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1. Statutory Authority. Section 506(b) of the
Employee Retirement Income Security Act (ERISA) provides
that the Secretary of Labor shall have the responsibility
and authority to detect, investigate and refer, where
appropriate, criminal violations of Title I of ERISA as well
as other related federal laws, including Title 18 of the
United States Code.
2. Program 52 Investigations. EBSA criminal
investigations are conducted under Program 52. A Program 52
investigation should be opened on the subject of the
investigation and the case opening form should state the
reason for the case opening and potential criminal
violations that may be involved. All material allegations
and/or investigative leads should be fully investigated.
Criminal statute sections to be investigated include, but
are not limited to, the following:
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Title 18 U.S.C. § 664, "Theft or
Embezzlement from Employee Benefit Plan";
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Title 18 U.S.C. § 1027, " False
Statements and Concealment of Facts in Relation to
Documents Required by the Employee Retirement Income
Security Act";
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Title 18 U.S.C. § 1954, "Offer,
Acceptance or Solicitation to Influence Operations of
Employee Benefit Plans".
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Title 29 U.S.C. § 1111,
"Prohibition Against Certain Persons Holding
Certain Positions" (ERISA Section 411)(1)
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Title 29 U.S.C. § 1131 "Willful
Violation of Title I, Part 1" (ERISA Section 501);
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Title 29 U.S.C. § 1141 "Coercive
Interference" (ERISA Section 511);
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Title 18 U.S.C. § 669, “Theft or
Embezzlement In Connection With Health Care”;
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Title 18 U.S.C. § 1035, “False
Statements Relating To Health Care Matters”;
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Title 18 U.S.C. § 1347, “Health Care
Fraud”; and
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Title 18 U.S.C. §1518, “Obstruction
of Criminal Investigations of Health Care Offenses”.
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Other criminal statutes that may be
violated in connection with employee benefit plan
operations such as 18 U.S.C. § 1341, “Mail Fraud”;
18 U.S.C. § 1343, “Wire Fraud”; 18 U.S.C. § 1346,
“Honest Services Fraud”; and 18 U.S.C. §371, “Conspiracy.”
3. Dual Responsibility. In investigations relating
to employee benefit plans, there may be overlapping
jurisdiction of civil and criminal violations of ERISA and
related sections of Title 18 of the United States Code.
Decisions on whether to pursue an investigation civilly,
criminally, or both civilly and criminally will be made on a
case by case basis by the Regional Director (RD).
4. Parallel Investigations. When an ERISA civil
investigation develops evidence sufficient to make a
preliminary determination that matters being investigated
may also constitute a violation of either Title 18 or the
ERISA criminal sections, the RD should open a criminal
investigation on the subject. The decision as to whether to
conduct civil and criminal investigations concurrently or
consecutively will be made by the RD on a case by case
basis.
If a decision has been made by the RD to proceed
concurrently with both civil and criminal investigations,
the following should be observed:
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Neither the same Investigator/Auditor
nor the same Group Supervisor may be assigned to both
the civil and criminal investigations. The
Investigator/Auditor assigned to the civil investigation
may either continue working on the civil investigation
or be reassigned to the criminal investigation as
determined by the RD, except as indicated in the next
paragraph. In addition, the same person may not be the
second-level reviewer for both the civil and criminal
investigations. For example, the RD could be the
secondary reviewer for the civil investigation and the
DRD the secondary reviewer for the criminal
investigation.
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If it has been determined that the
civil investigation will be referred to the SOL for
litigation, the Investigator/Auditor and Group
Supervisor for the civil investigation should not be
reassigned to the criminal investigation so long as the
investigation remains open unless specifically
authorized by the RD. The Chief, DFO, will be informed
of this decision.
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When the criminal investigation is
opened, all relevant documents, interviews and other
information from the civil case file will be duplicated
and placed within the criminal case file. Any further
access to the civil case file by the
Investigator/Auditor for the criminal investigation will
be coordinated by the Regional Criminal Coordinator.
5. Postponement/Delay Requests. Requests for EBSA
to postpone or delay a civil ERISA investigation, or the
interviewing or taking testimony of witnesses, shall be
considered after receipt of a written request, or an oral
request which is confirmed in a letter to the requesting
agency by the RD, stating the reasons why a postponement or
delay is appropriate and the length of the anticipated
delay. Upon receipt of such written request or confirming
letter, the Chief of DFO, the Deputy Director for Criminal
Enforcement and the Regional Solicitor’s Office should be
consulted before a decision is made regarding the request.
6. Written Plan. At the discretion of the RD,
written investigative plans may be required. (See Figure 1
for a criminal investigative plan format.) Whenever the
Investigator/Auditor or the supervisor concludes that a
major change in the original plan and/or a significant
amount of additional investigation is warranted, a written
update of the plan will be prepared by the
Investigator/Auditor for review by the supervisor (See
Figure 2).
7. Disclosure of Criminal Investigation. EBSA does
not inform plan officials or others as to the source of its
investigations. Investigators/auditors should be forthright
in stating that EBSA is conducting a criminal investigation.
In those instances when EBSA investigators participate or
assist other law enforcement agencies in the conduct of a
criminal investigation, the field office should consult with
the AUSA regarding the manner in which such disclosures
should be made.
8. Fidelity Bonds. When appropriate during the
criminal investigation, the field office should determine
whether the plan meets the bonding requirements. If it is
determined that the bond does not meet the bonding
requirements the matter will be referred for possible civil
action after the criminal investigation has been declined
for prosecution or closed.
If a loss to a plan has been discovered during the
criminal investigation, the field office should advise the
prosecutor of the potential for recovery of plan losses
through a fidelity bond. The field office shall consult with
the prosecutor regarding whether plan officials should be
advised of their responsibility to make a claim.
9. Documentation. All investigative activity must
be fully documented in accordance with the requirements set
forth in Chapter 21, “Files, Case Assignment and Case
Control,” Chapter 31, "Conducting and Documenting
Interviews,” and "Chapter 32, "Collection and
Preservation of Evidence." All workpapers not included
in an ROI will be placed in a separate indexed folder, which
will be kept with the case file.
10. Document Receipt and Custody of Records. When
an Investigator/Auditor receives records either on a
voluntary basis or in response to a Grand Jury Subpoena, the
records received should be carefully noted and proper steps
should be taken to properly safeguard the records. See
Sections 13, 14, 15, and 16 below regarding the storing,
security and maintenance of grand jury documents. Also, see
Chapter 32, paragraphs 1. d. and e. for procedures to be
followed when taking custody of any plan books and/or
records produced voluntarily.
11. Contact with U.S. Attorney's Office (USAO).
The USAO should be contacted at the earliest possible stage
of the investigation to determine USAO interest and
available resources to prosecute the matter. When interest
in pursuing the investigation is expressed, the
Investigator/Auditor, with the approval of the supervisor,
will consult on an as-needed basis with the Assistant
U.S. Attorney (AUSA) assigned to the investigation. The AUSA
should be advised if there is an on-going civil
investigation. Similarly, if there is an on-going civil
investigation and a criminal prosecutor has been assigned to
the criminal investigation, the supervisor for the civil
investigation should be notified. If the civil investigation
has been referred to the Solicitor’s office, the field
office will provide the name of the AUSA to the regional
solicitor as soon as possible.
12. State/Local Prosecutors. If the USAO does not
express interest in pursuing the investigation, the field
office should consider contacting state or local
prosecutors. Investigators/Auditors should be aware that
any information obtained through a federal grand jury is
subject to the secrecy requirements of Rule 6(e), and may
not be disclosed to state or local prosecutors without
authorization from the USAO.
13. Use of the Grand Jury. When Title 18 or ERISA
criminal statutory violations are involved, the AUSA will be
consulted as to whether or not Grand Jury Subpoenas will be
used in obtaining records and testimony from witnesses. In
addition to the Investigators/Auditors and Supervisory
personnel who are involved in a Grand Jury investigation,
the RO shall request that the Regional Criminal Coordinator
and the Deputy Director for Criminal Enforcement be included
on the Rule 6(e) disclosure lists.
14. Handling and Securing Grand Jury Information.
Rule 6(e) prohibits the disclosure of any information that
would reveal matters occurring before the grand jury. Rule
6(e) does not cover all information developed during the
course of a grand jury investigation, but only information
that would reveal the strategy or direction of the
investigation, the nature of evidence produced before the
grand jury, the views expressed by members of the grand
jury, or anything else that actually occurred before the
grand jury. Documents secured pursuant to Grand Jury
Subpoenas may be secret and subject to the disclosure rules
found under Rule 6(e). Local rules and case law in the
jurisdiction where the grand jury is sitting govern whether
subpoenaed documents are subject to the secrecy rules of
6(e). However, Investigators/auditors should presume that
documents subpoenaed by a grand jury are subject to the
secrecy requirement of 6(e) unless instructed otherwise by
the AUSA. This information may include all materials
obtained through the Grand Jury Subpoena and any work
papers, schedules, etc. which have been prepared using
information obtained by the Grand Jury Subpoena.
Grand jury information cannot be used in any civil
investigation unless the court issues an appropriate order
under Rule 6(e) of the Federal Rules of Criminal Procedure.
See Chapter 33, "Subpoenas," paragraph 17, for
procedures to be followed in seeking "6(e)
orders."
When grand jury information is being used by EBSA
employees, the employee is responsible for ensuring that no
unauthorized persons may gain access to the information.
When grand jury information is not being used, it should be
securely stored. These precautions should be taken whether
the grand jury information is on paper, electronic, or in
any other format.
Grand jury documents, including electronic media, should
be separated from all other documents. Grand jury documents
should be kept in separately marked envelopes, boxes or file
cabinets and be clearly marked to indicate that it contains
grand jury material. Investigators should not commingle
grand jury documents with evidence obtained by other means.
Each submission of grand jury information should be
separately identified as to its source and date received,
and separately numbered and indexed.
Records obtained pursuant to investigative demand
procedures under 18 U.S.C. § 3486 are not subject to the
constraints of Rule 6(e) of the Federal Rules of Criminal
Procedure
15. Maintenance of Case Files. Criminal case files
that contain non-grand jury information shall be maintained
in a secure fashion within the field office. Case files that
contain grand jury information should be properly secured
and stored as indicated in paragraph 14.
16. Returning, Archiving or Destroying Grand Jury
Documents. Criminal cases should be archived according
to EBSA policy. Prior to archiving the case files, and with
the permission of the AUSA, all grand jury information shall
be removed from the file and --
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offered for return to its original
source, and if so requested, returned to that source;
-
if not returned to its original source,
destroyed by the field office. The field office is
authorized to use private contractors for this purpose;(2)
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archived;(3) or
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otherwise handled as instructed by the
AUSA.
17. Use of Administrative Subpoenas. EBSA does not
issue administrative subpoenas in conducting criminal
investigations.
18. Criminal Investigation Interviews. In criminal
investigation interviews, Investigators/Auditors must
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. 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 Chapter 31, paragraph 15.
In those instances when EBSA investigators participate or
assist other law enforcement agencies in the conduct of a
criminal investigation, the field office should consult with
the AUSA regarding the manner in which criminal interviews
are to be conducted.
19. Retention of Investigator's Notes, Warnings to
Witnesses and Subjects, etc. For civil investigations,
program policy on matters such as retention of
investigator's notes, warnings to subjects and other
witnesses, etc., is established on a national level and
implemented in a uniform manner throughout the field
offices. In criminal investigations, however, it is the
responsibility of each field office to conform to the
practice of the USAO in the district in which the criminal
investigation is being conducted. If the USAOs within the
jurisdiction of a region have different procedures, the
field office should, in all investigations, be governed by
the procedure of the USAO with jurisdiction over the
criminal investigation being investigated. Interview notes
should be retained. (See Chapter 31, paragraph 21.b.) If no
notes are taken during an interview, and a rough draft
representing the Investigator's/Auditor's impressions of the
interview is prepared immediately after the interview, the
rough draft should be retained, unless the AUSA directs
otherwise.
20. Expert Witnesses. When EBSA expert witnesses
are required, requests should be coordinated through the
Deputy Director for Criminal Enforcement.
21. Search and Seizure. Investigators/Auditors may
conduct and participate in a search and seizure action.
Although EBSA Investigators/Auditors may prepare an
affidavit, the application or request for a warrant should
be made by the AUSA, or agents from other law enforcement
agencies, who are authorized to apply for a warrant.
Investigators/Auditors may serve the warrant; however,
on-site search and seizure actions should be coordinated
with the law enforcement agencies applying for the warrant.
22. Reports. In those investigations where the
field office has contacted the AUSA, the field office will
consult with the AUSA regarding whether a written report
will be prepared and its format. The format which may be
used for closed reports is included as Figure
3. See Figure
4 for the format which may be used for action reports and
Figure 5 for cover letters to the AUSA.
23. Declinations. When an oral declination is
received, the field office will confirm with a letter to the
AUSA or by memo to the case file. The letter or memo should
include the reasons for the declination.
24. Case Closing. The field office will close the
investigation when no violations are found, when the AUSA
declines to prosecute, or when prosecution is completed
(either upon sentencing or acquittal). If the field office
learns that a case decision may be appealed, the
investigation should remain open until all appeals processes
have been completed.
25. Documents to OE. The Deputy Director for
Criminal Enforcement should be provided with copies of
indictments, pre-trial diversion agreements, plea
agreements, sentencing documents, and other documents that
may be requested on a case by case basis. If any documents
contain grand jury information, those documents should be
placed in an envelope addressed to the Deputy Director for
Criminal Enforcement and marked "Confidential - To Be Opened
By Addressee Only."
26. Plea Agreements. If, during plea agreement
negotiations, the AUSA entertains a request from a defendant
in which the Government, through the Department of Labor,
would agree not to file any civil action under ERISA to seek
civil damages nor to seek injunctive relief, the AUSA must
be advised that such an agreement must be coordinated with
OE. The RD should prepare a memorandum to the Director of
Enforcement which provides the rationale for the RD's
recommendation. Any unusual provisions in a plea agreement
should be brought to the attention of the Deputy Director
for Criminal Enforcement.
27. Debarment Notice. A debarment letter should be
sent to the convicted person after sentencing (Figure
6).
The letter should be sent certified mail return receipt
requested or delivered by other means so as to document that
the debarred person has been notified of the debarment. The
AUSA should be advised of this action. This letter will put
a person convicted of one of the enumerated crimes under
Section 411 on notice that such person is prohibited from
occupying a position related to employee benefit plan
administration, and that the intentional violation of this
prohibition is a criminal violation subject to prosecution.
If appropriate, a similar letter can be sent to plan
officials or service providers (Figure 7). In instances when
the crime is not enumerated under Section 411, the RO will
prepare a memo to the Deputy Director for Criminal
Enforcement, seeking guidance as to the application of
Section 411.
(Figure 1)
Subject:
|
Name of Plan
Address
SSN#
Case No.
|
To:
|
Supervisor
|
Investigative Plan for Subject Case
-
Results of Indices Search
(Summarize any pertinent information in any other investigative files involving the subject
which might have a bearing on the investigation.)
-
Allegations/Investigative Leads
(Analyze each allegation or investigative lead within the
context of the applicable sections of the statute and
regulations. Identify each allegation or lead seriatim using
the following general outline:
-
Set forth the alleged violation or lead, being as
concise as possible without sacrificing the meaning.
-
Indicate which statutory provision(s) (e.g., 18 U.S.C.
section 664) appears to have been violated together with
applicable references to any regulations (applicable to
ERISA 501 violations only).
-
List the elements of proof needed to establish that a
violation has occurred.)
-
(Repeat as in A for all allegations/leads.)
-
Planned Investigative Activity
(Indicate what records will be reviewed and/or what
interviews will be conducted and what information and
documentation will be solicited to fully investigate the
allegations and/or investigative leads. The following
outline should be used in setting out the planned
investigative activity:
-
General
Set forth any investigative activity not related to
resolving a specific allegation or lead such as verifying
the adequacy of the plan's bond.
-
Allegation/Lead #1
Identify all of the activity needed to fully investigate
the allegation/lead.
-
Allegation/Lead #2
(Repeat as in B for all allegations/leads.)
-
Estimation of the number of workdays required to
complete the investigation.
Investigator/Auditor
Approved: ____________________
Date: ____________________
Supervisor
(Figure 2)
Subject:
|
Name of Plan
Address
SSN#
Case No.
|
To:
|
Supervisor
|
Update of Investigative Plan
-
Changes in Original Plan
(Identify any deletions from the original plan together
with the reason for the deletions.)
-
Additional Planned Investigative Activity.
(Fully describe what additional investigation will be
conducted.)
-
Changes in the Estimated Number of Workdays.
(After consultation with the Investigator/ Auditor, the
supervisor will note any changes in the estimated number of
workdays required to complete the investigation.)
Approved: ____________________
Date: ____________________
Supervisor
(Figure 3)
Report of
Investigation
Sample Format
|
U.S.
Department of Labor
Employee Benefits Security Administration |
|
|
This document is the
property of the Employee Benefits Security
Administration.
Its contents are not to be disclosed to unauthorized
persons. |
File No. |
Subject:
(Name of
Subject and Address)
Or
Related Entity and Address |
Date |
By Investigator/Auditor |
Approved by |
Status: Closed |
-
Predication
Basis for case.
-
Background
This can be limited to setting forth the facts about the
subject, e.g. relationship to plan(s) or related entities,
type of plan(s), total participants and assets for most
recent year or nature of related entities.
-
Findings
Cite the facts to show that the allegation(s) was not a
violation. In cases where violations are substantiated,
state reasons for declination.
(Figure 4)
Report of
Investigation
Sample Format
|
U.S.
Department of Labor
Employee Benefits Security Administration |
|
|
This document is the
property of the Employee Benefits Security
Administration.
Its contents are not to be disclosed to unauthorized
persons. |
File No. |
Subject:
(Name of
Subject and Address)
Or
Related Entity and Address |
Date |
By Investigator/Auditor |
Approved by |
Status: Action |
-
Predication
Basis for investigation.
-
Background
Purpose: To identify 1) plan sponsor, e.g. corporate
structure, officials, key employees, their duties; 2) the
plan(s) or related entities. Information on the plan should
include: type of plan, when established, type of benefits,
type of administrator, total participants and assets for
most recent year and fidelity bond; 3) service providers
where relevant. This section will establish coverage and who
the person(s) or the violator(s) are.
Evidence in support of these elements must be presented
and cited as exhibits. This section may be broken down into
additional sub-headings, e.g.:
-
Plan Sponsor
-
Plan
-
Issues
Purpose: To present facts that establish the nature of
the act(s) that give rise to the violation(s) and establish
the proof. For example, under 18 USC 664, it must be proved
that the assets of a plan or assets of a connected fund were
involved, that there was a depletion of those assets and
that it was willful. This section must also show when the
act(s) occurred for statute of limitation purposes.
Evidence in support of the facts in this section, must be
presented and cited as exhibits. This section may be broken
down into sub-headings as necessary.
-
Leads
Purpose: To detail any investigation scheduled or
additional investigation that needs to be accomplished.
-
Exhibits
All significant facts presented in the report should be
supported with exhibit citations. The following procedures
should be used in submitting exhibits.
-
State the name of the individual who is the subject of
an RI, signed statement or sworn administrative testimony
and the date of the interview or testimony.
-
Precisely identify each exhibit such as documents and
schedules, etc., should be
-
Exhibit each supporting document separately.
-
Number multiple page exhibits.
-
Identify exhibits by number.
-
Ensure that all copies are legible.
-
Include as exhibits all Plan documents (trust
agreement; etc.), relevant minutes of meetings of Plan
fiduciaries, cancelled checks, contracts/agreements, or any
other supporting documents pertaining to the transaction(s)
at issue, third-party corroborating interviews and/or
records.
(Figure 5)
USAO
Address
Attention: ____________________ (AUSA Assigned
Case)
RE: Subject(s) of Investigation
Dear ____________________
This letter should briefly 1) provide background
information on the plan or entities involved or the
subject(s); 2) summarize the violations; 3) point out
statute of limitations concerns and list earliest date that
there could be a bar; 4) discuss any parallel
investigations; 5) discuss possible defenses; 6) identify
any need for additional investigation; and 7) provide
recommendations. In short, it should be a synopsis of the
investigation.
Introduction: Briefly present background information
regarding the plan(s) and/or related entities involved, the
subject(s), and other agency involvement.
Violation(s): Briefly summarize the violations, discuss
any statute of limitation concerns and point out the
earliest possible date that may bar a violation.
Defenses: Present any defense that may be encountered.
Parallel Investigations: Advise of the existence of a
parallel investigation and status.
Recommendations: Include any additional investigation
activity which is underway or any that is, or should be,
considered.
Sincerely,
Regional Director
cc: File
(Figure 6)
Certified Mail - Return Receipt
Requested
Date:
Name
Address
Dear, ____________________
On (date that judgment was entered), you were convicted
of ____________________. As a result of this
conviction, you are prohibited by Section 411 of the
Employee Retirement Income Security Act (29 U.S.C. § 1111)
from serving or being permitted to serve in the following
positions and capacities.
You are prohibited from serving any employee benefit plan as an administrator, fiduciary, officer, trustee,
custodian, counsel, agent, employee or representative in any
capacity. You are disqualified from serving in any capacity
that involves decision-making authority or custody or
control of the monies, funds, assets or property of any
employee benefit plan.
You are prohibited from serving as a consultant or
adviser to an employee benefit plan. The term
"consultant" means any person who, for
compensation, advises or represents an employee benefit plan
or who provides other assistance to such plan, concerning
the establishment or operation of such plan. A consultant or
adviser to an employee benefit plan includes, but is not
limited to, any entity whose activities are in whole or
substantial part devoted to providing goods or services to
any employee benefit plan.
Under the provisions of Section 411, you may not serve or
be permitted to serve in any of the positions and capacities
listed above until thirteen years after the conviction,
or if imprisoned, until thirteen years after the end of
any such imprisonment which resulted from the conviction,
whichever is the later date. This disability applies unless
such conviction is finally reversed on appeal; or your
citizenship rights, having been revoked as a result of such
conviction, have been fully restored; or you are granted an
exemption from disqualification. The exemption may be granted by either the sentencing
federal judge, in the case of a disqualifying federal
offense, or the United States district court for the
district in which a state or local disqualifying offense was
committed.
The period of disability may be reduced to a shorter
period by the court in which you are convicted and sentenced
if you make application to that court for such relief.
However, the period of disability may not be reduced by the
court to a period which extends to less than three years
after the conviction or after the end of any imprisonment
resulting from the conviction, whichever is the later date.
This letter is to advise you that any intentional
violation of the provisions of Section 411 is a
felony, punishable by a fine or imprisonment for not more
than five years, or both.
Sincerely,
Regional Director
cc: File
(Figure 7)
Certified Mail - Return Receipt
Requested
Date:
Name
Address
Dear, ____________________
On (date that judgment was entered),
____________________ was
convicted of ____________________ in violation of _____________. As a result of this
conviction, ____________________ is prohibited by Section 411 of
the Employee Retirement Income Security Act (29 U.S.C. '
1111) from serving or being permitted to serve in the
following positions and capacities.
____________________ is prohibited from serving as an
administrator, fiduciary, officer, trustee, custodian,
counsel, agent, employee or representative in any capacity
of any employee benefit plan.
____________________ is also disqualified from serving in any
capacity that involves decision-making authority or custody
or control of the monies, funds, assets or property of any
employee benefit plan.
____________________ is prohibited from serving as a
consultant or adviser to an employee benefit plan. The term
"consultant" means any person who, for
compensation, advises or represents an employee benefit plan
or who provides other assistance to such plan, concerning
the establishment or operation of such plan. A consultant or
adviser to an employee benefit plan includes, but is not
limited to, any entity whose activities are in whole or
substantial part devoted to providing goods or services to
any employee benefit plan.
Under the provisions of Section 411,
____________________ may not serve or be permitted to
serve in any of the positions and capacities listed above
until thirteen years after conviction, or if
imprisoned, until thirteen years after the end of any
such imprisonment which results from the conviction,
whichever is the later date. This disability applies unless
such conviction is finally reversed on appeal; or
____________________'s citizenship rights, having been revoked
as a result of such conviction, have been fully restored; or
the convicted person is granted an exemption from
disqualification. The exemption may be granted by either the
sentencing federal judge, in the case of a disqualifying
federal offense, or the United States district court for the
district in which a state or local disqualifying offense was
committed.
The period of disability may be reduced to a shorter
period by the court in which you are convicted and sentenced
if makes application to that court for such relief. However,
the period of disability may not be reduced by the court to
a period which extends to less than three years after
the conviction or after the end of any imprisonment
resulting from the conviction, whichever is the later date.
Section 411 imposes this disability on
____________________ and further provides that no person shall knowingly hire,
retain, employ, or otherwise place any other person to serve
in any capacity in violation of its terms.
This letter is to advise you that any intentional
violation of the provisions of Section 411 is a
felony, punishable by a fine or imprisonment for not more
than five years, or both.
Sincerely,
Regional Director
cc: File
-
When the issues relate to a reduction of a bar or an
exemption pursuant to section 411(a), the investigation
should be conducted as a Program 47. Refer to Chapter 47 of
this Manual
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Before giving private contractors grand jury information
for destruction, the documents will be placed in boxes,
securely taped and marked “Not To Be Opened By
Unauthorized Persons.”
-
In addition to the standard markings required for boxes
being transferred to the Federal Records Center, boxes
containing grand jury information should also be marked “Grand
Jury Information. Not To Be Opened By Unauthorized Persons.”
on the top of the box.
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