# Art. 38 — General investigations

1. In order to carry out its duties under this Regulation, the [Lead Overseer](https://www.mica.wtf/definitions/definitions/dora/lead-overseer), assisted by the joint examination team referred to in [Article 40(1)](/dora/digital-operational-resilience-act/chapter-v-managing-ict-third-party-risk/article-40-ongoing-oversight.md), may, where necessary, conduct investigations of [critical ICT third-party service providers](https://www.mica.wtf/definitions/definitions/dora/critical-ict-third-party-service-provider).
2. The [Lead Overseer](https://www.mica.wtf/definitions/definitions/dora/lead-overseer) shall have the power to:
   1. examine records, data, procedures and any other material relevant to the execution of its tasks, irrespective of the medium on which they are stored;
   2. take or obtain certified copies of, or extracts from, such records, data, documented procedures and any other material;
   3. summon representatives of the [critical ICT third-party service provider](https://www.mica.wtf/definitions/definitions/dora/critical-ict-third-party-service-provider) for oral or written explanations on facts or documents relating to the subject matter and purpose of the investigation and to record the answers;
   4. interview any other natural or legal person who consents to be interviewed for the purpose of collecting information relating to the subject matter of an investigation;
   5. request records of telephone and data traffic.
3. The officials and other persons authorised by the [Lead Overseer](https://www.mica.wtf/definitions/definitions/dora/lead-overseer) for the purposes of the investigation referred to in paragraph 1 shall exercise their powers upon production of a written authorisation specifying the subject matter and purpose of the investigation.

   That authorisation shall also indicate the periodic penalty payments provided for in [Article 35(6)](/dora/digital-operational-resilience-act/chapter-v-managing-ict-third-party-risk/article-35-powers-of-the-lead-overseer.md) where the production of the required records, data, documented procedures or any other material, or the answers to questions asked to representatives of the [ICT third-party service provider](https://www.mica.wtf/definitions/definitions/dora/ict-third-party-service-provider) are not provided or are incomplete.
4. The representatives of the [critical ICT third-party service providers](https://www.mica.wtf/definitions/definitions/dora/critical-ict-third-party-service-provider) are required to submit to the investigations on the basis of a decision of the [Lead Overseer](https://www.mica.wtf/definitions/definitions/dora/lead-overseer). The decision shall specify the subject matter and purpose of the investigation, the periodic penalty payments provided for in [Article 35(6)](/dora/digital-operational-resilience-act/chapter-v-managing-ict-third-party-risk/article-35-powers-of-the-lead-overseer.md), the legal remedies available under Regulations (EU) No 1093/2010, (EU) No 1094/2010 and (EU) No 1095/2010, and the right to have the decision reviewed by the Court of Justice.
5. In good time before the start of the investigation, the [Lead Overseer](https://www.mica.wtf/definitions/definitions/dora/lead-overseer) shall inform competent authorities of the financial entities using the [ICT services](https://www.mica.wtf/definitions/definitions/dora/ict-services) of that [critical ICT third-party service provider](https://www.mica.wtf/definitions/definitions/dora/critical-ict-third-party-service-provider) of the envisaged investigation and of the identity of the authorised persons.

   The [Lead Overseer](https://www.mica.wtf/definitions/definitions/dora/lead-overseer) shall communicate to the JON all information transmitted pursuant to the first subparagraph.


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