Responding to Federal Hearing Subpoenas in Administrative Proceedings

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Last Updated on: 2nd October 2023, 05:52 pm

 

Responding to Federal Hearing Subpoenas in Administrative Proceedings

Getting a subpoena to appear at a federal hearing can be intimidating. You may be wondering, “Do I have to comply?” This article will walk you through the key things to know about federal hearing subpoenas in administrative proceedings. We’ll cover what a subpoena is, your options for responding, and some strategies for handling the process smoothly.

What is a Federal Hearing Subpoena?

A federal hearing subpoena orders you to appear at a hearing to give testimony or provide documents. It is issued by the administrative law judge overseeing the case. These subpoenas are used in proceedings before federal agencies like the SEC, FTC, or NLRB.

For example, if the SEC is investigating a company for securities fraud, they may want to subpoena a former employee to testify at a hearing. The subpoena gives them the power to compel that person’s attendance and testimony.

Do I Have to Comply with the Subpoena?

In most cases, yes. Failure to comply can lead to being held in contempt of court, which can mean fines or even jail time. There are some exceptions where you may be able to get out of complying:

• The subpoena imposes an undue burden or hardship
• The subpoena seeks privileged information
• You are located outside the geographic reach of the subpoena

If one of these applies, you can file a motion to quash or modify the subpoena. This asks the judge to cancel or change the subpoena.

How to Handle a Federal Hearing Subpoena

Here are some tips if you get subpoenaed:

1. Don’t ignore it. You must respond in a timely manner.
2. Notify your employer if relevant. They may want legal counsel present.
3. Hire an attorney. An experienced lawyer can protect your rights.
4. File a motion to quash if there are grounds.
5. Negotiate the scope. See if a compromise is possible.
6. Get your documents in order. Make copies of anything relevant.
7. Prepare your testimony. Review your records and recollection.
8. Show up early. Arrive at least 30 minutes before the hearing.
9. Bring an attorney. You have a right to counsel.
10. Answer truthfully. Lying can lead to criminal charges.

The Motion to Quash: Your Key Defense

Let’s take a closer look at motions to quash, one of your main options for fighting the subpoena. As we mentioned earlier, you can file this motion asking the judge to cancel or modify the subpoena if it would cause undue burden or seeks privileged information.

Grounds for Quashing

Here are some common reasons a motion to quash may be granted:

• The subpoena requires traveling too far
• The subpoena is overbroad or seeks irrelevant information
• The subpoena would reveal confidential/proprietary business information
• The subpoena would reveal privileged communications with your attorney
• The subpoena requires revealing a trade secret

The key is explaining why compliance would be unreasonable or oppressive. You need to show there is no way to avoid the harm besides quashing the subpoena.

Process for Filing

To file a motion to quash:

1. Submit a written motion stating your reasons for objecting to the subpoena
2. Send a copy to the counsel who issued the subpoena
3. Attend the motion hearing and argue your case

The judge may quash the subpoena, keep it as is, or modify it to be less burdensome. If they deny your motion, you can appeal the decision by filing a petition in federal district court under the Administrative Procedure Act.

Strategies for Your Motion

Here are some tips for making a persuasive motion to quash:

• Emphasize the burden. Quantify time/costs as much as possible.
• Explain the harm. Lost business, damaged reputation, etc.
• Offer alternatives. Propose a compromise like a narrower subpoena.
• Cite case law. Use precedents that support your position.
• Act promptly. This shows the burden is truly severe.

With the right legal arguments and some creativity, you can often get an unreasonable subpoena withdrawn or scaled back.

Complying with a Subpoena for Documents

Subpoenas can require you to produce documents as well as give testimony. This might include emails, reports, records, or other files relevant to the case. You’ll need to gather, organize, and deliver the documents in a timely manner.

The subpoena should specify what documents are required and the deadline for producing them. They may require you to bring them to the hearing or submit them beforehand.

If you receive a document subpoena, take these steps:

1. Notify your employer if the subpoena seeks business records.
2. Speak with an attorney to identify privileged/protected information.
3. Negotiate the scope if it’s overbroad.
4. Search thoroughly to avoid missing anything.
5. Organize documents and make copies.
6. Bates stamp all documents for identification.
7. Withhold privileged or unrelated documents.
8. Provide a privilege log explaining what was withheld.
9. Get a receipt when delivering documents.

Follow all instructions carefully. If you fail to comply, you could face sanctions from the judge overseeing the case.

What to Expect at the Hearing

If the subpoena requires you to testify at a hearing, understand what will take place:

• Arrive early and locate the hearing room.
• Check in with the court clerk or bailiff.
• Take an oath to tell the truth.
• Answer questions from the attorneys/judge.
• Stick to facts you know firsthand.
• Avoid guessing or speculating.
• Speak clearly and maintain composure.
• Refuse to answer improper questions.
• Do not bring prohibited items like phones or weapons.

Some other tips:

• Dress professionally as you would for court.
• Be polite, even if questions get testy.
• Ask for a break if you need one.
• Review your records again right before testifying.
• Bring an attorney to advise you.

Stick to the facts and don’t lose your cool. With preparation, you can get through testimony calmly and clearly.

Consequences of Noncompliance

It’s important to take a subpoena seriously, as the consequences of ignoring it can be severe. If you fail to comply with a federal hearing subpoena without an adequate excuse, the judge can hold you in contempt of court. This can lead to:

• Fines, potentially over $1,000
• Jail time
• A default judgment against you if you’re a party
• Reimbursing the other party’s attorney fees

In some cases, noncompliance can even lead to criminal charges like obstruction of justice. Don’t let it get to that point. If you have legitimate objections, make them through the proper channels. Otherwise, follow the subpoena’s directives.

Getting Legal Help

Navigating federal hearing subpoenas can be tricky, especially if you lack legal training. Consider hiring an attorney to protect your rights through the process. Look for someone experienced with federal administrative proceedings.

An attorney can:

• Review your subpoena and assess possible objections
• File a motion to quash or modify the subpoena
• Negotiate the subpoena’s scope with opposing counsel
• Advise you during document production
• Prepare you for hearing testimony and attend with you
• Represent you if contempt charges are pursued

Having an attorney makes it much more likely you will respond properly and avoid penalties. It’s a worthwhile investment to protect yourself.

In Conclusion

Federal hearing subpoenas can’t be ignored, but you have options. Carefully review the subpoena for unreasonable or burdensome demands. File a motion to quash if grounds exist. Negotiate the scope if possible. With preparation and professional help, you can get through the process smoothly. Understand your rights and obligations, and don’t be afraid to push back against overreach while still complying with lawful orders. This balanced approach will serve you best.