Cal. Code Regs. Tit. 8, § 20217 - Investigative Subpoenas

(a) For purposes of investigation, the general counsel or the general counsel's agents may issue and serve subpoenas requiring the attendance and testimony of witnesses or the production by persons at the respondent's place of business, or such other location as mutually agreed to by the respondent and the regional director, of any materials, including but not limited to books, records, correspondence or documents in their possession or under their control.
(b) The subpoena shall show on its face the name, address, and telephone number of the general counsel or the general counsel's agent who has issued the subpoena. A copy of a declaration under penalty of perjury shall be served with a subpoena duces tecum, showing good cause for the production of the matters and things described in such subpoena. The declaration shall show specific facts justifying discovery and that the materials are relevant to the subject matter of the investigation or reasonably calculated to lead to the discovery of admissible evidence.
(c) Service of subpoenas shall be made pursuant to Labor Code section 1151.4(a) or by certified mail. The service must be made so as to allow the witness a reasonable time for preparation and travel to the place of attendance. Witnesses shall be entitled to fees in accordance with Labor Code section 1151.4(a).
(d) Any person on whom an investigative subpoena is served who does not intend to comply shall, within five days after the date of service, petition in writing to revoke the subpoena. Such petition shall explain with particularity the grounds for objecting to each item covered by the petition. The petition to revoke shall be served upon the general counsel or the general counsel's agent who issued the subpoena. The petition to revoke shall be filed with the executive secretary. When a person under subpoena objects to any request for production of materials on the basis of a claim of privilege or that the information sought is protected work product, the petition shall state specifically the privilege asserted and shall include a privilege log providing sufficient information for the general counsel to evaluate the merits of such claims.
(e) The executive secretary shall revoke the subpoena if the materials required to be produced do not relate to any matter under investigation, or the subpoena does not describe with sufficient particularity the materials whose production is required, or the testimony or records sought are privileged or confidential or deal with a matter not subject to review, or the subpoena is otherwise invalid. A simple statement of the grounds for the ruling on the petition shall accompany the ruling. Adverse rulings may be appealed to the Board through the procedures outlined in section 20242.
(f) When a person under subpoena refuses to testify or produce the requested information on the basis of the person's privilege against self-incrimination, the general counsel or the general counsel's agents may file a written request that the Board grant immunity and compel that person to testify or produce the requested materials. Said request shall otherwise conform and be processed according to section 20251; however, the Board shall rule directly on said request.
(g) Upon any other failure of any person to comply with an investigative subpoena, the general counsel may request that the Board apply to an appropriate superior court for an order requiring compliance in accordance with section 20250(k) or authorize the general counsel to make such application. The subpoenaed party shall have five days after an application pursuant to this subdivision is filed with the Board to file a response to the application.
(h) In addition to, or in lieu of, seeking enforcement pursuant to section 20250(k), the general counsel may apply to the chief administrative law judge, or the assigned administrative law judge, for appropriate sanctions to be imposed against a charged party based on the charged party's failure to comply with an investigative subpoena in the event the general counsel subsequently issues a complaint pursuant to section 20220, or at any time following issuance of a complaint and before the hearing, including any evidentiary sanctions specified in section 20238(b).

Notes

Cal. Code Regs. Tit. 8, § 20217
1. New section filed 12-31-82; effective thirtieth day thereafter (Register 83, No. 1).
2. Amendment of subsection (d) filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
3. Amendment of section and NOTE filed 8-29-2023; operative 10/1/2023 (Register 2023, No. 35).

Note: Authority cited: Section 1144, Labor Code. Reference: Sections 1151 and 1160.2, Labor Code.

1. New section filed 12-31-82; effective thirtieth day thereafter (Register 83, No. 1).
2. Amendment of subsection (d) filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
3. Amendment of section and NOTE filed 8-29-2023; operative 10/1/2023 (Register 2023, No. 35).

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