§ 40-8.2-14. Investigative demand.
(a) Demand.
(1) The attorney general, or his or her designated assistant attorney general, shall have
the power to issue a subpoena or subpoena duces tecum.
(2) Whenever the attorney general has reasonable cause to believe that any person may
have knowledge or be in possession, custody, or control of any documentary material
pertinent to an investigation of a possible violation of this chapter, the attorney
general may issue in writing and cause to be served upon the person an investigative
demand by which he or she may:
(i) Compel the attendance of the person and require him or her to submit to examination
and give testimony under oath; and/or
(ii) Require the production of documentary material pertinent to the investigation for
inspection or copying; and/or
(iii) Require an answer to written interrogatories to be furnished under oath. The power
to issue investigative demands shall not abate or terminate by reason of the bringing
of any action or proceeding under this chapter. The attorney general may issue successive
investigative demands to the same person in order to obtain additional information
pertinent to an ongoing investigation.
(3) The civil investigative demands shall be filed in the superior court of the county
in which the person served with the demand shall dwell or have his or her principal
place of business.
(b) Contents of investigative demand. Each investigative demand shall:
(1) State the section or sections of the chapter, the alleged violation of which is under
investigation, and the general subject matter of this investigation;
(2) Prescribe a reasonable return date no less than forty (40) days after service of the
investigative demand, provided that an earlier date may be prescribed under compelling
circumstances, but in no event less than twenty (20) days;
(3) Specify the time and place at which the person is to appear and give testimony, produce
documentary material, and furnish answers to interrogatories or do any or a combination
of the aforesaid;
(4) Describe by class any documentary material required to be produced, so as to clearly
indicate what is demanded; and
(5) Contain any interrogatories to which written answers under oath are required.
(c) Prohibition against unreasonable demand. No investigative demand shall:
(1) Contain any requirement that would be unreasonable or improper if contained in a subpoena
issued by a court of this state; or
(2) Require the disclosure of any material or information that would be privileged, or
that for any other reason would not be required to be disclosed by a subpoena issued
by a court of this state, including, but not limited to, trade secrets or confidential
scientific, technical, merchandising, production, management, or commercial information,
to the extent that the same are protected pursuant to the Rhode Island rules of civil
procedure.
(d) Offer of documentary evidence. Where the information requested upon oral examination or written interrogatory pursuant
to an investigative demand may be derived or ascertained from the business records
of the person upon whom the demand has been served or from an examination, audit,
or inspection of the business records or from a compilation, abstract, or summary
based thereon, and the burden of deriving or ascertaining the answer is substantially
the same for the attorney general as for the person from whom the information is requested,
it is sufficient for that person to specify the records from which the answer may
be derived or ascertained, and to afford the attorney general reasonable opportunity
to examine, audit, or inspect the records and to make copies, compilations, abstracts,
or summaries.
(e) Service of investigative demand. An investigative demand may be served by any means provided under the Rhode Island
rules of civil procedure for service of a complaint in a civil action.
(f) Motion to quash. Within twenty (20) days after the service of an investigative demand, or at any time
before the return date specified therein, whichever period is shorter, the person
served may file in a state superior court and serve upon the attorney general a petition
for an order of court modifying or setting aside the demand. The time allowed for
compliance, in whole or in part, with the demand as deemed proper and ordered by the
court shall not run while the petition is pending before the court. The petition shall
specify each ground upon which the petitioner relies in seeking relief and may be
based upon any failure of the demand to comply with the provisions of this chapter
or upon any constitutional or other legal right, privilege, or qualified privilege
of the party, including that the material or information sought constitutes trade
secrets or confidential scientific, technical, merchandising, production, management,
or commercial information. If qualified privilege is raised, the court may order the
person to comply with the demand only upon a showing of particularized need and subject
to an appropriate protective order. The provisions of this subsection shall be the
sole and exclusive means for challenging the requirements of the demand.
(g) Those authorized to examine. The examinations of all persons pursuant to this section shall be conducted by the
attorney general, or his or her designee, before an officer authorized to administer
oaths in this state. The statement made shall be taken down stenographically or by
a sound-recording device and shall be transcribed.
(h) Right of persons served with investigative demands.
(1) Any person required to attend and give testimony or to submit documentary material
pursuant to this section shall be entitled to retain, or on payment of a lawfully
prescribed cost to procure, a copy of any document he or she produces and of his or
her own statements as transcribed.
(2) Any person compelled to appear under a demand for oral testimony pursuant to this
section may be accompanied, represented, and advised by counsel. Counsel may advise
the person in confidence, upon the request of the person. The person or counsel may
object on the record to any question, in whole or in part, and shall briefly state
for the record the reason for the objection. An objection may properly be made, received,
and entered upon the record when it is claimed that the person is entitled to refuse
to answer the question on grounds of any constitutional or other legal right or privilege,
including the privilege against self-incrimination. The person shall not otherwise
object to or refuse to answer any question, and shall not by himself or herself or
through counsel otherwise interrupt the oral examination. If the person refuses to
answer any question, the attorney general may petition the superior court for an order
compelling the person to answer the question.
(3) The information and materials supplied to the attorney general pursuant to an investigative
demand shall not be permitted to become public or be disclosed by the attorney general,
or his or her employees, beyond the extent necessary for enforcement purposes in the
public interest.
(4) Upon the completion of a case brought under this chapter, the attorney general shall
return any documents, answers, and transcripts, and all copies thereof, that have
not passed into the control of the court through the introduction thereof into the
record, to the person who provided the documents, answers, or testimony. If no case
in which the material may be used has been commenced within a reasonable time after
completion of the examination or analysis of all documentary material, but in no event
later than two (2) years after production thereof, the attorney general shall, upon
written request of the person who produced the material, return all documents, answers,
and transcripts, and all copies thereof, to the person who provided them.
(5) The attorney general shall have the authority, at any time, to modify or revoke any
investigative demand and to stipulate to protective orders with respect to documents
and information submitted in response to a demand. The protective orders shall include
provisions appropriate to the full and adequate protection of confidential healthcare
information pursuant to chapter 37.3 of title 5.
(i) Witness expenses. All persons served with an investigative demand, other than those persons whose conduct
or practices are being investigated or any officer, director, or person in the employment
of a person under investigation shall be paid the same fees and mileage as paid witnesses
in the courts of this state. No person shall be excused from attending the inquiry
pursuant to the mandate of an investigative demand or from giving testimony or from
producing documentary material or from being required to answer questions on the ground
of failure to tender or pay a witness fee or mileage, unless demand therefore is made
at the time testimony is about to be taken or unless payment thereof is not thereupon
made.
(j) Refusal of witness to testify or produce documents. Any person who shall neglect or refuse to attend and give testimony or to answer any
lawful inquiry or to produce documentary material, if in his or her power to do so,
in obedience to any investigative demand pursuant to this section, may be adjudged
in civil contempt by the superior court until such time as he or she purges himself
or herself of contempt by testifying, producing documentary material, or presenting
written answers as ordered. Any person who commits perjury or false swearing in response
to an investigative demand pursuant to this section shall be punished pursuant to
the provisions of chapter 33 of title 11.
(k) Duty to testify — Immunity.
(1) If, in any investigation brought by the attorney general pursuant to this section,
any individual shall refuse to attend or to give testimony or to produce documentary
material or to answer a written interrogatory in obedience to an investigative demand
or under order of court on the ground that the testimony or material required of him
or her may tend to incriminate him or her, that person may be ordered to attend and
to give testimony or to produce documentary material or to answer the written interrogatory,
or to do an applicable combination of these pursuant to § 12-17-15. The order described in this subsection shall be an order of court given after hearing
in which the attorney general has established a need for the grant of immunity, as
hereinafter provided.
(2) The attorney general may petition for an order as described in subsection (k)(1) for
any investigation pursuant to this chapter. The petition shall set forth the nature
of the investigation and the need for the immunization of any witness.
(3) Testimony so compelled shall not be used against the witness as evidence in any criminal
proceedings against him or her in any court. The grant of immunity shall not immunize
the witness from civil liability arising from the transactions about which testimony
is given, and he or she may nevertheless be presented or subjected to penalty or forfeiture
for any perjury, false swearing, or contempt committed in answering, or in failing
to answer, or in producing evidence, or failing to do so, in accordance with the order.
The foregoing shall not prevent the attorney general from instituting other appropriate
contempt proceedings against any person who violates any of the above provisions.
(l) Duty of public officials. It shall be the duty of all officials of this state and its public bodies, their deputies,
assistants, clerks, subordinates, or employees, and all other persons to reorder and
furnish to the attorney general when so requested, all information and assistance
in their possession or within their power.