First Substitute H.B. 414

This document includes Senate 3rd Reading Floor Amendments incorporated into the bill on Wed, Mar 12, 2014 at 12:30 PM by bhansen. -->

Senator John L. Valentine proposes the following substitute bill:


             1     
LEGISLATIVE SUBPOENA AMENDMENTS

             2     
2014 GENERAL SESSION

             3     
STATE OF UTAH

             4     
Chief Sponsor: James A. Dunnigan

             5     
Senate Sponsor: John L. Valentine

             6     
             7      LONG TITLE
             8      General Description:
             9          This bill amends provisions relating to a legislative subpoena.
             10      Highlighted Provisions:
             11          This bill:
             12          .    defines terms;
             13          .    describes the nature and purpose of a legislative subpoena;
             14          .    establishes a process for the subject of a legislative subpoena to challenge a
             15      legislative subpoena before a legislative review committee;
             16          .    provides that a legislative review committee has the sole and final authority to hear
             17      and rule on a challenge to a legislative subpoena;
             18          .    describes the grounds upon which the subject of a subpoena may challenge a
             19      legislative subpoena;
             20          .    describes the action that a legislative review committee may take after a hearing on
             21      a challenge to a legislative subpoena;
             22          .    establishes a process for the issuer of a legislative subpoena to file a motion with a
             23      legislative review committee to find a person in civil contempt of the Legislature
             24      and to compel obedience to the legislative subpoena;
             25          .    describes the action that a legislative review committee may take after a hearing on


             26      a motion described in the preceding section;
             27          .    provides for a legislative subpoena to be reissued as a court subpoena in order to
             28      assist with enforcement of the subpoena outside of Utah;
             29          .    establishes and describes the membership and functioning of a legislative review
             30      committee;
             31          .    provides for the civil enforcement of a legislative subpoena by a court; and
             32          .    establishes and describes the class A misdemeanor crime of criminal contempt of
             33      the Legislature.
             34      Money Appropriated in this Bill:
             35          None
             36      Other Special Clauses:
             37          None
             38      Utah Code Sections Affected:
             39      AMENDS:
             40           36-14-1 , as last amended by Laws of Utah 2013, First Special Session, Chapter 1
             41      ENACTS:
             42           36-14-5.3 , Utah Code Annotated 1953
             43           36-14-5.5 , Utah Code Annotated 1953
             44           36-14-7 , Utah Code Annotated 1953
             45      REPEALS AND REENACTS:
             46           36-14-5 , as last amended by Laws of Utah 2013, First Special Session, Chapter 1
             47     
             48      Be it enacted by the Legislature of the state of Utah:
             49          Section 1. Section 36-14-1 is amended to read:
             50           36-14-1. Definitions.
             51          As used in this chapter:
             52          (1) "Disputative motion" means:
             53          (a) a motion to quash a legislative subpoena; or
             54          (b) a motion for a protective order in relation to a legislative subpoena.
             55          [(1)] (2) "Issuer" means a person authorized to issue a subpoena by this chapter.
             56          [(2)] (3) "Legislative body" means:


             57          (a) the Legislature;
             58          (b) the House or Senate; or
             59          (c) any committee or subcommittee of the Legislature, the House, or the Senate.
             60          [(3)] (4) "Legislative office" means the Office of Legislative Research and General
             61      Counsel, Office of the Legislative Fiscal Analyst, and the Office of the Legislative Auditor
             62      General.
             63          (5) "Legislative review committee" means:
             64          (a) a committee consisting of each member of the House Management Committee if
             65      the subpoena is issued by:
             66          (i) the speaker of the House;
             67          (ii) a chair of any House committee or House subcommittee; or
             68          (iii) a person described in Subsections 36-14-2 (1)(i) through (l) on behalf of the House
             69      or on behalf of a person described in Subsection (5)(a)(i) or (ii);
             70          (b) a committee consisting of each member of the Senate Management Committee if
             71      the subpoena is issued by:
             72          (i) the president of the Senate;
             73          (ii) a chair of any Senate committee or Senate subcommittee; or
             74          (iii) a person described in Subsections 36-14-2 (1)(i) through (l) on behalf of the Senate
             75      or on behalf of a person described in Subsection (5)(b)(i) or (ii); or
             76          (c) a committee consisting of each member of the Legislative Management Committee
             77      for a legislative subpoena that is not described in Subsection (5)(a) or (b).
             78          [(4)] (6) "Legislative staff member" means an employee or independent contractor of a
             79      legislative office.
             80          [(5)] (7) "Legislative subpoena" means a subpoena issued by an issuer on behalf of a
             81      legislative body or legislative office and includes:
             82          (a) a subpoena requiring a person to appear and testify at a time and place designated in
             83      the subpoena;
             84          (b) a subpoena requiring a person to:
             85          (i) appear and testify at a time and place designated in the subpoena; and
             86          (ii) produce accounts, books, papers, documents, electronically stored information, or
             87      tangible things designated in the subpoena; and


             88          (c) a subpoena requiring a person to produce accounts, books, papers, documents,
             89      electronically stored information, or tangible things designated in the subpoena at a time and
             90      place designated in the subpoena.
             91          [(6)] (8) "Special investigative committee" is as defined in Subsection 36-12-9 (1).
             92          Section 2. Section 36-14-5 is repealed and reenacted to read:
             93          36-14-5. Legislative subpoenas -- Challenges -- Enforcement.
             94          (1) A legislative subpoena:
             95          (a) is an order issued by the legislative branch of state government, backed by the
             96      power vested in the Legislature under the Utah Constitution, and backed by the authority of
             97      state law, to enable the Legislature to fulfill the Legislature's constitutional and statutory duties
             98      and to exercise the Legislature's constitutional and statutory power, to the fullest extent, in the
             99      interests of the citizens of Utah; and
             100          (b) is not a mere discovery device.
             101          (2) A legislative review committee has the sole authority to hear and decide a
             102      disputative motion.
             103          (3) (a) A person may not file with a court, and a court does not have jurisdiction to hear
             104      or decide, a disputative motion or any other motion or action challenging the scope, breadth, or
             105      validity of a legislative subpoena.
             106          (b) Except as expressly authorized by this section, a person may not take legal action to
             107      challenge or limit a legislative subpoena.
             108          (c) If a person attempts to take legal action that is not expressly authorized by this
             109      section to challenge or limit a legislative subpoena, the person:
             110          (i) is not relieved from the duty to fully, strictly, and timely comply with the legislative
             111      subpoena; and
             112          (ii) is subject to the criminal penalty described in Section 36-14-7 if the person fails to
             113      fully, strictly, and timely comply with the legislative subpoena.
             114          (4) A person may file a disputative motion only upon the grounds that the legislative
             115      subpoena seeks an item, information, or testimony that is protected under:
             116          (a) the United States Constitution or the Utah Constitution; or
             117          (b) a S. [ recognized common law ] .S privilege S. , recognized by Utah court rules,
             117a      .S that has not been waived.
             118          (5) A person who files a disputative motion shall file the disputative motion by serving


             119      the disputative motion on the legislative general counsel:
             120          (a) except as provided in Subsection (5)(b), before the day on which the legislative
             121      subpoena requires compliance; or
             122          (b) if the disputative motion relates solely to a question asked while the person subject
             123      to the subpoena is in the process of testifying in response to the legislative subpoena, within
             124      one business day after the day on which the question is asked.
             125          (6) A legislative review committee:
             126          (a) shall, upon receipt of a timely disputative motion that complies with this section,
             127      schedule a hearing;
             128          (b) shall give the person who filed the disputative motion described in Subsection
             129      (6)(a) notice and an opportunity to be heard; and
             130          (c) may conduct the hearing in the manner, and in accordance with any rules, that the
             131      legislative review committee determines is appropriate.
             132          (7) A legislative review committee may summarily dismiss a disputative motion that is
             133      not timely filed or does not comply with the requirements of this section.
             134          (8) If a person files a disputative motion, the person is not relieved from the duty to
             135      fully and timely comply with all portions of the legislative subpoena that are not expressly
             136      challenged in the disputative motion.
             137          (9) After a hearing on a disputative motion, the legislative review committee may do
             138      one or more of the following:
             139          (a) quash the legislative subpoena;
             140          (b) modify the legislative subpoena;
             141          (c) grant a protective order in relation to all or part of the legislative subpoena;
             142          (d) order the issuer to issue another subpoena; or
             143          (e) order the subject of the legislative subpoena to comply with the legislative
             144      subpoena or a portion of the legislative subpoena.
             145          (10) If a person disobeys or fails to comply with a legislative subpoena, or appears
             146      pursuant to a legislative subpoena and refuses to testify to a matter upon which the person may
             147      be lawfully interrogated, the issuer may file with the legislative review committee a motion to
             148      find the person in civil contempt of the Legislature and to compel obedience to the subpoena,
             149      by delivering the motion to the legislative general counsel.


             150          (11) A legislative review committee:
             151          (a) shall, upon receipt of a motion described in Subsection (10), schedule a hearing;
             152          (b) shall give the person against whom a motion described in Subsection (10) is filed
             153      notice and an opportunity to be heard; and
             154          (c) may conduct the hearing in the manner, and in accordance with any rules, that the
             155      legislative review committee determines is appropriate.
             156          (12) After a hearing on a motion described in Subsection (10), the legislative review
             157      committee may do one or more of the following:
             158          (a) quash the legislative subpoena;
             159          (b) modify the legislative subpoena;
             160          (c) grant a protective order in relation to all or part of the legislative subpoena;
             161          (d) order the issuer to issue another subpoena;
             162          (e) order the subject of the legislative subpoena to comply with the legislative
             163      subpoena or a portion of the legislative subpoena;
             164          (f) find the person in civil contempt of the Legislature and impose a civil fine on the
             165      person of up to $1,000;
             166          (g) refer the matter for criminal prosecution;
             167          (h) file with the district court a motion for an order to compel obedience to the
             168      legislative subpoena; or
             169          (i) pursue any other legal remedy, including an extraordinary writ.
             170          (13) The civil fine described in Subsection (12)(f) is in addition to any other civil or
             171      criminal penalty that may be imposed against the subject of the legislative subpoena.
             172          (14) (a) The issuer of a legislative subpoena may, in order to enforce or increase the
             173      likelihood of enforcement of a legislative subpoena outside of Utah, petition a Utah court to
             174      issue the legislative subpoena as a court-issued subpoena.
             175          (b) Upon receipt of a petition described in Subsection (14)(a), a Utah court may issue
             176      the legislative subpoena as a court-ordered subpoena.
             177          Section 3. Section 36-14-5.3 is enacted to read:
             178          36-14-5.3. Legislative review committee.
             179          (1) A majority of the total members of a legislative review committee constitutes a
             180      quorum.


             181          (2) A majority vote of a quorum present at a meeting of a legislative review committee
             182      constitutes the action of the committee.
             183          (3) (a) The speaker of the House is the chair of a legislative review committee
             184      described in Subsection (5 )(a).
             185          (b) The president of the Senate is the chair of a legislative review committee described
             186      in Subsection 36-14-1 (5)(b).
             187          (c) During an even-numbered year, the speaker of the House is the chair of a legislative
             188      review committee described in Subsection 36-14-1 (5)(c).
             189          (d) During an odd-numbered year, the president of the Senate is the chair of a
             190      legislative review committee described in Subsection 36-14-1 (5)(c).
             191          (4) (a) If there is a tie vote in a legislative review committee described in Subsection
             192      36-14-1 (5)(a), the speaker of the House shall break the tie.
             193          (b) If there is a tie vote in a legislative review committee described in Subsection
             194      36-14-1 (5)(b), the president of the Senate shall break the tie.
             195          (c) (i) If there is a tie vote in a legislative review committee described in Subsection
             196      36-14-1 (5)(c), the speaker of the House and the president of the Senate shall break the tie.
             197          (ii) If the vote of the speaker of the House and the president of the Senate results in a
             198      tie, the motion fails.
             199          (5) (a) The decision of a legislative review committee is final and is not subject to
             200      review by a court.
             201          (b) Subsection (5)(a) does not prohibit a legislative review committee from seeking
             202      civil enforcement of a subpoena under Section 36-14-5.5 .
             203          Section 4. Section 36-14-5.5 is enacted to read:
             204          36-14-5.5. Civil enforcement of legislative subpoena by a court.
             205          (1) A legislative review committee may:
             206          (a) file with the district court a motion for an order to compel obedience to:
             207          (i) a legislative subpoena; or
             208          (ii) an order of a legislative review committee; or
             209          (b) pursue any other legal remedy, including an extraordinary writ.
             210          (2) Upon receipt of any action or motion described in Subsection (1), the court shall:
             211          (a) grant deference to the Legislature's power, including the power to investigate, as an


             212      independent branch of government; and
             213          (b) expedite the hearing and decision on the action or motion.
             214          (3) A court shall take immediate action to enforce a legislative subpoena or an order of
             215      a legislative review committee to the full extent permitted by law and to the full extent
             216      described in the legislative subpoena or the order of the legislative review committee.
             217          (4) A court shall enforce a legislative subpoena or an order of a legislative review
             218      committee by:
             219          (a) ordering the person named in the subpoena or the order to comply with the
             220      legislative subpoena or order; and
             221          (b) taking the action described in Sections 78B-6-311 and 78B-6-312 .
             222          (5) Any penalty imposed by a court to enforce a legislative subpoena or an order of a
             223      legislative review committee, including a penalty imposed under Subsection (4), is in addition
             224      to any other civil or criminal penalty imposed under this chapter.
             225          (6) A court that takes any action to enforce a legislative subpoena or an order of a
             226      legislative review committee shall order the subject of the subpoena to pay costs and
             227      reasonable attorney fees to the Legislature, including costs of and attorney fees relating to an
             228      appeal described in Subsection (7).
             229          (7) Any party aggrieved by a decision of a court under this section may appeal the
             230      decision directly to the Utah Supreme Court.
             231          Section 5. Section 36-14-7 is enacted to read:
             232          36-14-7. Criminal contempt of Legislature.
             233          (1) A person is guilty of criminal contempt of the Legislature if the person:
             234          (a) disobeys or fails to comply with a legislative subpoena; or
             235          (b) appears pursuant to a legislative subpoena and refuses to testify to a matter upon
             236      which the person may be lawfully interrogated.
             237          (2) Criminal contempt of the Legislature is a class A misdemeanor.
             238          (3) A person is not guilty of a violation of Subsection (1), if:
             239          (a) the person timely files a disputative motion with the legislative review committee,
             240      in accordance with Section 36-14-5 ;
             241          (b) the motion described in Subsection (3)(a) is based on a claim, made in good faith,
             242      that the legislative subpoena seeks an item, information, or testimony that is protected under


             243      the United States Constitution, the Utah Constitution, or a S. [ recognized common law ] .S
             243a      privilege S. , recognized by Utah court rules, .S
             244      that has not been waived;
             245          (c) (i) the legislative review committee has not issued a decision on the motion
             246      described in Subsection (3)(a);
             247          (ii) the legislative review committee grants the motion described in Subsection (3)(a),
             248      provided that, if the legislative review committee grants a protective order, the person fully and
             249      strictly complies with all aspects of the legislative subpoena for which the person sought a
             250      protective order but for which a protective order was denied, within seven days, or a different
             251      time ordered by the legislative review committee, after the day on which the legislative review
             252      committee grants the protective order; or
             253          (iii) the legislative review committee denies the motion described in Subsection (3)(a)
             254      and the person fully complies with the subpoena within seven days, or a different time ordered
             255      by the legislative review committee, after the day on which the legislative review committee
             256      denies the motion; and
             257          (d) the person fully, strictly, and timely provides all information, items, and testimony
             258      that are responsive to the legislative subpoena and are not subject to a good faith claim
             259      described in Subsections (3)(a) and (b).
             260          (4) A criminal action under this section may be brought by the attorney general, the
             261      Salt Lake County district attorney, or a county attorney or district attorney where the defendant
             262      resides or has a business presence.


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