Code of Massachusetts Regulations
945 CMR - OFFICE OF THE INSPECTOR GENERAL
Title 945 CMR 1.00 - Rules Of Procedure
Section 1.06 - Summonses

(a) The Inspector General may issue summonses requiring the production of any records, reports, audits, reviews, papers, books, documents, recommendations, correspondence or other material relevant to any matter under investigation, audit or review by the Office; excepting records subject to the provisions of M.G.L.c. 66, § 18 as defined in M.G.L. c. 66, § 3.

(b) A summons issued pursuant to 945 CMR 1.06(1)(a) may be issued to any person, private organization or public body, including, without limitation, any officer, partner, proprietor, employee, or custodian of records of any private organization or public body.

(c) A summons issued pursuant to 945 CMR 1.06(1)(a) shall be served in the same manner as are summonses for the production of documents in civil cases issued on behalf of the Commonwealth.

(d) Books and papers produced pursuant to a summons issued under 945 CMR 1.06(1)(a) shall be retained by the Office of the Inspector General for so long as needed for completion of the investigation, audit or review being conducted. A person who has produced records pursuant to such a summons issued under 945 CMR 1.06(1)(a) may request the Inspector General to provide access to the records for inspection or copying at the party's expense. Such access shall be permitted at any reasonable time excepting only when it unduly interferes with the Office or its staff.

(e) A summons issued pursuant to 945 CMR 1.06(1)(a) shall be approved and issued by the Inspector General or his designee. For purposes of 945 CMR 1.06(1)(e), the designees of the Inspector General shall be restricted to the First Assistant Inspector General, Assistant Inspector General for Investigations and General Counsel as authorized to approve and issue summonses for records and documents.

(f) The person to whom a summons is issued pursuant to 945 CMR 1.06(1)(a) may seek modification of the scope or conditions for compliance with the summons by applying in writing within five calendar days to the Inspector General or his designee identified on the summons. Such application shall state with particularity the extent of the requested modification and the reasons thereof. The scope or conditions for compliance with a summons may be modified only by the Inspector General or his designee.

(g) In the case of public bodies or officials, records, documents or other material shall ordinarily be sought first by request for voluntary production rather than by issuance of a summons under 945 CMR 1.06(1)(a), unless doing so would, in the judgment of the Inspector General, unduly interfere with the investigation, audit or review being conducted.

(h) Neither the issuance of a summons nor any record or document produced under 945 CMR 1.06(1) shall be made public by the Inspector General or any officer, employee or agent of the Office .

(a) The Inspector General may issue summonses requiring any person to attend and testify under oath or affirmation at a private session or to attend and testify under oath at a private session and to produce books and records, if the Inspector General has reason to believe that such person has information relevant to any matter under investigation, audit, or review by the Office.

(b) A summons issued pursuant to 945 CMR 1.06(2)(a) shall be issued only with the prior affirmative vote of six members of the Inspector General Council.

(c) The Inspector General may convene a meeting of the Inspector General Council at any time for the purpose of seeking and obtaining approval for issuance of a summons under 945 CMR 1.06(2)(a).

(d) To seek and obtain approval for issuance of a summons under 945 CMR 1.06(2)(a), the Inspector General or his designee shall present to the Inspector General Council a report which shall include, but is not limited to: the name and address of the prospective witness, a summary of the status of the investigation, a statement of reasons for requesting the summons, and a summary of the general scope of inquiry to be made of the prospective witness. The Inspector General Council may request, and the Inspector General shall provide, additional relevant information. If the Inspector General has determined that it is necessary to the conduct of the investigation, audit or review to provide the prospective witness with less than forty-eight (48) hours' notice of the requirement to attend and testify at a private session or to attend and testify and produce books and records, he shall include in his report a statement of reasons for the necessity of a shortened notice period and a recommended date and time for the convening of the private session. The prior approval of six members of the Inspector General Council shall be required for issuance of a summons under 945 CMR 1.06(2)(a) for attendance and testimony and the production of books and records with less than 48 hours' notice to the prospective witness.

(e) If issuance of a summons under 945 CMR 1.06(2)(a) is approved by six members of the Inspector General Council, the Council shall determine those persons before whom the prospective witness shall attend and testify under oath or affirmation at a private session. The Inspector General Council shall select at least one person to participate in the taking of such testimony. It may, in its discretion, select more than one person. The person or persons selected by the Inspector General Council shall be the Attorney General or his designee; or the State Auditor or his designee; or the Secretary of Public Safety or his designee; or the State Comptroller or his designee; or another member or members of the Inspector General Council. The Inspector General shall designate at least one employee of the Office, who is an attorney admitted to practice in the Commonwealth, to participate in the taking of testimony at such private session. The designee of the Inspector General shall be approved by the Inspector General Council. Selection or approval of persons to participate in the taking of testimony at the private session shall be by majority vote of those members of the Inspector General Council present and voting.

(f) Summonses issued pursuant to 945 CMR 1.06(2)(a) shall be served in the same manner as are summonses for witnesses issued on behalf of the Commonwealth in a civil case.

(g) A person summonsed under 945 CMR 1.06(2)(a) to attend and testify and produce books and records shall produce such books and records at the private session if directed to do so, or at any other time and place required or agreed upon by the First Assistant Inspector General or other employee of the Office selected to participate in the taking of testimony at the private session and the prospective witness or his attorney.

(h) A witness required by summons to attend and testify, or attend and testify and produce books and records, shall be provided with the following:

(i) Any request by a prospective witness for a change of the date or time of his appearance to attend and testify or to attend and testify and produce books and records at a private session must be received by the Office of the Inspector General no later than 24 hours before the witness is scheduled to testify. The request must be in writing and must state the reasons for the requested change. The request must be addressed to the attention of the Inspector General, who shall refer it to the persons selected or approved by the Inspector General Council to participate in the taking of testimony at the private session. Such persons shall have discretionary authority to grant such a request. A request will ordinarily be allowed if it is not made for purposes of delay and if allowing the request will not unduly interfere with the conduct of the investigation or audit.

(j) Any objections of a witness to a summons issued pursuant to 945 CMR 1.06(2)(a) must be made in writing, must state the reasons for the objection, must be addressed to the attention of the Inspector General, and must be received by the Office of the Inspector General no later than 24 hours before the witness is scheduled to attend and testify, or to attend and testify and produce books and records.

(k) A witness who is required by summons issued pursuant to 945 CMR 1.06(2)(a) to attend and testify, or to attend and testify and produce books and records at a private session, may file a sworn written statement with respect to any facts which the witness wishes to bring to the attention of the Office of the Inspector General. Such statement shall be made part of the record of the private session. Such statement may be filed in advance of the private session, at the time of the taking of testimony, or within five days after the private session has been concluded or adjourned.

(l) The issuance of a summons under 945 CMR 1.06(2)(a) shall not be made public by the Inspector General, any officer or employee of the Office, any member of the Inspector General Council, or any person designated to hear testimony under 945 CMR 1.06(2)(e). Unauthorized disclosure of the issuance of a summons shall be subject to criminal penalties pursuant to St. 1980, c. 388, s 2.