Opinion ID: 665878
Heading Depth: 2
Heading Rank: 2

Heading: Enforcement of Subpoena

Text: 8 Having resolved the jurisdictional issue, we now turn to the merits of the appeal. Florida Azalea contends that the ALJ did not have the authority to issue the administrative subpoena. In considering this issue, [w]e apply a de novo standard of review to an agency's conclusions of law ... [and] we give a certain amount of deference to an agency's reasonable construction of a statute it is charged with administering. Mester Manufacturing Co. v. INS, 879 F.2d 561, 565 (9th Cir.1989). See also Peters v. United States, 853 F.2d 692, 695 (9th Cir.1988) (the scope of the INS's subpoena power ... [is a] question[ ] of law which we review de novo). 9 The Supreme Court has recognized the broad investigatory power of administrative agencies: 10 Because judicial power is reluctant if not unable to summon evidence until it is shown to be relevant to issues in litigation, it does not follow that an administrative agency charged with seeing that the laws are enforced may not have and exercise powers of original inquiry. It has a power of inquisition, if one chooses to call it that, which is not derived from the judicial function. It is more analogous to the Grand Jury, which does not depend on a case or controversy for power to get evidence but can investigate merely on suspicion that the law is being violated, or even just because it wants assurance that it is not. 11 United States v. Morton Salt Co., 338 U.S. 632, 642-43, 70 S.Ct. 357, 364, 94 L.Ed. 401 (1950). See also Peters, 853 F.2d at 696 ([t]he authority of an administrative agency to issue subpoenas for investigatory purposes is created solely by statute). 12 It is well-settled that the role of a district court in a proceeding to enforce an administrative subpoena is sharply limited; inquiry is appropriate only into whether the evidence sought is material and relevant to a lawful purpose of the agency. EEOC v. Kloster Cruise Ltd., 939 F.2d 920, 922 (11th Cir.1991). As a general rule, an administrative subpoena should be enforced 'if the inquiry is within the authority of the agency, the demand is not too indefinite and the information sought is reasonably relevant.'  Federal Election Com'n v. Florida for Kennedy Committee, 681 F.2d 1281, 1284 (11th Cir.1982) (citations omitted). See also Burlington Northern R. Co. v. Office of Inspector General R.R. Retirement Bd., 983 F.2d 631, 638 (5th Cir.1993). 13 The Immigration Reform and Control Act of 1986 (IRCA), 8 U.S.C. Sec. 1324b, prohibits discrimination in hiring, firing or recruitment or referral for a fee based on an individual's national origin or citizenship status. See 8 U.S.C. Sec. 1324b(a)(1). Any person alleging that he or she was adversely affected by an unfair immigration-related practice may file a charge of discrimination with the Office of Special Counsel. Id. The Special Counsel must investigate each complete charge received within 120 days of its receipt to determine whether there is reasonable cause to believe the charge is true, and if a complaint should be brought before an ALJ. Id. at Sec. 1324b(d)(1). If the Special Counsel does not file such a complaint within the 120 day period, the Special Counsel must notify the charging party who can then file a complaint with an ALJ within 90 days of the charging party's receipt of the Special Counsel's notice. Id. at Sec. 1324b(d)(2). 14 In the present case, the Special Counsel meets the first criteria enunciated in Federal Election Com'n. The authority to investigate is granted by Congress to the Special Counsel pursuant to 8 U.S.C. Sec. 1324b(f)(2). Under this subsection, the Special Counsel must be given reasonable access to examine the evidence of any person or entity under investigation. To enable the Special Counsel to exercise this authority, the IRCA empowers the ALJ to issue subpoenas to compel the attendance of witnesses and the production of evidence. Id. When an individual or entity fails to comply with such a subpoena, a United States District Court, upon application by the ALJ, may issue an order enforcing the subpoena. Id. Such application may be made by the ALJ through appropriate counsel. See 28 C.F.R. Sec. 68.25(d) (1992). 15 Florida Azalea contends that the IRCA does not authorize the issuance of subpoenas during the investigation of a charge but only allows subpoenas to be issued after a complaint has been filed before an ALJ. Specifically, Florida Azalea argues that because the relevant IRCA subsection governing the issuance and enforcement of subpoenas is situated in the statute after the subsections governing investigations and hearings, subpoenas can be issued only after a complaint has been filed. This argument ignores the express language of the provision which states: 16 In conducting investigations and hearings under this subsection and in accordance with regulations of the Attorney General, the Special Counsel and the administrative law judge shall have reasonable access to examine evidence of any person or entity being investigated. The administrative law judges by subpoena may compel the attendance of witnesses and the production of evidence at any designated place or hearing. In case of contumacy or refusal to obey a subpoena lawfully issued under this paragraph and upon application of the administrative law judge, an appropriate district court of the United States may issue an order requiring compliance with such subpoena and any failure to obey such order may be punished by such court as a contempt thereof. 17 8 U.S.C. Sec. 1324b(f)(2). 18 Hence, the authority of the Special Counsel to obtain evidence from Florida Azalea in the course of the investigation, and the ALJ's authority to compel the production of such evidence by subpoena, are clear from the face of the statute. This provision expressly states that the production of such evidence may be compelled at any designated place or hearing. Id. This language refers to a place designated by an investigatory subpoena, prior to a complaint being filed, and a hearing being conducted. 19 The second factor--whether the demand is too indefinite--is not contested by Florida Azalea. A review of the record, however, indicates that the Special Counsel followed the appropriate procedures for investigating a complaint of discrimination based on national origin. See 8 U.S.C. Sec. 1324b(d)-(f). The record also demonstrates that the information requested by the Special Counsel was specific and relevant to the investigation. 20 Moreover, the third necessary factor is met because the subpoena requested relevant information. The measure of relevance used in subpoena enforcement actions is quite broad. The Supreme Court has stated that courts are obligated to enforce a subpoena if the demand is not too indefinite and the information sought is reasonably relevant. See United States v. Morton Salt Co., 338 U.S. at 652, 70 S.Ct. at 369. In this case, the charge alleged that Florida Azalea discriminated against Polanco by refusing to hire her because of her national origin. The Special Counsel sought information and documents related to Polanco's charge. These requests were relevant to the charge of discrimination. See R. 1-6, pp. 8-10. 21 Most law enforcement agencies that are granted investigatory authority by statute have the authority to compel the production of evidence by subpoena during an investigation. Indeed, the two agencies most analogous to the Special Counsel in terms of mission, the EEOC and the National Labor Relations Board, have the power to compel the production of evidence by subpoena during the course of an investigation. 42 U.S.C. Secs. 2000e-8(a), 2000e-9; 29 U.S.C. Sec. 161(1). Similar authority is granted the Secretary of Agriculture, 7 U.S.C. Sec. 2909; the Federal Trade Commission, 15 U.S.C. Sec. 49; the Federal Maritime Commission, 46 U.S.C. Sec. 1124; the Interstate Commerce Commission, 49 U.S.C. Sec. 12; and the Secretary of the Treasury, 26 U.S.C. Sec. 7602(a). The fact that these agencies issue their own subpoenas rather than applying to an ALJ, does not negate the authority of an agency to compel the production of evidence by subpoena during the course of an investigation.