(a) Issuing Subpoenas.
(1) The Director of Enforcement may issue subpoenas and subpoenas duces tecum on behalf of the Commission. The Director of Enforcement may delegate this authority in writing to any Ethics Officer.
(2) A subpoena or subpoena duces tecum may not be issued unless the Director of Enforcement finds that the person to be subpoenaed or the information to be requested in the subpoena duces tecum is material to a specific matter under investigation or subject to enforcement action or that the person or entity to be subpoenaed controls material information.
(b) Notice to Consumers. If a subpoena duces tecum seeks the production of a customer’s financial records from a third party, notice to the customer shall be given as required by California Government Code Sections 7460, et seq. If a subpoena duces tecum seeks the production of a consumer’s personal records from a third party, notice to the consumer shall be given as required by California Code of Civil Procedure Section 1985.3. A customer or consumer who moves to quash or modify the production of records under either law shall file written notice of the motion with the Commission staff on the same date that the motion is filed.
(c) Service. A subpoena shall be served at least 15 calendar days before the time required for attendance. A subpoena duces tecum shall be served at least 28 calendar days before the time required for attendance or production of the requested documents.
(d) Compliance.
(1) If the Director of Enforcement consents, the custodian of records or documents that is the subject of a subpoena duces tecum may satisfy the subpoena duces tecum by delivering the requested records or documents together with an affidavit in compliance with Section 1561 of the California Evidence Code.
(2) If any person refuses to attend or testify or timely produce any records or documents required by a subpoena or subpoena duces tecum, the Executive Director may petition the Los Angeles Superior Court for an order compelling the person to comply with the subpoena or subpoena duces tecum.
(3) Failure to timely comply with a subpoena or subpoena duces tecum without lawful excuse is both of the following:
(A) A violation of these regulations and subject to sanctions under the Los Angeles Administrative Code (LAAC) Section 24.29(f); and
(B) A violation of and subject to enforcement under LAAC Section 19.21.
(e) Witness Mileage and Fees. A witness appearing pursuant to a subpoena or a subpoena duces tecum, other than a party, is entitled to receive the same mileage and fees allowed by law to a witness in a civil case pending in the Los Angeles Superior Court. This does not apply to an officer or employee of the City of Los Angeles. Mileage and fees may be received once the witness has complied with the subpoena or subpoena duces tecum and submitted a written request.
(f) Objections.
(1) A person served with a subpoena or subpoena duces tecum may object to its terms by filing written objections with the Executive Director. Objections shall include a working facsimile number or valid email address for which the person or the person’s legal representative has authorized service of the ruling on the objections. Objections must be filed by the following deadlines:
(A) No later than five calendar days after service of a subpoena.
(B) No later than 14 calendar days after service of a subpoena duces tecum.
(2) The Executive Director shall rule on objections and issue an order in writing by the following deadlines:
(A) No later than four calendar days after written objections to a subpoena are filed.
(B) No later than seven calendar days after written objections to a subpoena duces tecum are filed.
(3) A petition for judicial review of the Executive Director’s ruling must be filed within five calendar days after the date a ruling on a subpoena is issued and within seven calendar days after the date a ruling on a subpoena duces tecum is issued. Written notice of a petition shall be filed with the Executive Director on the same date that the petition is filed with the superior court.
(4) Failure to file timely written objections with the Executive Director waives all grounds for any objection to a subpoena or subpoena duces tecum and all grounds to petition for judicial review.
SECTION HISTORY
Added by Ord. No. 182,907, Eff. 4-2-14.
Amended by: Ord. No. 185,034, Eff. 8-14-17.