Source: https://www.federalregister.gov/documents/2018/02/01/2018-01731/requests-for-documents-and-testimony
Timestamp: 2018-07-21 08:38:52
Document Index: 598073424

Matched Legal Cases: ['art 1603', 'art 1603', '§\u20091602', 'art 1603', '§\u20091603', '§\u20091603']

Federal Register :: Requests for Documents and Testimony
83 FR 4827
4827-4829 (3 pages)
1603.1 Scope, Purpose, and Applicability
1603.2 Definitions
1603.3 What is LSC's policy on presentation of testimony and production of documents?
1603.4 How does a person request voluntary testimony from an employee?
1603.5 How will LSC respond to a request for expert testimony from an employee?
1603.6 How will LSC respond to a subpoena for documents?
1603.7 When will LSC certify the authenticity of records?
1603.8 Does this part give individuals any rights?
https://www.federalregister.gov/d/2018-01731 https://www.federalregister.gov/d/2018-01731
Email: lscrulemaking@lsc.gov. Include “Touhy Rulemaking” in the subject line of the message.
Mail: Stefanie K. Davis, Assistant General Counsel, Legal Services Corporation, 3333 K Street NW, Washington, DC 20007, ATTN: Touhy Rulemaking.
Hand Delivery/Courier: Stefanie K. Davis, Assistant General Counsel, Legal Services Corporation, 3333 K Street NW, Washington, DC 20007, ATTN: Touhy Rulemaking.
Stefanie K. Davis, Assistant General Counsel, 202-295-1563, sdavis@lsc.gov.
LSC proposes to create a new regulation, known as a Touhy regulation, that will establish a process by which litigants in cases where LSC is not a party may obtain documents or testimony from LSC and its employees. Arising from the Supreme Court's decision in U.S. ex rel Touhy v. Ragen, 340 U.S. 462 (1951), Touhy regulations define agencies' procedures for responding to document or testimony requests, as well as individual agency employees' obligation to follow such procedures.
Between 2013 and 2017, LSC and its Office of the Inspector General (OIG) received several subpoenas and requests for testimony or documents, but did not have internal or external guidance in place regarding such requests. At the OIG's recommendation, LSC added rulemaking on requests for documents and testimony to its rulemaking agenda in 2015. On October 15, 2017, the Operations and Regulations Committee (Committee) of LSC's Board of Directors (Board) voted to recommend that the Board authorize rulemaking on part 1603. On October 17, 2017, the Board authorized LSC to begin rulemaking.
Regulatory action is justified for four reasons. First, a Touhy regulation will promote efficiency and timeliness by identifying those LSC officials with the authority to respond to requests or subpoenas for documents or testimony and establishing a procedure for LSC's consideration of such requests. Second, it will minimize the possibility of involving LSC in controversies not related to its functions. Third, it will prevent the misuse of LSC's employees as involuntary expert witnesses for private interests or as inappropriate expert witnesses as to the state of the law. Fourth, it will maintain LSC's impartiality toward private litigants.
On January 21, 2018, the Committee voted to recommend that the Board approve this notice of proposed rulemaking (NPRM) for publication. On January 23, 2018, the Board accepted the Committee's recommendation and voted to approve publication of this NPRM with a 30-day comment period.
In an NPRM published elsewhere in this issue of the Federal Register, LSC proposes to remove the existing version of part 1603 pertaining to state advisory councils. In its place, LSC proposes to add this regulation.
LSC proposes to prescribe which proceedings and employees will be governed by the rule. All LSC employees, including former employees, members of the Board of Directors, and employees of the OIG, are governed by this rule concerning information acquired during the performance of official duties or because of such person's official capacity with LSC. This rule applies to all non-federal litigants in civil, criminal, or administrative proceedings to which LSC is not a party.
Congress created LSC through the Legal Services Corporation Act, 42 U.S.C. 2996 et seq. and appropriates funds for LSC annually. See, e.g., Consolidated Appropriations Act, 2017, Public Law 115-31, 131 Stat. 135 (2017). These funds are appropriated for LSC to fulfill its congressionally-mandated mission. Therefore, it is appropriate to mirror traditional federal entities in creating LSC's Touhy regulation.
LSC proposes to define the following terms.
Certify: LSC proposes to define this term to mean that it will authenticate copies of any document produced by affixing its seal to the document.
Employee: LSC proposes to define this term to include current and former employees of LSC and the OIG, as well as members of its Board of Directors.
LSC: Consistent with the § 1602.2 definition, LSC refers to both the Legal Services Corporation and the LSC Office of the Inspector General, unless otherwise specified.
Testify and testimony: LSC proposes to define these terms to mean written or oral statements made under oath before any tribunal or official body.
LSC proposes to prohibit current and former employees from providing documents or testimony in response to requests covered by this rule without prior authorization from the General Counsel or OIG Legal Counsel.
LSC proposes to require parties to submit requests for testimony from LSC employees to its General Counsel as Start Printed Page 4828LSC's chief legal officer. LSC proposes to direct parties to submit requests for OIG employees' testimony to the OIG Legal Counsel.
Requests must state the nature of the requested testimony, why the information sought is unavailable by any other means, and the reasons why providing the testimony would further LSC's interests. This information will assist the General Counsel and the OIG Legal Counsel in their decision making.
LSC proposes to prohibit its employees from serving as expert witnesses without authorization from the General Counsel or OIG Legal Counsel, as appropriate. This section prevents public resources from being used for private litigation. Even if employees and LSC are compensated, time spent preparing and delivering testimony is time diverted from support of LSC's mission.
LSC proposes procedures for its employees to follow if they are personally served with subpoenas requesting information acquired in the course of performing official duties or because of their official capacity. This provision has the dual benefits of providing guidance for subpoenaed employees and instructing members of the public how to request the information they seek.
Consistent with Federal agencies' Touhy regulations, LSC proposes to treat legally insufficient subpoenas as FOIA requests. Thus, LSC may work toward honoring the spirit of the subpoena without violating its obligations and privileges. Furthermore, LSC's interests in remaining transparent and in conserving the public's trust are best served by providing public information when requested. LSC also proposes to direct employees to appear before the court and state that they cannot, consistent with these rules, provide the required documents when the General Counsel or OIG Legal Counsel has not made a decision about the legal sufficiency of a subpoena by the date on which an LSC or OIG employee is commanded to appear. Without this provision, such individuals would be faced with violating a court order or violating LSC rules and policies when responding to a subpoena. LSC proposes that the General Counsel or OIG Legal Counsel may determine that responding to the subpoena is not appropriate and direct an employee not to respond. Examples of when responding may be inappropriate include instances where the subpoena was not validly issued or served, where the subpoena has been withdrawn, or where discovery has been stayed.
LSC proposes to certify, upon request, the authenticity of records to be disclosed. Such a service does not generally use significant resources.
LSC proposes this section to make clear that no private rights arise from this rule.
Administrative practice and procedure; Archives and records; Courts
For the reasons discussed in the preamble, the Legal Services Corporation proposes to add 45 CFR part 1603 to read as follows:
What is LSC's policy on presentation of testimony and production of documents?
How does a person request voluntary testimony from an employee?
How will LSC respond to a request for expert testimony from an employee?
How will LSC respond to a subpoena for documents?
When will LSC certify the authenticity of records?
Does this part give individuals any rights?
(b) Employee means current and former LSC employees, including temporary employees, OIG employees, and members of the Board of Directors.
(d) Testify and testimony include in-person, oral statements before a court, legislative or administrative body and Start Printed Page 4829statements made pursuant to depositions, interrogatories, declarations, affidavits, or other formal participation.
In any proceedings to which this part applies, no employee may provide testimony or produce documents concerning information acquired in the course of performing official duties or because of the person's official relationship with LSC unless authorized by the General Counsel or the OIG Legal Counsel pursuant to this part based on his determination that compliance with the request would promote LSC's objectives.
(a) All requests for testimony by an employee in his or her official capacity and not subject to the exceptions set forth in § 1603.1(d) of this part must be in writing and addressed to the General Counsel.
No employee shall serve as an expert witness in any proceeding described in § 1603.1(c) or before a court or agency of the United States unless the General Counsel or the OIG Legal Counsel authorizes the employee's participation.
[FR Doc. 2018-01731 Filed 1-31-18; 8:45 am]