Title 40
Human Services

Chapter 8.2
Medical Assistance Fraud

§ 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.