information such as credit
reports, financial statements, etc.
-
Information from other sources to be
verified.
-
Previous statement(s) of the same
interviewee.
-
Photocopies of checks, plan records,
bank records, official records of ownership, hotel records,
etc.
6. How to Compose and Ask Questions.
Investigators/Auditors will conduct interviews in a courteous
manner, free of personal prejudice or preconceived notions as
to the culpability of the interviewee, and without making any
threats or promises whatsoever to elicit any information.
Since questions are the tools of the interviewer, it is
essential that they be clear, communicative, and designed to
elicit information. The interviewer should generally attempt
to use language understandable by the person being
interviewed.
7. Selectivity. Discerning questions
are those designed to procure information having a direct
bearing on the matter under discussion. Discerning questions
are impossible to compose unless the questioner understands
the nature of the investigation, the purpose of the interview,
and the information desired. The interviewer must fully
prepare for each interview by:
-
Thoroughly reviewing the case,
including all evidence previously adduced.
-
Logically analyzing the evidence and
its relationship or effect on the allegations.
-
Based upon a clear and understandable
"theory of the case," outlining the interview so
that the desired goal will be reached.
8. Types of Questions. In framing
questions, the Investigator/Auditor may inadvertently restrict
the responses or limit the accuracy of the responses of the
interviewee by the types of questions asked.
-
Extended Answer Questions.
Questions are often more useful if framed to require a
narrative answer. Questions that can be answered by a
"yes" or a "no" limit the information
that the interviewee may be inclined to give; answers to
these questions often do not supply enough information
relevant to the investigation which is the subject of the
interview. Such questions are acceptable when summarizing or
verifying.
-
Leading Questions. Leading or
suggestive questions are those which suggest the desired
answer, assume something as fact which has not as yet been
agreed to by the interviewee, or embody a fact and require a
simple "yes" or "no" answer. When asking
for original information, such leading questions should
generally be avoided.
9. Characteristics of Good Questions.
Some of the fundamental characteristics of good questions are:
-
Brevity and confinement to one topic.
-
Easily understandable.
-
Avoidance of words tending to accuse
or intimidate: e.g., "Are you aware that this may be a
serious fiduciary breach?"
10. The Six Questions. Most
questions can be composed based on the questions
"what?" (what happened), "when?" (when did
it happen), "where?" (where did it happen),
"why?" (why did it happen), "how?" (how
did it happen), and "who?" (who was involved). The
questions "why?" and "why not?" are
powerful and of great value in interviews.
11. Question Development. Plan
administration, investment decisions, or prohibited
transactions may be the issue of an investigation. To obtain
an explanation and resolution of such issues usually requires
a series of questions. Each question must be directed toward
resolution of the issues and must focus the solution effort in
a particular direction.
12. General to Specific. The most
efficient strategy which can be employed to resolve an issue
is to have the questions that are asked about the issue
progress from general to specific ones. This is accomplished
by asking general questions designed to develop information on
the setting of an event before exploring the details.
Determine first what was done before exploring how or why it
was done. Place a person at a scene before exploring his/her
actions while there.
13. Free Narrative. One of the
principal questioning techniques is "Free
Narrative," which is an orderly, continuous account of an
event given with or without prompting. It is used to get a
quick summary of what the interviewee knows or is willing to
tell about the matter. It may usually be initiated by
requesting the interviewee to tell what he/she knows about the
specific matter. When using this technique, never generalize
about the subject matter to be discussed. Spell it out
specifically.
14. Initial Questioning. Initial
questioning, another questioning technique, is systematic
questioning designed to bring out a connected story of an
event or incident. Its purpose is to elicit new information or
fill in details omitted during Free Narrative.
-
Begin with questions not likely to
cause hostility.
-
Ask questions which will develop facts
in the order of their occurrence or in some other systematic
manner.
-
Ask only one question at a time and
compose it so that only one answer to the question is
required.
-
Ask straightforward and frank
questions.
-
Give the interviewee ample time to
answer.
-
Help him/her to remember, if possible,
but do not suggest answers.
-
Repeat or rephrase questions, if
necessary, to get the desired facts.
-
Be sure the answers are fully
understood and, if not perfectly clear, request an
explanation.
-
Give the interviewee an opportunity to
qualify his/her answers.
-
Separate fact from inference.
-
Get all the facts. Almost every
subject/ interviewee possesses more information than he/she
initially admits knowing.
-
After receipt of a narrative account,
ask questions of every item discussed. Ask questions about
little things; the answers will frequently contain clues to
previously unreported information of interest.
15. Introduction by Investigator/Auditor
and Initial Notifications/Warnings Preliminary to Interview
-
Civil Program Cases (Program 48 and
Program 53). Investigators/Auditors must clearly identify
themselves to subjects of interviews (interviewees). EBSA
credentials are to be displayed and the interviewee must be
informed that the interview being sought is pursuant to an
official investigation of EBSA under the authority of the
Employee Retirement Income Security Act of 1974, as amended,
and that the interviewee's voluntary cooperation is being
requested. The interviewee must also be informed that if the
Investigator/Auditor discovers any information which may
involve violations of other laws, EBSA will refer the matter
to the U.S. Department of Justice or other appropriate
agency (See Figure 1). See [Tab A] for EBSA Form 202.
-
Criminal Program Cases (Program 52).
In criminal case interviews, Investigators/Auditors must
also clearly identify themselves. EBSA credentials are to be
displayed to interviewees and the Investigator/Auditor
should seek the voluntary cooperation of the interviewee.
The investigator is to advise that he/she is conducting a
criminal investigation pursuant to the Employee Retirement
Income Security Act of 1974. The interviewee must also be
informed that any information obtained may be referred to
the U.S. Department of Justice or other appropriate agency
(See Figure 2). See Tab [B] for EBSA Form 202A.
Investigators/Auditors are not required to
advise interviewees of their rights in non-custodial
situations unless requested to do so by the U.S. Attorney's
Office. However, in those circumstances where a person is
either in governmental custody or reasonably believes
himself/herself to be in such custody, he/she must be advised
of his/her rights. See Tab [C] for EBSA Form 202B.
-
Advisement of Rights. Custodial
subjects of criminal investigations must be advised of their
rights as follows:
-
You must understand your rights before
we ask you any questions.
-
You do not have to make any statement
or answer any questions.
-
Any statement you make or any answers
you give may be used against you in a court of law or other
proceedings.
-
You have the right to talk to a lawyer
for advice before you answer any questions and you have the
right to have a lawyer present during the interview.
-
If you decide to answer questions now
without a lawyer present, you still have the right to stop
the interview at any time.
-
Waiver of Rights. In addition
to giving the advisement of rights, the Investigator/Auditor
should attempt to obtain a "waiver of rights" from
the criminal subject immediately thereafter, if the subject
indicates a willingness to allow the interview to continue.
The "waiver of rights" language should be read to
the custodial subject after which he/she should be asked to
read and to sign the document. (Figure 3 is to be used for
this purpose.) If the custodial subject agrees to be
interviewed but does not agree to sign the "waiver of
rights" form, the interview should continue. In the
event that the custodial criminal subject indicates either
before or during the interview that he/she wants a lawyer
present, the interview must stop and not be resumed until
the subject's lawyer is present.
Sometimes EBSA assists other law
enforcement agencies in criminal investigations. In those
circumstances, the Investigator/Auditor may follow the
lead agency’s interview procedures.
16. Third Parties Present During An
Interview. The Investigator/Auditor should assure that
only the interviewee and the interviewee's attorney are
present during an interview. Third parties, other than
attorneys who represent the witness, do not have the right to
attend interviews conducted by an EBSA Investigator/Auditor
during the course of an investigation. EBSA investigations are
not public, and the only person(s) entitled to be present at
interviews are the person(s) being interviewed and their
representatives. If an Investigator/ Auditor asks a third
party to leave the room at the beginning of the interview, and
the third party refuses, the interview should be terminated
and the witness subpoenaed for an administrative deposition.
17. Summarize Interview. After the
various phases of the interview are completed, the
Investigator/Auditor should summarize the interview by stating
all important details in proper sequence. The
Investigator/Auditor should stop after each part of the
summary and ask the interviewee to verify his/her
interpretations.
If the interviewee disagrees with any
segment of the summary, the discrepancy should be corrected
before proceeding with the remaining portions of the summary.
18. Ending the Interview. The
Investigator/Auditor should leave the door open for subsequent
interviews, if he/she believes them to be necessary or
desirable. After completion of the interview, the
Investigator/Auditor should politely end it and leave.
19. EBSA Form 202, "Report of
Interview". Oral information obtained during the
course of an interview will be recorded in detail on EBSA Form
202, "Report of Interview" (RI). In recording such
information, language used will reflect, to the maximum extent
possible, the actual language used by the interviewee.
The RI will reflect in its preface the
notification described in paragraph 4 above and information
identifying the interviewee. This information will include the
full name, office and home addresses and telephone numbers
(See Figure 1 and Figure
2). Additionally, in those instances where
advice of rights was given, the RI's preface will reflect this
fact as well as the subject's response to the request for a
"waiver of rights" (See Figure 4).
The text of the RI should clearly identify
any documents shown to the interviewee, or provided by the
interviewee to the Investigator/Auditor, during the interview.
The text should also include background information. Where
appropriate, this information should include the interviewee's
age, education, and employment history.
RIs will be prepared to record interviews
of all individuals interviewed even when signed, written
statements are obtained from them. If a signed, written
statement has been obtained, the RI generally should reflect
only the appropriate preface comments, the fact that a signed,
written statement of the interviewee is attached, and the
circumstances of the statement's execution as known to the
Investigator/Auditor receiving it (See Figure
5, Figure 6, and Figure
7).
RIs are not required when testimony is taken through the use
of administrative depositions.
For RIs which cannot be fully recorded on
the initial page of EBSA Form 202, plain bond paper will be
used for any additional required page(s). Each interview
performed must be reported separately using EBSA Form 202. To
ensure accuracy and completeness, RIs will be written as soon
after the interview as possible. The original RI will be
signed above typewritten name(s) by the Investigator(s)/Auditor(s)
who conducted or were present at the interview.
20. Maintenance of Report of Interview.
The originals of RIs will be preserved as original evidence in
the RO/DO case file in order to ensure their ready
availability if production is required. Copies of RIs will be
used as exhibits in ROIs.
The originals of RIs prepared by an
auxiliary office will be forwarded to the primary office with
a covering ROI and the auxiliary office will retain only a
copy. Transmittal to the primary office should be made via
certified mail, return receipt requested.
21. Investigator/Auditor Notes Taken
During Interview
-
Civil Investigations. Under
normal circumstances, notes taken during interviews are not
retained after the formal RI is written.
-
Criminal Investigations. Unless
instructed otherwise by the U.S. Attorney's Office,
interview notes should be retained in all criminal
investigations. The Investigator/Auditor should consult with
the U.S. Attorney early in the investigation concerning the
retention of notes or, in the event that no notes were
taken, concerning the retention of rough drafts of RIs. See
Chapter 52.
-
Disclosure of Notes. Interview
notes should not be shown to the interviewee. Such notes
should be treated similarly to work papers, and should be
secured whenever an Investigator/Auditor leaves his or her
work area.
22. Signed Statements. As
circumstances dictate, a signed, written statement may be
obtained from an interviewee. The preface of such a statement
will, like an RI, reflect identifying information about the
interviewee, will indicate that appropriate notifications or
warnings have been given by EBSA personnel, and will indicate
the voluntary nature of such statements. See Figure 8 for a
sample signed statement.
The body of the signed statement need not
follow a prescribed form. It should contain a complete account
of all the pertinent information known to the maker relevant
to the alleged violation. The maker of the statement may be
permitted to write it or dictate it to a stenographer, or the
Investigator/Auditor may write it for the maker, being careful
to keep it in the maker's own words. After the complete
statement has been prepared and is ready for signing, the
maker will be given the opportunity to make corrections or
deletions. When corrections or deletions are made, the maker
will be requested to initial each such correction. In order to
prevent subsequent insertions or deletions, each page will be
numbered in sequence and initialed by the maker of the
statement. When hand-written, no space should be left between
paragraphs and the entire width of each page should be used.
The concluding paragraph of the signed
statement should contain an attestation which declares that
the person has read, or has had read to him/her, the statement
which consists of a certain number of pages, that each page
(which has been numbered) and each correction has been
initialed by him/her and that the statement is complete and
true to the best of his/her knowledge. The signature of the
maker, placed after this paragraph, should be the same as the
name identifying him/her in the heading of the statement. Each
person witnessing the execution of the statement should sign
as a witness. When available, fellow Investigators/Auditors
will witness the statement. Both the maker of the statement
and the witness to the execution of the statement should date
their respective signatures.
No copy of the signed statement will be
volunteered to the person furnishing the statement. However,
if the person or his/her attorney requests a copy of the
statement, a copy will be furnished. Signed statements will be
maintained in the same manner as RIs.
23. Personal Observations. When an
Investigator/Auditor determines that it is necessary to record
observations of the credibility, dependability, or
availability of potential witnesses for the assistance of SOL
and others in evaluating the litigation potential of cases,
these observations are to be set forth in a separate
memorandum to the file entitled "Evaluation of
Witnesses." Such comments will be kept to a minimum and
expressed in the most objective manner possible; they must
never appear in an RI or the body of an ROI.
During the course of an investigation, the
Investigator/Auditor should be alert to observe and report any
information material to the inquiry at hand, such as the
disorder of records, books, the contents of a safe deposit
box, and so on. Such evidence is direct testimony, relevant
and material to the issue, and may therefore be testified to
by the Investigator/Auditor. Accordingly, such information is
to be reported by a separate memorandum to the file.
24. Attorneys-at-Law
-
Civil Program.
Investigators/Auditors should offer no objection to the
presence of an attorney representing the interviewee during
the interview of a civil case witness or subject. He/she
should keep in mind that in an interview of a person
represented by counsel, the attorney may also represent a
potential defendant. Under these circumstances,
Investigators/Auditors will exercise caution to avoid
disclosure of EBSA’s case. Similarly, in interviews
conducted in the presence of attorneys,
Investigators/Auditors will not engage in arguments as to
interpretations of the law, the facts of the case, or
matters of procedure. If the attorney seeks to take charge
and control the scope and progress of the investigation, the
interview will be courteously discontinued. When an
interview is discontinued under the above circumstances, the
Investigator/Auditor will apprise his/her supervisor of the
fact at the earliest opportunity. Attorneys may advise their
clients, but may not reply for them. If, in isolated cases,
an attorney does reply for his/her client, the interviewee
should be asked for his/her own answer. If significant, the
answer of the attorney should also be reflected in the
report of interview.
-
Criminal Program. As noted
above in paragraph 4, custodial subjects in criminal
investigations have a right to have a lawyer present during
an interview. Considerations similar to those in paragraph
11.a. still pertain in such interviews, particularly with
respect to having the interviewee answer for him/herself.
Witnesses and non-custodial subjects in criminal
cases will be given the same consideration as are civil
program witnesses/subjects, i.e., no objection will be made
to the presence of an attorney representing the interviewee
during the interview.
25. Recording, Transcribing, and
Monitoring of Conversations and Statements
-
Policy. DOL policy is that all
internal and external business be transacted in an
atmosphere of complete candor. Accordingly, statements or
conversations made in person or over the telephone must not
be secretly recorded, transcribed, or monitored.
-
Restrictions. In accordance
with the above policy, the following restrictions apply:
-
Unless otherwise authorized by a
court, the use of electronic or mechanical recording and
monitoring devices in conjunction with two-way
telephone conversations is prohibited. Telephone recording
devices may not be used except for purposes of receiving
messages on automatic answering equipment or, where voice
over Internet Protocol (IP) is used, for purposes of
administering communications devices or filtering and
logging certain types of traffic to mitigate potential
security vulnerabilities.
-
The use of electronic or mechanical
recording devices in conjunction with meetings,
teleconferences, interviews, and conversations is
prohibited unless notification has been given to all
participants that such devices are being used, and all
parties agree to such use, or unless authorized by a court
order.
-
Monitoring of telephone
conversations by secretaries or other personnel for
purposes of confirming appointments, making arrangements,
assisting with commitments, and assuring adequate follow-ups
will be permitted only after notification to callers that
such monitoring is taking place.
26. Administrative Depositions.
Administrative depositions are recorded by court stenographers
and are taken under oath; consequently, the use of RIs or
signed statements is not required. In some instances, an
administrative deposition may be taken by an
Investigator/Auditor without a government attorney being
present. Prior consultation with SOL is required in such
instances. In these circumstances special care should be taken
to employ good interviewing techniques to insure a sound
product. (See Chapter 33 re: administrative depositions.)
(Figure 1)
(See Tab A for EBSA Form 202)
Date of Interview
____________________ was interviewed at
____________________ on the above date at ____________________
am/pm by Investigator/Auditor ____________________. (If applicable) Also present
was ____________________. was advised that the writer is
conducting an official investigation for the Employee Benefits
Security Administration, U.S. Department of Labor, pursuant to
the authority granted under the Employee Retirement Income
Security Act of 1974, as amended. ____________________ was further advised that the
writer was requesting his/her voluntary cooperation, and that
any information obtained during this official investigation
which might involve violations of other laws, civil or
criminal, would be referred to the U.S. Department of Justice
or other appropriate agency.
In response to questioning,
____________________ provided the
following information.
1. The first paragraph should contain
background information regarding the interviewee, which bears
upon his/her credibility, such as: address, social security
number, title, duties and responsibilities, and length of
service in the current position.
2. Subsequent paragraphs should be
organized either chronologically or topically and must be
written, as much as possible, in the words of the interviewee.
Avoid words or terminology which are unfamiliar to the
interviewee.
3. Sources of all information must be
clearly identified. It should be clear whether or not the
interviewee has first-hand knowledge of the information
he/she is providing. If the information comes from another
source, the other source should be identified.
4. Any document shown to, or provided by,
the witness during the interview must be clearly identified.
If there is any possibility of confusion, copies of the
relevant documents should be attached to the RI.
5. If applicable, identify any other
Investigator/Auditor or counsel present at the interview.
(Figure 2)
(See Tab B for EBSA Form 202A)
Date of Interview
____________________was interviewed at ____________________on the above date at
____________________am/pm by Investigator/Auditor ____________________. (If applicable) Also present
was ____________________. ____________________was advised that the writer is conducting an official
criminal investigation for the Employee Benefits Security
Administration, U.S. Department of Labor, pursuant to the
authority granted in the Employee Retirement Income Security
Act of 1974, as amended.
____________________was further advised that the writer was
requesting his/her voluntary cooperation, and that any
information obtained during this official criminal
investigation may be referred to the U.S. Department of
Justice or other appropriate agency for consideration.
In response to questioning, ____________________provided the
following information.
-
The first paragraph should contain
background information regarding the interviewee which bears
upon his/her credibility, such as: address, social security
number, title, duties and responsibilities, and length of
service in the current position.
-
Subsequent paragraphs should be
organized either chronologically or topically and must be
written, as much as possible, in the words of the interviewee.
Avoid words or terminology which are unfamiliar to the
interviewee.
-
Sources of all information must be
clearly identified. It should be clear whether or not the
interviewee has first-hand knowledge of the information
he/she is providing. If the information comes from another
source, the other source should be identified.
-
Any document shown to, or provided by,
the witness during the interview must be clearly identified.
If there is any possibility of confusion, copies of the
relevant documents should be attached to the RI.
-
If applicable, identify any other
Investigator/Auditor or counsel present at the interview.
(Figure 3)
Place ____________________
Date ____________________
Time ____________________
You must understand your rights before we
ask you any questions.
You do not have to make any statement or
answer any questions.
Any statement you make or answers you give
may be used against you in a court of law or other
proceedings.
You have the right to talk to a lawyer for
advice before you answer any questions and you have the right
to have a lawyer present during the interview.
If you decide to answer questions now
without a lawyer present, you still have the right to stop the
interview at any time.
I have read this statement of my rights and
it has been read to me, and I understand what my rights are. I
am willing to make a statement and answer questions. I do not
want a lawyer present at this time. I understand and know what
I am doing. No promises or threats have been made to me and no
pressure or coercion of any kind has been used against me. I
hereby voluntarily and intentionally waive my rights.
Date ____________________
Signature ____________________
Time ____________________
I hereby certify that the foregoing Warning
and Waiver of Rights were read by me to the above signatory,
and that he/she also read it and has affixed his/her signature
hereto in my presence.
Signature ____________________
Witness ____________________
(Figure 4)
(See Tab C for EBSA Forn 202B)
Date of Interview
____________________ was interviewed at
____________________ on the above date at
am/pm by Investigator/Auditor ____________________. (If applicable) Also present
was ____________________. ____________________ was advised that the writer is conducting an official
criminal investigation for the Employee Benefits Security
Administration, U.S. Department of Labor, pursuant to the
authority granted in the Employee Retirement Income Security
Act of 1974, as amended.
____________________ was further advised that the writer was
requesting his/her voluntary cooperation.
____________________ was warned that
he/she must understand his/her rights before any questions
were asked. ____________________ was told that he/she does not have to make any
statement or answer any questions; that any statement he/she
makes or any answers he/she gives may be used against him/her
in a court of law or other proceedings; that he/she has the
right to talk to a lawyer for advice before he/she answers any
questions and that he/she has the right to have a lawyer
present during the interview; further, ____________________ was told that if he/she
decides to answer questions without a lawyer present, that
he/she still has the right to stop the interview at any time.
After being warned ____________________ agreed to being
interviewed. ____________________ signed the waiver of
rights/refused to sign the waiver of rights (circle one).
In response to questioning,
____________________ provided the following
information.
-
The first paragraph(s) should contain
background information regarding the interviewee, which would
tend to bear upon his/her credibility, such as: title, duties
and responsibilities, and length of service in current
position.
-
Subsequent paragraphs should be
organized either chronologically or topically and must be
written, as much as possible, in the words of the interviewee.
Avoid words or terminology, which are unfamiliar to the
witness.
-
Sources of all information must be
clearly identified. It should be clear whether or not the
witness has first-hand knowledge of the information
he/she is providing. If the information comes from another
source, that other source should be identified.
-
Any document shown to, or provided by,
the witness during the interview must be clearly identified.
If there is any possibility of confusion, copies of the
relevant documents should be attached to the RI.
-
If applicable, identify any other
Investigator/Auditor or counsel present at the interview.
(Figure 5)
Date of Interview
____________________ was interviewed at
____________________ on the above date at
____________________ am/pm by Investigator/Auditor
____________________. ____________________ was advised that the writer is
conducting an official investigation for the Employee Benefits
Security Administration, U.S. Department of Labor, pursuant to
the authority granted in the Employee Retirement Income
Security Act of 1974, as amended.
____________________ was further advised that the writer was
requesting his/her voluntary cooperation, and that any
information obtained during this official investigation which
might involve violations of other laws, civil or criminal,
would be referred to the U.S. Department of Justice or other
appropriate agency.
____________________ agreed to cooperate and provide the
attached signed statement. [If information is obtained which is not in
the signed statement, it should be included in the RI. If the interviewee refuses to sign a
prepared statement, ask him/her to read it orally, acknowledge
whether it is true or correct, and record his/her comments in
the RI.]
(Figure 6)
Date of Interview
____________________ was interviewed at
____________________ on the above date at
____________________ am/pm by Investigator/Auditor
____________________.
____________________ was advised that the writer is conducting
an official criminal investigation for the Employee Benefits
Security Administration, U.S. Department of Labor, pursuant to
the authority granted in the Employee Retirement Income
Security Act of 1974, as amended.
____________________ was further advised that the writer was
requesting his/her voluntary cooperation, and that any
information obtained during this official criminal
investigation may be referred to the U.S. Department of
Justice or other appropriate agency for consideration.
____________________ agreed to cooperate and provided the
attached signed statement. [If information is obtained which is not in
the signed statement, it should be included in the RI. If the interviewee refuses to sign a
prepared statement, ask him/her to read it orally, acknowledge
whether it is true or correct, and record his/her comments in
the RI.]
(Figure 7)
Date of Interview
____________________ was interviewed at
____________________ on the above date at
____________________ am/pm by Investigator/Auditor
____________________. ____________________ was advised that the writer is conducting
an official criminal investigation for the Employee Benefits
Security Administration, U.S. Department of Labor, pursuant to
the authority granted in the Employee Retirement Income
Security Act of 1974, as amended.
____________________ was further advised that the writer was
requesting his/her voluntary cooperation. ____________________
was warned that he/she must understand his/her rights before
any questions were asked. ____________________ was
told that he/she does not have to make any statement or answer
any questions; that any statement he/she makes or any answers
he/she gives might be used against him/her in a court of law
or other proceedings; that he/she has the right to talk to a
lawyer for advice before he/she answers any questions and that
he/she has the right to have a lawyer present during the
interview; further, was told that if he/she decides to answer
questions without a lawyer present that he/she still has the
right to stop the interview at any time. After being warned,
____________________ agreed to being interviewed.
____________________ signed the waiver of
rights/refused to sign the waiver of rights (circle one).
____________________ agreed to
cooperate and provide the attached signed statement. [If information is obtained which is not in
the signed statement, it should be included in the RI. If the interviewee refuses to sign a
prepared statement, ask him/her to read it orally, acknowledge whether it is true or correct, and record
his/her comments in the RI.]
(Figure 8)
(Preface for Civil Program Witness or
Subject)
I, (full name of interviewee, home and work
addresses and telephone numbers), make the following voluntary
statement to Investigator/Auditor ____________________. I was advised that
Investigator/Auditor ____________________ is
conducting an official investigation for the Employee Benefits
Security Administration, U.S. Department of Labor, pursuant to
the Employee Retirement Income Security Act of 1974, as
amended. I was further advised that Investigator/Auditor was
requesting my voluntary cooperation and that any information
obtained during this official investigation which may involve
violations of other laws may be referred to the U.S.
Department of Justice or other appropriate agency for
consideration.
(Preface for Program 52 Witness or Non-Custodial
Subject)
I, (full name of interviewee, home and work
addresses and telephone numbers), make the following voluntary
statement to Investigator/Auditor ____________________. I was advised that
Investigator/Auditor ____________________ is
conducting an official criminal investigation for the Employee
Benefits Security Administration, U.S. Department of Labor,
pursuant to authority granted in the Employee Retirement
Income Security Act of 1974, as amended. I was further advised
that Investigator/Auditor ____________________ was
requesting my voluntary cooperation and that information
obtained during his/her official criminal investigation will
be referred to the U.S. Department of Justice or other
appropriate agency for consideration.
(Preface for Program 52 Custodial
Subject)
I, (full name of interviewee, home and work
addresses and telephone numbers), make the following voluntary
statement to Investigator/Auditor ____________________. I was advised that
Investigator/Auditor ____________________________ is
conducting an official criminal investigation for the Employee
Benefits Security Administration, U.S. Department of Labor,
pursuant to authority granted in the Employee Retirement
Income Security Act of 1974, as amended. I was further advised
that Investigator/Auditor ____________________ was
requesting my voluntary cooperation. I was told that I do not
have to make any statement or answer any question; that any
statement I make or any answer I give may be used against me
in a court of law or other proceedings; that I have the right
to talk to a lawyer for advice before I answer any question
and that I have the right to have a lawyer present during the
interview; further, I was told that if I decide to answer
questions without a lawyer present, that I still have the
right to stop the interview at any time.
(Body of the Statement)
-
The first paragraph(s) should contain
background information regarding the witness/subject which
will tend to establish his/her credibility. This should
include, under certain circumstances, the date and place of
the witness's/subject's birth and highest educational level
he/she attained.
-
Subsequent paragraphs should be
organized either chronologically or topically and must be, as
much as possible, in the words of the interviewee.
-
The sources of all information must be
clearly identified. It should be clear from the signed
statement whether or not the interviewee has first-hand
knowledge of the information he/she is providing. If the
information comes from a source other than what the interviewee saw and/or
heard him/herself, that source must be identified.
-
All additions and deletions in the body
of the report must be made and initialed by the interviewee.
-
All pages must be numbered. The
interviewee must place his/her initials next to the last word
in the last line of the last paragraph on each page.
-
Do not leave any space between
paragraphs.
(Attestation)
I have read the above statement consisting
of ____________________ pages. Each page has been numbered and I have
initialed each correction. I declare (or certify, verify, or
state) under penalty of perjury that the statement is true and
correct.
/s/ ____________________ Date
____________________
Witnessed:
____________________ Investigator/Auditor Date
____________________
____________________ Investigator/Auditor Date
____________________
-
If possible, have the interviewee write
out the attestation in his/her own hand.
-
The signature of the maker should be the
same as the name identifying him/her in the heading of the
statement.
|