1. Purpose. To encourage collaboration between ROs and National Office and provide guidance on conducting cross-regional investigations of employee benefit plans and service providers.

    Increasing collaboration among ROs can lead to:

    1. a more efficient use of investigative talent and expertise;
    2. an increased consistency in applying enforcement policies; and
    3. a better understanding of issues and trends affecting the regulated community on a national basis.
  2. Case Characteristics. Cross-regional civil or criminal investigations are appropriate for one or more of the following:
    1. Large plans (i.e. plan asset or participant size);
    2. Service providers to multiple employee benefit plan clients;
    3. Complex or systemic issues;
    4. Resource-intensive; and
    5. Time-sensitive.

  3. Ways to Collaborate. ROs can collaborate on cross-regional investigations by:

    1. Introducing investigations for consideration;
    2. Opening an Office 99 investigation, if appropriate;
    3. Leading an Office 99 investigation involving another RO and/or OE staff;
    4. Providing investigative expertise in an Office 99 investigation; or
    5. Conducting a parallel investigation.

    “Lead region” designation is normally given to the RO that developed the investigation to the point of receiving cross-regional consideration. However, other factors to consider include the expertise needed to complete the investigation in an efficient and effective manner and resource limitations.

  4. Investigative Assistance/Auxiliary Investigations. When an RO (primary RO) needs limited investigative activity on a case outside the geographic jurisdiction of the primary RO, the primary RO may:

    1. Request the RO having jurisdiction over this area (auxiliary RO) perform the work; or
    2. Notify the auxiliary RO prior to conducting the work

    Appropriate examples of auxiliary investigations include:

    1. Issuing an in-person subpoena requiring immediate production.
    2. Conducting routine interviews.
    3. Participating in search and seizures.

Investigator/Auditors should charge time expended in auxiliary investigations to the primary RO’s investigation.

Because investigative activity is limited, auxiliary investigations do not meet the criteria for cross-regional investigations.