Fiduciary Investigations Program

This document is about the Fiduciary Investigations Program of the U.S. Department of Labor's Employee Benefits Security Administration (EBSA). It outlines the statutory requirements, elements of fiduciary violations, case opening procedures, preliminary investigative activities, planning the investigation, investigative activity, subpoenas, handling of books and records, reporting and voluntary compliance processes, and other guidelines for EBSA regional offices when investigating potential ERISA fiduciary violations.