2009 nasaa attorney/investigator training drafting and enforcing subpoenas martin cordell,...

2009 NASAA 2009 NASAA Attorney/Investigator TrainingAttorney/Investigator Training

Drafting and Enforcing Subpoenas

• Martin Cordell, Enforcement Attorney:

• 360-902-8772, mcordell@dfi.wa.gov

• Bennette Zivley, Director, Inspections and Compliance

• (512) 305-8394 bzivley@ssb.state.tx.us

Drafting and Enforcing Subpoenas

• What is it?

• Why do you use it?

• When do you use it?

• Sample drafts

• Enforcing a Subpoena

Subpoena: A written Order to produce testimony, documents, things or submit to examination

• Subpoena Duces Tecum– Production of Documents

• Subpoena To Testify– Testimony Provided

• Subpoena for documents & testimony

• Authority for administrative subpoenas comes from Statute.

• Agency head may delegate authority.

• Failure to comply may be sanctioned by civil contempt proceedings

Subpoena Elements

• Caption or name of the case

• Case number

– Name of recipient• Correct person or entity identified?• Who is custodian of the records?

Subpoena Elements

• Place, date and time of production or testimony

• What is to be produced or provided• Time period for requested documents reasonable?• Statute of limitations considerations?• Generally can only request records that are in

existence at the date the subpoena is served.

Subpoena Elements • Statutory Authority

• Sanction for disobedience

• Date of Issuance

• Issuing Authority Signature

• Drafting tip:

• If clear that focus of subpoena is very narrow, use specificity in the description of items requested.

• If focus not clear, a broad subpoena can help avoid the need to issue a second subpoena.

Typical Subpoena Types• Issuer

• Banks

• Licensee

• Registrant

• Phone Records

• Credit Card

• Electronic Evidence

• Used when documents not voluntarily produced – Subpoena Alternatives:

• Informal Requests for Voluntary Production• Examination of Licensees/Registrants

• Used to gather and preserve evidence– Targets– Third Party Witnesses

Subpoena Cover Letters• Limitation/Conditions on What and When

Requested Items Are Produced – Can assist in clarifying what is needed.

Registrant– Can limit unwanted materials. – Can expedite production of the “good stuff.” – “Rolling production" can be arranged so that

certain documents are produced first and additional documents can be produced over time or upon request.

Issuance and Service Issues

• Specificity/Overbroad requests

–Non-relevant documents

• Privileges, Protected Materials, Other

• Return Date

• Formalities/signature

Issuance and Service Issues

• Proof of Service

–Personal

–Service by Certified Mail/Regular Mail

–Acceptance by recipient’s attorney