Agency Investigative Procedures

This project surveys regulatory agencies’ investigative procedures and recommend best practices to promote accuracy, efficiency, and fairness in agency investigations of specific regulated entities. Among other topics, the project addresses agency practices for the initiation of investigations; the exchange of evidence and arguments between the agency and the targets of investigations; the issuance of subpoenas and warrants; standards by which enforcement personnel consider evidence; public and nonpublic proceedings; negotiation and settlement procedures; standards by which enforcement personnel consider whether to terminate an investigation, negotiate with the target of an investigation, or pursue an enforcement action in an administrative or judicial tribunal; and the preparation and communication of recommendations that agencies take no action, settle, or issue a complaint.


Staff Counsel