Meeting With a Board Investigator
Your Obligations
The Bureau of Enforcement and Investigation (BEI) is the investigative arm of the Department of State for licensing matters. Its investigators work throughout the Commonwealth. They interview witnesses, obtain documents, conduct inspections of regulated businesses such as salons, barber shops, pharmacies and funeral establishments, and report their findings to the prosecuting attorneys.
Licensees generally should cooperate with a lawful investigation, and certain practice acts and regulations impose specific obligations to produce records or permit inspections. Cooperation does not, however, require an immediate, unprepared statement. A licensee is entitled to be represented by counsel, and an interview can ordinarily be scheduled so that counsel may attend.
Before the Interview
Preparation is the difference between a clear account and an unhelpful one.
- Find out what the investigation concerns before you speak
- Gather and review the relevant records, without altering them
- Decide with counsel which documents to provide, and when
- Schedule the interview so that counsel can attend
- Prepare to answer accurately, and to say so when you do not know
- Keep a copy of everything you provide
After the Interview
The investigator reports the findings to the prosecuting attorney, who decides whether to close the matter or pursue it. Some matters are closed at this stage.
The length of an investigation varies with the complexity of the allegations and the number of witnesses and records involved. Some matters are closed within a few months; others take a year or more before a decision is made whether to file formal charges.
Questions Licensees Ask
How should I respond to a letter of inquiry or a call from an investigator?
A letter of inquiry or a call from an investigator should not be ignored, and a statement should not be given in haste. Retain the letter and envelope, note the date of receipt, preserve all relevant records and obtain advice before responding. In some matters, a careful early response may resolve the matter before formal charges are filed, and an ill-considered one may supply the evidence needed to file them.
Can the Department obtain my records by subpoena?
Yes. On application of the Commonwealth's prosecuting attorney, the General Counsel or a designee may issue investigative subpoenas. Patient and client records that are privileged may generally be obtained only with the patient's or client's consent or by court order, and questions about privilege should be addressed before records are produced.
Can an investigator come to my place of business?
For certain professions, investigators inspect places of business such as salons, barber shops, pharmacies and funeral establishments, and those inspections may be unannounced.
Will I be told who filed the complaint?
Not necessarily. The Department does not ordinarily disclose the complainant's identity during an investigation, although the substance of the allegations must be disclosed if formal charges are filed. In many cases the source of the complaint is apparent from the allegations themselves.
Meet Your Attorney
Steven A. Mimm, Esq.
Founder, Mimm Law, LLC. Admitted in Pennsylvania (2008) and New Jersey (2022).
From 2014 to 2022, Attorney Steven A. Mimm served as a prosecuting attorney bringing disciplinary actions on behalf of the Bureau of Professional and Occupational Affairs before Pennsylvania's licensing boards. That experience informs how the firm evaluates evidence, negotiates with the Commonwealth and prepares cases for hearing. Where a licensee also faces criminal charges, the firm handles the licensing matter and coordinates with the licensee's criminal defense counsel.
Related: Licensing and FAQs · All Licensing Boards
Last reviewed September 2026. The information on this page is general in nature and is not legal advice. Contacting the firm does not create an attorney-client relationship.