Rhode Island Regulations § 100-RICR-40-15-1.13 Failure to Register and Investigations by the Secretary

A. The Secretary may initiate a preliminary investigation into the activities of any Person who has allegedly been engaged in Lobbying without registration, or who may be in violation of these regulations or the Act for another reason.

B. Within thirty (30) calendar days of the commencement of such investigation, the Secretary will notify the Person who is the subject of investigation of the existence of the investigation and the general nature of the alleged violation.

C. As part of the investigation, the Secretary may request books, papers or other documents directly relating to services rendered or Compensation received in connection with Lobbying. If such information is not willingly provided to the Secretary within twenty (20) calendar days following the request, the Secretary may file a complaint with the superior court. The complaint may request such relief as is reasonably required by the Secretary to conduct the investigation. The court may enter an order for the relief requested or may modify the relief in the court's reasonable discretion.

D. If the Secretary's investigation fails to indicate that there is probable cause to believe a violation occurred, the Secretary will immediately terminate the investigation, dismiss any applicable complaint, and notify the alleged violator in writing within twenty (20) calendar days.

E. If the Secretary's preliminary investigation indicates that there is probable cause to believe a violation occurred, the Secretary may petition the court for a declaratory judgment regarding the suspected violation. Before making a decision, the court may require the production of documents or testimony. If the court determines by the preponderance of the evidence that a violation has occurred, the Secretary may further petition the court for appropriate relief, which may include an order to pay a civil penalty of up to five thousand dollars ($5,000) per violation, and/or revocation of a registration for a period of up to three (3) years.

F. Expressly excepting any records provided by the Secretary to the attorney general for use in a criminal proceeding pursuant to § 15 (F) of this Part, or made part of a complaint to the court, all of which may be public records, records accumulated by the Secretary in connection with an investigation of an alleged violation will be confidential pursuant to the Access to Public Records Act, R.I. Gen. Laws § 38-2-1 et seq.