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Regular Session, 2012
SENATE BILL NO. 615
BY SENATOR APPEL
LOCAL AGENCIES. Provides relative to the records and subpoena powers of certain local
ethics entities. (gov sig)
AN ACT1
To amend and reenact R.S. 33:9613(A)(2) and (3) and 9614(B) and (C), to enact R.S.2
33:9613(A)(4) and 9614(D) and (E), relative to local ethics entities, including but not3
limited to an ethics review board or office of inspector general in the parishes of East4
Baton Rouge, Jefferson, and Orleans; to provide relative to subpoena powers; to5
provide for protective orders; to provide relative to enforcement of subpoenas; to6
provide relative to the privileged nature of certain documents; to provide relative to7
public access to public documents; and to provide for related matters.8
Notice of intention to introduce this Act has been published.9
Be it enacted by the Legislature of Louisiana:10
Section 1. R.S. 33:9613(A)(2) and (3) and 9614(B) and (C) are hereby amended and11
reenacted and R.S. 33:9613(A)(4) and 9614(D) and (E) are hereby enacted to read as12
follows: 13
§9613. Investigative powers14
A.(1) * * *15
(2)(a) In the performance of its duties, a local ethics entity, ethics review16
board, or office of the inspector general may administer oaths and take the testimony17 SB NO. 615
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of those sworn or affirmations, subpoena witnesses, compel their attendance,1
examine them under oath or affirmation, and require the production of books,2
records, documents, or other evidence deemed relevant or material to the3
investigation or hearing. The subpoena may be served by certified mail, return4
receipt requested, at the addressee's residence or business address.5
(b) For the purposes of this Section, the term "subpoena" shall include6
a subpoena duces tecum.7
(3) In the performance of its duties, a local ethics entity, ethics review board,8
or office of the inspector general may compel the attendance of witnesses to be9
deposed under oath or the production of public and private records by issuing a10
subpoena. However Except as provided in Paragraph (4) of this Subsection, such11
a subpoena or subpoena duces tecum shall be issued only upon approval of a judge12
of the district court of the parish in which a local ethics entity, ethics review board,13
or office of inspector general is domiciled upon application in writing by such entity,14
board, or office. The judge shall issue a written decision within seventy-two hours15
after receipt of such application. Any subpoena for production of private records16
shall be in compliance with all applicable constitutionally established rights and17
processes. Any request for financial records in the possession or under the control18
of a bank pursuant to this Chapter is subject to and shall comply with the19
requirements and procedures of R.S. 6:333. The subpoena may be served by certified20
mail, return receipt requested, at the addressee's residence or business address, or by21
representatives appointed by the local ethics entity, ethics review board, or office of22
inspector general, or may be directed for service to the office of the municipal police.23
If a person refuses to obey a subpoena issued by the local ethics entity, ethics review24
board, or office of inspector general, the district court of the parish in which the local25
ethics entity, ethics review board, or office of inspector general is domiciled may26
issue an order to the person requiring the person to appear before the court to show27
cause why an order shall not be issued ordering such person to obey the subpoena.28
(4)(a) In the performance of its duties, a local office of inspector general29 SB NO. 615
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in the city of New Orleans or parish of Jefferson may also issue an1
administrative subpoena duces tecum to require the production of books,2
records, documents, or other evidence deemed relevant or material to an3
investigation, audit, or inspection. The subpoena duces tecum shall be issued4
only in furtherance of the authority provided by respective local ordinance and5
in Subsections D and E of this Section, and shall comply with all applicable6
constitutionally established rights and processes.7
(b) The subpoena duces tecum may be served by certified mail, return8
receipt requested, at the addressee's residence or business address.9
(c) The entity receiving the subpoena duces tecum may file a motion with10
the district court of the parish in which the office of inspector general is11
domiciled to amend or quash the subpoena. The motion shall be filed any time12
before the date for attendance or compulsion specified in the subpoena or13
within twenty days after the subpoena duces tecum has been served, whichever14
is earlier. In no event shall any penalty attach to the recipient of such an15
administrative subpoena duces tecum for failure to respond without an order16
from the district court of the parish in which the office of inspector general is17
domiciled.18
(d) If the subpoena duces tecum is not quashed and is not complied with19
by the date for production of documents, the office of the inspector general may20
apply to the district court of the parish in which the office of inspector general21
is domiciled for an order compelling compliance with the subpoena. Any person22
failing to comply with the order compelling compliance shall be adjudged in23
contempt of court.24
* * *25
§9614. Confidentiality of preliminary investigations certain records26
* * *27
B. Any material, records, data, and information compiled by an office of28
inspector general in an investigation, examination, audit, inspection, or performance29 SB NO. 615
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review under this Chapter is confidential and privileged and not subject to R.S. 44:11
et seq., until the investigation, examination, audit, inspection, or performance review2
is complete. The investigation, examination, audit, inspection, or performance review3
is not deemed complete if the office of inspector general has submitted material,4
records, data, and information from or the results of such investigation, examination,5
audit, inspection, or performance review to any other law enforcement or regulatory6
agency for further investigation or for the filing of criminal or civil prosecution, and7
if such investigation or prosecution has not been completed or become inactive.8
C. Except for the completed reports, findings, advisories, letters, and9
recommendations of investigations, audits, inspections, performance reviews,10
qualitative assurance reviews, peer reviews, annual operating budgets, and annual11
office reports, the records prepared or obtained by the ethics entity, ethics review12
board, or office of inspector general shall be deemed confidential and privileged and13
protected from disclosure pursuant to R.S. 44:3. In order to maintain the14
confidentiality of such materials, the ethics entity, ethics review board, or office of15
inspector general may meet and make decisions in executive session. No privilege16
established by law shall be deemed waived on any record obtained by the ethics17
entity, ethics review board, or office of inspector general in connection with the18
performance of duties established by this Chapter. Any record or information19
obtained by the ethics entity, ethics review board, or office of inspector general20
which is confidential or privileged pursuant to any other provision of law shall21
remain confidential or privileged, and it shall be a misdemeanor punishable by a22
fine of not more than two thousand dollars or imprisonment for not more than one23
year, or both, for the ethics entity, ethics review board, or office of inspector general24
or any designated staff member or any other public official, corporation, or25
individual to make public any such information or record.26
D. The provisions of this Section shall not prevent access during the27
course of an inspector general investigation to public records that are not28
otherwise privileged or confidential. The custodian of any public record shall29 SB NO. 615
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provide such record to any person having the right to examine public records.1
If the only copy of such public record is in the hands of the inspector general,2
the custodian of that record shall so certify and the requestor may examine and3
copy the record at the office of the inspector general.4
E. Notwithstanding Subsections B and C of this Section, the legislative5
auditor shall have the authority to examine, audit, inspect or copy all records6
compiled, prepared or obtained by the ethics entity, ethics review board or7
office of inspector general, including but not limited to all books, accounts,8
papers, documents, records, files, instruments, films, tapes, and any other forms9
of recordation, including but not limited to computers and recording devices,10
whether confidential, privileged or otherwise. However, the legislative auditor11
shall comply with all restrictions imposed by law on documents, data, or12
information deemed confidential and privileged by law and furnished to the13
legislative auditor.14
* * *15
Section 2. This Act shall become effective upon signature by the governor or, if not16
signed by the governor, upon expiration of the time for bills to become law without signature17
by the governor, as provided by Article III, Section 18 of the Constitution of Louisiana. If18
vetoed by the governor and subsequently approved by the legislature, this Act shall become19
effective on the day following such approval.20
The original instrument was prepared by Michael Bell. The following digest,
which does not constitute a part of the legislative instrument, was prepared
by Cathy Wells.
DIGEST
Appel (SB 615)
Present law provides that in the performance of its duties, a local ethics entity, ethics review
board, or office of the inspector general may administer oaths and take the testimony of
those sworn.
Proposed law provides for a local ethics entity, ethics review board, or office of the inspector
general to administer oaths or affirmations, subpoena witnesses, compel their attendance,
examine them under oath or affirmation, and require the production of books, records,
documents, or other evidence deemed relevant or material to the investigation or hearing.
The subpoena may be served by certified mail, return receipt requested, at the addressee's
residence or business address. SB NO. 615
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Proposed law provides for the term subpoena to include a subpoena duces tecum.
Proposed law authorizes the inspector general in the city of New Orleans or parish of
Jefferson to issue administrative subpoenas duces tecum requiring the production of records
only in furtherance of the authority pursuant to present law or local ordinance.
Proposed law provides that such subpoena duces tecum may be served by certified mail.
Proposed law provides that the entity receiving such subpoena duces tecum may file a
motion to quash with the district court of the parish in which the office of inspector general
which issued the subpoena at any time before the date for attendance or compulsion or
within twenty days after the subpoena has been served.
Proposed law provides that no penalty will attach to the recipient of an administrative
subpoena for failure to respond without an order from the district court of competent
jurisdiction.
Proposed law provides that if the subpoena is not quashed or complied with the office of the
inspector general may apply to the district court of competent jurisdiction in order to compel
compliance and that any person failing to comply with the order compelling compliance will
be adjudged in contempt of court.
Present law provides that any material, records, data, and information compiled by an office
of inspector general in an investigation, examination, audit, inspection, or performance
review is confidential and not subject to a public records request until the investigation,
examination, audit, inspection, or performance review is complete.
Proposed law retains present law and adds that such records are also privileged and are not
subject to a public records request until the review is complete.
Proposed law authorizes the legislative auditor to have access to all records compiled,
prepared or obtained by the ethics entity and further provides that the legislative auditor
must comply with all confidentiality restrictions imposed by law.
Effective upon signature of the governor or lapse of time for gubernatorial action.
(Amends R.S. 33:9613(A)(2) and (3) and 9614(B) and (C); enacts R.S. 33:9613(A)(4) and
9614(D) and (E))
Summary of Amendments Adopted by Senate
Committee Amendments Proposed by Senate Committee on Senate and
Governmental Affairs to the original bill
1. Technical amendments.
2. Authorizes the issuance of administrative subpoenas duces tecum and the
process for such issuance.
3. Authorizes the legislative auditor to have access to all records compiled,
prepared or obtained by the ethics entity.
4. Provides that the legislative auditor must comply with all confidentiality
restrictions imposed by law.
Senate Floor Amendments to engrossed bill
1. Makes technical corrections.