Chapter 6.investigations and information planning
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Chapter 6.investigations and information planning



investigations and information planning

investigations and information planning



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Chapter 6.investigations and information planning Chapter 6.investigations and information planning Presentation Transcript

  • Investigations are processes for gathering information to assist agencies in making decisions. Each agency develops its own unique method of securing information. PURPOSE OF AGENCY INVESTIGATIONS
  • Jurisdiction Established by an enabling statute May be limited to the immediate industry under regulation or vastly extended to connected persons for the legitimate exercise of agency information gathering and investigations. REQUIREMENTS FOR GATHERING INFORMATION
  • Reasonable The means used to collect information and the methods for sending it 5th and 14th Amendments have protections from unreasonable collection of information Methods used cannot be overly intrusive; costly; or time-consuming REQUIREMENTS FOR GATHERING INFORMATION
  • Public interest Information requested must not be privileged Examples – trade secrets, implication of criminal actions REQUIREMENTS FOR GATHERING INFORMATION
  • Watkins v. United States, 354 US 178 (1957) Mr. Watkins was convicted for refusing to make disclosures to Congressional subcommittee on un-American activities. Court held that while Congress’ power to conduct investigations is inherent in the legislative process, this power is no unlimited. “There is no general authority to expose private affairs of individuals without justification.” REQUIREMENTS FOR GATHERING INFORMATION
  • Records are defined as written documents or accounts used by agencies to make decisions, rules, or regulations Legislative statutes create the authority for agencies to demand record compliance REQUIREMENTS FOR RECORDKEEPING
  • The 4th and 5th Amendments cannot be used as shields against the requirements of recordkeeping. As long as records are sought for public interest in a regulated activity and are not used to prove criminal involvement, power to require records predominates. REQUIREMENTS FOR RECORDKEEPING
  • Although agencies have the power to seek and demand information, clients have the right to protect certain information. 4th Amendment – protects from improper searches and inspections 5th Amendment – protects from supplying information that would be self-incriminating. CLIENT PRIVILEGE RIGHTS
  • Craib v. Bulmash, 777 P2d 1120 (Cal. 1989) Bulmash refused to pay overtime wages and when Labor Standards Enforcement agency ordered production of records he attempted to use the 4th and 5th Amendments as his defense. CLIENT PRIVILEGE RIGHTS
  • Court response – 4th Amendment argument Such a request is not an unreasonable search and seizure. Subpoenaed records need only be relevant to an authorized regulatory purpose and described with reasonable specificity No reasonable expectation of privacy against judicially compelled disclosure of records required to be kept. CRAIB V. BULMASH
  • Court response – 5th Amendment argument Because an employer is statutorily required to maintain wage and hour records, it must unconditionally respond to the court order Privilege does not apply because it only requires minimal disclosure of a kind customarily kept in ordinary course of business CRAIB V. BULMASH
  • Self-incrimination 5th Amendment protection – person is not required to supply information to an agency that could lead to criminal prosecution. Businesses cannot use exception If information is kept voluntarily, privilege does not apply – only applies to mandatory information required by an agency EXCEPTIONS TO RECORDKEEPING
  • Reasonableness If recordkeeping is beyond reasonable time and cost limit, record compliance may not be required If there is a reasonable opportunity of being harmed, injured, or disclosure of a business secret, the agency must adjust recordkeeping requirement EXCEPTIONS TO RECORDKEEPING
  • Jurisdiction If the agency does not have jurisdiction, the person or business is exempt from recordkeeping EXCEPTIONS TO RECORDKEEPING
  • Agency inspections are the investigations and examinations conducted on the physical (actual) premises owned by an individual or business Inspections are used to discover any violations of agency rules and regulations Some clients will voluntarily comply to keep license or funding INSPECTIONS
  • If an inspection could possibly result in criminal prosecutions, the requirements of search and seizure under the 4th Amendment are upheld PROTECTIONS FROM INSPECTIONS
  • Camara v. Municipal Court, 387 US 523 (1967) Resident refused admittance to a housing inspector, who had no search warrant to make a routine check of municipal housing code violations. Court upheld request for a warrant, but authorized warrant to be generalized on neighborhood, or other area basis PROTECTIONS OF PRIVATE PREMISES
  • New York v. Burger, 482 US 691 (1987) Owner of a junkyard that was discovered to have stolen vehicles and parts refused to a search of his premises, alleging a search warrant was necessary Court held the warrantless search was satisfactory because type of business is ‘closely regulated’ business – Strictly regulated businesses do not have right to demand a search warrant PROTECTIONS OF BUSINESSES
  • Used by agencies as a means to forcefully compel the gathering of information: Search warrants Subpoenas Testimony grants of immunity INVESTIGATORY PROCEDURES
  • Used when there is a refusal to allow an agency to conduct a search. Agency has to show probable cause that a violation of a regulation exists – similar to criminal setting SEARCH WARRANTS
  • Orders for a person to appear at a hearing to testify or appear at the agency with specific records To compel such records, the agency must have a court order SUBPOENAS
  • EEOC v. Kloster Cruise, Ltd., 939 F2d 921 (11th Cir. 1991) EEOC issued a subpoena duces tecum based on allegations of employment discrimination. Although Kloster argued jurisdiction, court held that EEOC must be allowed to investigate the facts of the allegations, including the jurisdictional issue. “To do otherwise would be to not only place the cart before the horse, but to substitute a different driver from the one appointed by Congress SUBPOENAS
  • Only given by attorney general after agency proves information necessary for public interest Used as a tool to acquire information, but individual given immunity from liability and prosecution GRANTS OF IMMUNITY