Rhode Island Code of Regulations
Title 410 - Board of Elections
Chapter 20 - Elections
Subchapter 00 - N/A
Part 8 - Investigations (410-RICR-20-00-8)
Section 410-RICR-20-00-8.2 - Investigation Procedure
Universal Citation: 410 RI Code of Rules 20 00 8.2
Current through September 18, 2024
8.2.1 Scope and Purpose
A. The Rhode Island Board
of Elections (Board), pursuant to its authority and responsibility to
investigate possible violations of election laws, sets forth the Investigation
Procedure under which it shall conduct investigations into possible violations
of election laws (including the campaign finance law) of the State of Rhode
Island.
B. Nothing contained in
this Investigation Procedure shall constitute a limitation on the Board's
authority, pursuant to R.I. Gen. Laws §
17-7-1, et seq., to conduct
expedited inquiries, investigations and hearings on exigent matters, relating
to possible violations of laws or regulations which could impede or affect the
fair administration and/or outcome of an election.
8.2.2 Initial Investigation
A. The Board, through its Executive Director
and staff ("staff'), may initiate an informal, initial investigation concerning
any matters relating to the election laws of the State of Rhode Island. The
investigation may include staff review of documents and informal inquiries by
Board staff of candidates, political action committees, political parties or
other persons who are subject to and governed by the election laws of the State
of Rhode Island. Such an initial investigation may also include inquiries to
and communications with other persons or legal entities that may have relevant
information.
B. In the event that
the Board staff determines that a more formal inquiry is appropriate, the
Board, either by vote of the Commissioners or at the discretion of the
Executive Director or staff, may conduct further inquiries as set forth in the
following section.
8.2.3 Formal Investigation
A. The
Board, by decision, which may be made in executive session, may conduct a
formal investigation into possible violations of election laws or regulations.
In such a situation, the subject of the investigation shall be notified and
shall have the right to be represented by legal counsel. The notice to the
subject of the investigation will briefly identify or summarize the basis for
the decision to conduct said investigation. A formal investigation may include,
but is not limited to, the following:
1. An
audit of a candidate's books and records;
2. Interviews of candidates, agents and
representatives of candidates, political action committees, and political party
committees;
3. Investigations into
reported contributions by contacting reported contributors;
4. Verification of disbursement information
by contacting vendors;
5.
Submission of written questions to the subject of the investigation or other
persons who may have relevant knowledge or information;
6. Requests for the production of documents;
and
7. Conducting depositions under
oath.
B. The Board
staff, as well as any designated agent, including legal counsel, may conduct
private interviews with any individual who may have information relevant to any
matter under investigation. Any person who is so interviewed shall have the
right to have his or her legal counsel present. Interviews may be conducted
under oath or affirmation and may be recorded by hand, electronically or by
stenographic means.
8.2.4 Subpoenas and Subpoena Duces Tecum
A. The Board has the statutory
authority to issue subpoenas, signed by the Board's Executive Director acting
as its Secretary, requiring any person to attend and to provide testimony by
deposition and/or to produce books, records, correspondence and any other
documents or evidence, including any documents or evidence in electronic form,
that may be relevant to the matter under investigation.
B. A witness required by subpoena to testify
or to produce documents and/or other evidence shall comply with the subpoena,
unless otherwise authorized by the Board's representative. A timely written
request for a change of date or time will ordinarily be allowed provided that
it is not made for purposes of delay and will not interfere with the
investigation.
C. A failure to
attend and give testimony or to produce documents as commanded by a subpoena or
subpoena duces tecum may result in contempt proceedings before the Board,
pursuant to R.I. Gen. Laws §
17-7-8.
8.2.5 Service of Subpoenas
A. Service of a subpoena upon a person named
therein shall be made by delivering a copy to that person in the following
manner:
1. Whenever service is to be made
upon a person who is represented by an attorney who has filed an entry of
appearance with the Board, the service shall be made upon the attorney by
delivering the subpoena to the attorney or leaving a copy of the subpoena at
the office of the attorney with the person in charge of the office or if
neither is available, with a person of suitable age at the office of the
attorney. Service may also be made by fax or email provided that the Board must
receive confirmation by fax or email of receipt of the subpoena from the
attorney for the subpoena to be in effect. Delivery of subpoenas to a natural
person may be made by handing a copy to the person, or leaving a copy at his or
her office with the person in charge of the office or if neither is available,
with a person of suitable age at the office or by leaving a copy at his or her
dwelling place or usual place of abode with some person of suitable age and
discretion residing therein or by mailing a copy by registered or certified
mail to his or her last known address or by any other method whereby actual
notice is given. Service may also be made by fax or email provided that the
Board must receive confirmation by fax or email of receipt of the subpoena from
the person, for the subpoena to be in effect.
2. When the person to be served is not a
natural person, delivery of subpoenas may be made by mailing a copy by
registered or certified mail to the person at its place of business or by
handing a copy to a registered agent for service or to any officer, director,
or agent in charge of any office of such person or by mailing a copy by
registered or certified mail to such representative at his or her last known
address or by any other method whereby actual notice is given. Service may also
be made by fax or email provided, however, that the Board must receive
confirmation by fax or email of receipt of the subpoena from the person, for
the subpoena to be in effect.
8.2.6 Depositions Pursuant to Subpoena
A. A witness required by
subpoena to testify or produce documents or other evidence, shall be provided
with the following:
1. a copy of the
subpoena;
2. at least 48 hours
notice of the time and place of the deposition, unless such notice will unduly
interfere with the investigation; and
3. a copy of this Investigation
Procedure.
B. Witnesses
required by subpoena to testify or to produce documents or other evidence shall
provide testimony and/or documents and other evidence under oath. The Board's
staff, legal counsel or any designated special counsel, will conduct such
depositions in private. A deposition may be taken before any person having the
power to administer oaths.
C. Any
person to whom a subpoena or subpoena duces tecum is directed may be
accompanied at his or her deposition by his or her own counsel. Counsel for the
witness shall not be permitted to examine or cross-examine the witness, but the
witness shall have the right to consult with his or her counsel during the
deposition.
D. At the deposition of
a witness called to testify by subpoena, the witness, after being sworn, shall
be permitted to make a brief opening statement; and at the close of his or her
testimony, the witness may make a brief closing statement. The Board's
representative may ask the witness additional questions after the witness's
closing statement.
E. A witness or
his or her counsel may object to a question on the ground of self-
incrimination. A witness may refuse to answer a question on the ground of this
privilege. If a witness claims the privilege, he or she shall not be required
to answer the question at that time.
8.2.7 Deposition Materials
A. All books, papers and records produced
pursuant to a subpoena issued under this section shall be retained by the Board
during the pendency of the investigation.
B. Tapes, transcripts and other records and
evidence obtained as the result of a subpoena shall be kept confidential during
the pendency of the investigation except as otherwise necessary to further the
investigation.
8.2.8 Motions to Quash or Modify a Subpoena
Any person to whom a subpoena is directed may, prior to the time specified therein for compliance, but in no event more than five (5) days after the date of receipt of such subpoena, file a motion with the Board to quash or modify such subpoena, that shall contain the reason(s) therein with the Board's Executive Director and a copy shall be served upon the Board's representative in the matter. The Executive Director or any other designee of the Chairman of the Board of Elections shall after hearing, determine if the subpoena should be quashed or modified.
8.2.9 Confidentiality of Investigation
A. Investigations may
remain confidential to protect the privacy of the subject of the investigation
and to prevent witnesses from coordinating testimony; or the destruction or
tampering with evidence; or otherwise interfering with an
investigation.
B. The investigation
and documents, including any interview notes and deposition transcripts and
exhibits, gathered or created during the investigation, shall be held
confidential during the investigation, except as otherwise necessary to further
the investigation.
C. If the Board
finds no reason to believe that a violation has been committed, all records and
papers pertaining to the investigation shall be kept confidential unless
further legal proceedings are instituted.
D. Nothing herein shall be construed to
prevent the introduction of evidence in federal or state court that could
properly be introduced pursuant to the applicable Rules of Evidence or Rules of
Procedure.
8.2.10 Board Review at Conclusion of Investigation
A. Upon the conclusion of an investigation,
should the Board and/or its Executive Director and staff determine that no
referral or other further action is warranted, they shall close the
investigation and so notify the subject of said investigation. Unless otherwise
stated, the notification shall be without prejudice to reopening the
investigation if the Board receives additional information.
B. When the Executive Director, staff or
counsel assigned to the matter concludes that there is reason to believe that a
violation of law or regulation may have occurred, they shall submit a written
report to the Board Commissioners. The report shall contain a summary of the
facts and legal conclusions, as well as, any recommendations. The subject of
the investigation shall be served with a copy of the report and shall be given
an opportunity to respond to it in writing
C. After receipt of the response or when the
response time period has expired, the Board shall conduct such review and
hearing, as it deems appropriate under all the circumstances involved in the
particular matter which may include:
1.
Finding that no violation has occurred or that the Board has no reason to
believe that a violation has occurred;
2. Finding that the subject of the
investigation has agreed that one or more violations have occurred of specific
sections of the General Laws and/or applicable regulations and issuing a
remedial order accordingly;
3.
Returning the matter to the Board Executive Director, staff or counsel for
additional investigation;
4.
Finding that there is reason to believe that a violation or violations of
specific sections of the General Laws and/or applicable regulations may have
occurred and ordering that an adjudicatory proceeding be held in order to
determine whether or not such violations have in fact occurred;
5. Finding that that there is reason to
believe that a violation or violations of specific sections of the General Laws
and/or applicable regulations may have occurred, and referring the matter to
the Attorney General for possible enforcement action.
D. In the event that the subject of the
investigation relates to campaign contributions and expenditure reporting
requirements, R.I. Gen. Laws §
17-25-1 et seq., whenever the
Board finds that it has reason to believe that a candidate, political party
committee or political action committee, or the campaign treasurer or deputy
campaign treasurer of a candidate or committee, has accepted a contribution or
made an expenditure in violation of R.I. Gen. Laws Chapter 17-25, or willfully
and knowingly has made a false statement in any of the reports required under
this chapter or fail to file any report, or has otherwise violated said
chapter, the Board may, in addition to all other actions authorized by law,
request the Attorney General to bring an action in the name of the State of
Rhode Island in the Superior Court against the person and/or committee to
enjoin them from continuing the violation, or doing any acts in furtherance of
the violation, and may request any other relief that the court deems
appropriate.
E. In addition, the
court may order the forfeiture of any or all contributions accepted in
violation of and/or not reported as required by law. All such contributions so
forfeited shall become the property of the State. The Superior Court is also
authorized to impose a civil penalty not exceeding three times the amount of:
1. contributions made or accepted in
violation of this chapter;
2.
expenditures made in violation of the law; and/or
3. contributions or expenditures not reported
as required by law.
F.
Any funds collected pursuant to R.I. Gen. Laws §
17-25-16 shall be deposited in a
fund established for the public financing of the electoral system in accordance
with the Rhode Island General Laws.
G. The Board will not make a finding that the
subject of an investigation has committed a violation of law or regulation
without providing the subject with notice and the opportunity for a hearing.
The nature of the hearing will be determined by the Board in each case based
upon the nature of the case, the public and private interests involved, and the
exigency of the circumstances.
H.
This procedure shall not act to limit the Board's authority in any manner,
including, but not limited to, conducting hearings, issuing temporary orders,
ratifying consent decrees or any other duty or authority prescribed by law or
practice to the Board of Elections.
8.2.11 Implementation
A. The Board of Elections may promulgate
procedures and forms necessary to implement the within rules and regulations
required under the Rhode Island General Laws.
B. This Part is adopted this day of May 2008
pursuant to the Administrative Procedures Act (R.I. Gen. Laws
42-35-1, et seq.).
C. By Order of the Rhode Island Board of
Elections. Adopted at a meeting of the State Board of Elections held on this
day of May 2008.
Disclaimer: These regulations may not be the most recent version. Rhode Island may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.
