Statutes of the Republic of Korea

Article 1 (Purpose)

The purpose of this Act is to enhance administrative fairness, transparency and efficiency and protect the rights and interests of citizens by prescribing common matters relating to administrative investigations, including the basic principles, methods, procedures, etc. therefor.

Article 2 (Definitions)

The definitions of terms used in this Act shall be as follows:

1.

The term "administrative investigation" means any activity performed by an administrative agency, such as conducting field investigations, file inspections, sampling, etc., or requiring an person subject to investigation to make reports, submit materials or be present to give statements, with a view to gathering information or materials necessary to policymaking or the performance of its duties;

2.

The term "administrative agency" means any agency that holds administrative authority pursuant to Acts and subordinate statutes and Municipal Ordinances and Rules (hereinafter referred to as ‘Acts and subordinate statutes, etc.’), or any legal entity or organization or its organ or any individual to which such authority is delegated or entrusted;

3.	The term "investigator" means any public official or employee of an administrative agency or any individual who performs the business of administrative investigation;

4.	The term "person subject to investigation" means any legal entity or organization or its organ or any individual that is subject to administrative investigation.

Article 3 (Scope of Application)

(1)	Except as otherwise prescribed by other Acts, administrative investigations shall be governed by this Act.

(2)	This Act shall not apply with respect to matters falling under any of the following subparagraphs: <Amended by Act No. 14184, May 29, 2016>

1.	Matters relating to national security, unification and diplomacy that, if the fact or contents of an administrative investigation are disclosed, may threaten the existence of the State or substantially impair important national interests;

2.	Matters relating to national defense and safety that fall under any of the following items:

(a)	Matters relating to the protection of military installations or secrets, or the defense industry;

(b)	Matters relating to conscription, call-up, mobilization and drills pursuant to the Military Service Act, the Reserve Forces Act, the Framework Act on Civil Defense and the Emergency Resources Management Act;

3.	Matters relating to the information stipulated in Article 4 (3) of the Official Information Disclosure Act;

4.	Matters relating to the duties of labor inspectors referred to in Article 101 of the Labor Standards Act;

5.	Matters relating to taxes, criminal affairs, criminal administration and security measures;

6.	Matters relating to the supervision, inspection and investigation of financial supervisory agencies;

7.

Matters relating to the investigation of unlawful offenses by the Fair Trade Commission under the Monopoly Regulation and Fair Trade Act, the Act on Fair Labeling and Advertising, the Fair Transactions in Subcontracting Act, the Fair Transactions in Franchise Business Act, the Door-to-Door Sales, etc. Act, the Act on the Consumer Protection in the Electronic Commerce Transactions, etc., the Regulation of Standardized Contracts Act and the Installment Transactions Act.

(3)	Notwithstanding the provisions of paragraph (2), Articles 4, 5 and 28 shall apply with respect to the matters provided for in the subparagraphs of paragraph (2).

Article 4 (Basic Principles of Administrative Investigations)

(1)	Administrative investigations shall be conducted within the minimum scope necessary to achieve the objectives of investigation, and the authority to conduct such investigations shall not be abused by using it for other purposes, etc.

(2)	In conducting administrative investigations, Administrative agencies shall select the persons subject to investigation in a manner consistent with the objectives of the investigation.

(3)	Administrative agencies shall prevent the repetition of administrative investigations by placing the same or similar cases under a joint investigation, etc.

(4)	Administrative investigations shall focus more on inducing the compliance of persons subject to investigation with Acts and subordinate statutes, etc. than punishment for violations thereof.

(5)	Except in compliance with other Acts, the person subject to an administrative investigation and the contents of such investigation shall not be disclosed, and the secrets obtained while conducting such investigation shall not be divulged.

(6)

An Administrative agency shall neither use any information obtained while conducting an administrative investigation for the purposes other than the statutory purposes of the investigation nor offer such information to others, except for the use thereof within such agency or the offering thereof to any other agency in accordance with other Acts.

Article 5 (Basis for Administrative Investigations)

The administrative investigations conducted by administrative agencies shall be limited to those prescribed by Acts and subordinate statutes, etc.: Provided, That the same shall not apply with respect to administrative investigations conducted with the voluntary cooperation of the persons subject to investigation.

Article 6 (Establishment and Submission of Annual Administrative Investigation Management Plans)

(1)

The heads of administrative agencies shall establish annual administrative investigation management plans for the coming year and submit them to the Minister of the Office for Government Policy Coordination no later than the end of December every year: Provided, That the detailed scope of administrative agencies that are required to submit administrative investigation management plans shall be prescribed by Presidential Decree. <Amended by Act No. 8852, Feb. 29, 2008; Act No. 11690, Mar. 23, 2013>

(2)	In developing administrative investigation management plans, the heads of administrative agencies shall comply with the basic principles of administrative investigations provided for in Article 4.

(3)	Administrative investigation management plans under paragraph (1) shall contain the types and methods of investigation, plans for the implementation of joint investigation, plans for the prevention of repetitive investigations and other matters as prescribed by Presidential Decree.

(4)

The Minister of the Office for Government Policy Coordination may review administrative investigation management plans submitted by the heads of administrative agencies and request any necessary supplements thereto. In such case, the heads of administrative agencies shall comply with such request unless there exist any special circumstances to the contrary. <Amended by Act No. 8852, Feb. 29, 2008; Act No. 11690, Mar. 23, 2013>

Article 7 (Periodicity of Investigations)

Administrative investigations shall, in principle, be made on a regular basis as prescribed by Acts and subordinate statutes, etc. or administrative investigation management plans: Provided, That occasional investigations may be conducted in cases falling under any of the following subparagraphs:

1.	Where an Act prescribes an occasional investigation;

2.	Where there is a suspicion that a violation of any Act or subordinate statute, etc. has occurred;

3.	Where a suspicion of violating any Act or subordinate statute, etc. is communicated or transmitted by another administrative agency for investigation;

4.	Where a report or civil petition is filed in relation to a violation of any Act or subordinate statute, etc.;

5.	Where an administrative investigation is deemed necessary as prescribed by Presidential Decree.

Article 8 (Selection of Persons Subject to Investigation)

(1)

The head of an administrative agency shall select those who are subject to administrative investigations according to obvious and objective standards, taking into account the purposes of the administrative investigation, the past records of compliance with Acts and subordinate statutes, efforts for voluntary compliance with Acts and subordinate statutes, the size and category of the business, etc.

(2)	The person selected as an person subject to investigation may file an application with the head of the administrative agency concerned for access to the standards for selection of persons subject to investigation.

(3)	The head of an administrative agency shall, upon receipt of an application pursuant to paragraph (2), give the applicant access to the standards for selection of persons subject to investigation, except for cases that falling under any of the following subparagraphs:

1.	Where granting access would impede the investigation activities of the administrative agency by making it impossible for the said agency to normally perform such activities;

2.	Where it is necessary to protect whistle blowers and other third persons.

(4)	Necessary matters regarding access to the standards for selection of those subject to administrative investigations and the methods of such access under paragraphs (2) and (3) shall be prescribed by Presidential Decree.

Article 9 (Demand for Appearance and Statement)

(1)	The head of an administrative agency shall send a written demand for appearance stating the following matters when demanding an appearance and statement from the person subject to investigation:

1.	Date and time, and place;

2.	The purport of the demand for appearance;

3.	Matters to be deposed while appearing;

4.	Materials to be submitted;

5.	Sanctions for non-compliance with the demand for appearance (including the names and provisions of the underlying Acts and subordinate statutes);

6.	Other necessary matters regarding the administrative investigation concerned.

(2)

The person subject to investigation may request the head of the administrative agency to change the designated date and time for appearance when his/her appearance on such date and time may adversely affect his/her business or livelihood, and the head of the administrative agency so requested may change the date and time to the extent that the purposes of the administrative investigation are attainable.

(3)

The investigator shall complete the administrative investigation without demanding any additional appearance of the person subject to investigation, except where the purposes of the administrative investigation may not be attainable because the person subject to investigation present fails to fulfill the matters stated in the written demand for appearance provided for in paragraph (1).

Article 10 (Demand for Report and for Submission of Materials)

(1)	The head of an administrative agency shall send a written demand for report including the following matters when demanding a report of investigated matters from the person subject to investigation:

1.	Date, time and place;

2.	Purposes and scope of the investigation;

3.	Matters to be reported;

4.	Sanctions for non-compliance with the demand for report (including the names and provisions of the underlying Acts and subordinate statutes);

5.	Other necessary matters regarding the administrative investigation concerned.

(2)	The head of an administrative agency shall send a written demand for submission of materials stating the following matters when demanding the submission of books, documents or other materials from the person subject to investigation:

1.	Deadline for submission;

2.	Reasons for such demand;

3.	Documents to be submitted;

4.	Whether submitted documents will be returned;

5.	Sanctions for non-compliance with the demand for submission (including the names and provisions of the underlying Acts and subordinate statutes);

6.	Other necessary matters regarding the administrative investigation concerned.

Article 11 (Field Investigation)

(1)

Where it is necessary for an investigator to visit the house, office or other place of business of an person subject to investigation to conduct a field investigation, the head of the administrative agency concerned shall send the person subject to investigation either a written document describing the field investigation which states the following matters or a document required to be presented at the time of the field investigation in accordance with any Act or subordinate statute, etc.:

1.	Purposes of the investigation;

2.	Period and place of the investigation;

3.	Name and position of the investigator;

4.	Scope and details of the investigation;

5.	Materials to be submitted;

6.	Sanctions for non-compliance with the investigation (including the names and provisions of the underlying Acts and subordinate statutes);

7.	Other necessary matters regarding the administrative investigation concerned.

(2)	The field investigation under paragraph (1) may not be conducted before sunrise or after sunset: Provided, That the same shall not apply in cases falling under any of the following subparagraphs:

1.	Where consent thereto is given by the person subject to investigation (including his/her agent or manager);

2.	Where the administrative investigation is conducted during the business hours of the office, place of business, etc.;

3.

Where, if the administrative investigation were conducted during the time from sunrise to sunset, it may be impossible to achieve the purposes of the investigation or to ascertain whether the person subject to investigation is violating any Act or subordinate statute, etc. due to an anticipated destruction of evidence.

(3)	The investigator conducting the field investigation pursuant to paragraphs (1) and (2) shall carry a certification indicating his/her authority and show it to the person subject to investigation.

Article 12 (Sampling)

(1)	In collecting necessary samples to achieve the purposes of an investigation, an investigator shall do so within a minimum limit that does not impede the normal economic activities of the owner or manager of those samples.

(2)	The head of an administrative agency shall compensate for a loss, if any, suffered by the person subject to investigation due to the collection of samples under paragraph (1), in accordance with procedures and methods prescribed by Presidential Decree.

Article 13 (Placing Materials, etc. in Custody)

(1)	In placing any materials, documents, articles, etc. (hereafter in this Article referred to as ‘materials, etc.’) in his/her custody during a field investigation, the investigator shall do so in the presence of the person subject to investigation or his/her agent.

(2)

With respect to the custody of materials, etc. under paragraph (1), an investigator may take photographs or make copies of the materials, etc. instead of such custody if keeping the materials, etc. in custody may make it practically impossible for the person subject to investigation to normally maintain his/her livelihood or business: Provided, That the same shall not apply in cases of keeping materials, etc. in custody to prevent the destruction of evidence.

(3)	The investigator shall, upon completion of placing materials, etc. in his/her custody, make two copies of the record of custody and affix his/her signature and seal thereto in the presence of a witness, and deliver one of them to the witness.

(4)	The head of the administrative agency concerned shall promptly return the materials, etc. kept in custody if they fall under any of the following subparagraphs:

1.	Where, as a result of examination, the materials, etc. kept in custody are found to have no relation to the administrative investigation;

2.	Where there is no need to keep the materials, etc. in custody because the purposes of the administrative investigation have been achieved.

Article 14 (Joint Investigation)

(1)	The head of an administrative agency shall conduct a joint administrative investigation in cases that fall under any of the following subparagraphs:

1.	Where two or more departments in the administrative agency conduct administrative investigations of the same person in relation to the same or similar fields of business;

2.	Where the administrative agency and another administrative agency conduct administrative investigations of the same person in relation to any fields prescribed by Presidential Decree.

(2)

The person subject to investigation, who is in advance notified of administrative investigations which fall under any subparagraph of paragraph (1), may file an application with the head of the administrative agency concerned for a joint investigation. In this case, the person subject to investigation shall submit to the head of the administrative agency concerned an application for joint investigation stating the name of the applicant, the date and time of investigation, reasons for application, etc.

(3)	The head of the administrative agency who is requested to conduct a joint investigation pursuant to paragraph (2) shall comply with such.

(4)

The Minister of the Office for Government Policy Coordination may examine the details of the administrative investigation management plans submitted by the heads of administrative agencies pursuant to Article 6 and request the heads of the relevant ministries and agencies to conduct a joint investigation. <Amended by Act No. 8852, Feb. 29, 2008; Act No. 11690, Mar. 23, 2013>

(5)	Other necessary matters regarding joint investigations shall be prescribed by Presidential Decree.

Article 15 (Restrictions on Double Investigation)

(1)

The head of an administrative agency who has conducted a regular or occasional investigation pursuant to Article 7 shall not reinvestigate the same person with respect to the same matter: Provided, That the same shall not apply in cases where the administrative agency concerned has found new evidence supporting an illegal act with respect to a person who was already subject to administrative investigation.

(2)	The head of an administrative agency who intends to conduct an administrative investigation may in advance ascertain whether another administrative agency has already conducted an administrative investigation of the same person with respect to the same or a similar matter.

(3)

Where the head of an administrative agency who intends to conduct an administrative investigation requests materials concerning the results of an administrative investigation in order to ascertain the facts related to paragraph (2), the head of the administrative agency so requested shall offer the relevant materials unless there exists any special reason to the contrary.

Article 16 (Establishment of Agency Investigation Plans)

(1)

The head of an administrative agency who intends to conduct an administrative investigation shall establish an agency investigation plan ahead of the prior notification provided for in Article 17: where it is impossible to develop the investigation plan because of an urgent need for administrative investigation, a report on the results of the administrative investigation may be substituted for the agency investigation plan.

(2)	The agency investigation plan under paragraph (1) shall contain the purposes, type, subjects, methods and period of investigation and other matters prescribed by Presidential Decree.

Article 17 (Prior Notification of Investigation)

(1)

The head of an administrative agency who intends to conduct an administrative investigation shall send the person subject to investigation a written demand for appearance under Article 9, written demands for reports and submission of materials under Article 10 and a written document describing the field investigation under Article 11 (hereinafter referred to as "written demand for appearance, etc."), no later than seven days prior to the commencement of the investigation: in cases falling under any of the following subparagraphs, the written demand for appearance, etc. may be presented to the person subject to investigation simultaneously with the commencement of the administrative investigation or the purposes, etc. of the administrative investigation may be communicated orally to the person subject to investigation:

1.	Where it is deemed impossible to achieve the purposes of the investigation due to an anticipated destruction of evidence, etc. when relevant matters are communicated prior to conducting the administrative investigation;

2.	Where the administrative investigation is conducted with a view to preparing statistics designated under subparagraph 2 of Article 3 of the Statistics Act;

3.	Where the administrative investigation is conducted with the voluntary cooperation of the person subject to investigation pursuant to the proviso to Article 5.

(2)	The head of the administrative agency shall take necessary measures to prevent the details of the written demand for appearance, etc. from being publicly disclosed when sending it to the person subject to investigation.

Article 18 (Application for Postponement of Investigation)

(1)

A person who is notified by a written demand for appearance, etc. may request the head of the administrative agency concerned to postpone an administrative investigation when he/she is unable to undergo the administrative investigation due to a natural disaster or other causes prescribed by Presidential Decree.

(2)	The person who intends to make a request for postponement under paragraph (1) shall submit to the head of the administrative agency concerned an application for postponement stating the period of and reasons for the postponement.

(3)

The head of the administrative agency shall, upon receipt of an application for the postponement of an administrative investigation under paragraph (2), decide whether to postpone the investigation and notify the person subject to investigation thereof within seven days of receipt of the application.

Article 19 (Supplementary Investigation of Third Persons)

(1)

The head of an administrative agency may conduct a supplementary investigation of a third person in cases where the purposes of the administrative investigation cannot be achieved by means of the investigation of the person subject to investigation himself/herself only or excessive expenses, etc. are incurred in proving whether the act to be investigated was actually committed, which fall under any of the following subparagraphs:

1.	Where any other Act permits the investigation of the third person;

2.	Where consent thereto is obtained from the third person.

(2)

The head of the administrative agency shall, when conducting a supplementary investigation of a third person pursuant to paragraph (1), notify the third person in writing of the date, time, place, purport, etc. of the supplementary investigation no later than seven days prior to the commencement of the investigation.

(3)

The head of the administrative agency shall notify the person subject to investigation himself/herself of the supplementary investigation of a third person before conducting such investigation: Provided, That where the purposes of the investigation cannot be achieved or are substantially difficult to achieve, if the supplementary investigation of the third person is communicated in advance, the fact of the supplementary investigation shall be notified prior to the establishment of the results of such supplementary investigation.

(4)	The person subject to investigation himself/herself may present his/her opinion on the matters communicated under paragraph (3).

Article 20 (Administrative Investigation Conducted with Voluntary Cooperation)

(1)

Where the head of an administrative agency intends to conduct an administrative investigation with the voluntary cooperation of the person subject to investigation pursuant to the proviso to Article 5, the person subject to investigation may refuse the administrative investigation by letter or telephone or verbally in person.

(2)	Where the person subject to investigation gives no answer on whether to undergo the administrative investigation under paragraph (1), he/she shall be deemed to have refused the investigation unless there exists any special provisions in Acts and subordinate statutes, etc. to the contrary.

(3)	The head of the administrative agency may use basic materials concerning the identity, etc. of those who have refused investigation under paragraphs (1) and (2), only for purposes of preparing statistics in a form that does not identify particular individuals.

Article 21 (Presentation of Opinions)

(1)	A person subject to investigation may present to the head of the administrative agency concerned his/her opinions on the details of a prior notification under Article 17.

(2)	The head of the administrative agency shall, in conducting the administrative investigation, reflect the opinions presented by the person subject to investigation pursuant to paragraph (1) if they are reasonable.

Article 22 (Application for Replacement of Investigator)

(1)	A person subject to investigation may file an application for the replacement of an investigator with the head of the administrative agency concerned when it is reasonably deemed that it is difficult to expect the investigator to conduct the administrative investigation in a fair way.

(2)	The application for replacement under paragraph (1) shall be filed in writing with the head of the administrative agency concerned specifying the reasons therefor.

(3)	The head of the administrative agency who receives the application for replacement under paragraph (1) shall promptly conduct an examination thereof.

(4)	Where the application for replacement under paragraph (1) is deemed appropriate, the head of the administrative agency shall have another investigator conduct the administrative investigation.

(5)	Where the application for replacement under paragraph (1) is deemed to be filed with the intention of delaying the investigation or to be otherwise unreasonable, the head of the administrative agency shall reject the application and notify the applicant thereof.

Article 23 (Restrictions on Exercise of Authority to Investigate)

(1)

An investigator shall conduct an investigation of the person subject to investigation with respect only to the matters communicated in advance pursuant to Articles 9 through 11, but if it is necessary to conduct an additional administrative investigation in relation to those matters notified in advance, the investigator may conduct the additional administrative investigation after notifying the person subject to investigation in writing or orally of the necessity, substance, etc. of the additional investigation.

(2)	The person subject to investigation may have related experts with expertise in law, accounting, etc. attend the process of the administrative investigation or state their opinions thereon.

(3)

The person subject to investigation and the investigator may record the process of the administrative investigation on audiotape or videotape to the extent it does not impede the process of the investigation. In such case, the scope, etc. of such recording shall be determined through mutual consultation.

(4)	In recording the process of the administrative investigation pursuant to paragraph (3), the person subject to investigation and the investigator shall in advance notify it to the head of the administrative agency concerned of such.

Article 24 (Notification of Investigation Results)

The head of an administrative agency shall notify the person subject to investigation concerned of the results of an administrative investigation to within seven days from the date on which the results are established, unless there are any special provisions in Acts and subordinate statutes, etc. to the contrary.

Article 25 (Voluntary Reporting System)

(1)	The head of an administrative agency may operate a system that enables persons subject to investigation to make voluntary reports on the matters to be investigated pursuant to Acts and subordinate statutes, etc.

(2)	The head of the administrative agency may substitute the matters reported by persons subject to investigation pursuant to paragraph (1) for the administrative investigation, except where it is reasonably deemed that the reported matters are false or unreliable.

Article 26 (Building of Autonomous Management System)

(1)

The head of an administrative agency may prepare and publish the standards for a system that enables persons subject to investigation to make voluntary reports on the matters to be investigated and to manage them on their own initiative as well as to self-regulate the matters to be observed pursuant to Acts and subordinate statutes (hereinafter referred to as "autonomous management system").

(2)	A person who falls under any of the following subparagraphs may build an autonomous management system pursuant to the standards under paragraph (1) and report it to the head of the administrative agency concerned in accordance with the procedures and methods prescribed by Presidential Decree:

1.	A person subject to investigation;

2.	An organization or association established by persons subject to investigation pursuant to Acts and subordinate statutes, etc. or on their own initiative.

(3)	The Sate and a local government shall assist persons subject to investigation in building autonomous management systems so as to efficiently implement administrative affairs and to ensure compliance with Acts and subordinate statutes, etc.

Article 27 (Provision of Benefits in Relation to Autonomous Management)

The head of an administrative agency may grant those making voluntary reports pursuant to Article 25, and those building autonomous management systems and complying with the standards therefor pursuant to Article 26, necessary benefits such as the reduction of or exemption from administrative investigations or the provision of administrative support or tax benefits, as prescribed by Acts and subordinate statutes, etc.

Article 28 (Administrative Investigation by Means of Information and Communications)

(1)	The head of an administrative agency may allow persons subject to investigation to submit materials, etc. by means of information and communications networks including the Internet.

(2)

The head of the administrative agency shall, upon receipt of materials, etc. submitted by means of any information and communications network, take institutional and technical security measures to prevent the public disclosure of the identity, business secrets, etc. of the persons subject to investigation.

Article 29 (Examination and Assessment of Administrative Investigations)

(1)

The Minister of the Office for Government Policy Coordination shall ascertain and examine the actual circumstances of administrative investigations, joint investigations, double investigations, etc. conducted by various levels of administrative agencies to enhance efficiency, transparency and predictability in administrative investigation. <Amended by Act No. 8852, Feb. 29, 2008; Act No. 11690, Mar. 23, 2013>

(2)

The Minister of the Office for Government Policy Coordination shall assess the results of ascertainment and examination under paragraph (1) and report such to the State Council and the President, in accordance with the procedures and methods prescribed by Presidential Decree. <Amended by Act No. 8852, Feb. 29, 2008; Act No. 11690, Mar. 23, 2013>

(3)

The Minister of the Office for Government Policy Coordination may require the heads of various levels of administrative agencies to submit materials relating to the results of administrative investigations, the present status of joint investigations, etc. in order to conduct ascertainment and examination under paragraph (1). <Amended by Act No. 8852, Feb. 29, 2008; Act No. 11690, Mar. 23, 2013>

(4)	Matters regarding the administrative agencies subject to the ascertainment and examination of administrative investigations and the procedures for the ascertainment, examination and assessment of administrative investigations shall be prescribed by Presidential Decree.

Law Viewer

FRAMEWORK ACT ON ADMINISTRATIVE INVESTIGATIONS