Sanitary Commission's Personnel Decisions Not Immune From EEOC Subpoena
(November 2009) By Eric M. Leppo, Associate.
For more information, contact Paul Farquharson.
EEOC v. Washington Suburban Sanitary Commission,
Case No.: AW-09-00825 (D.Md., October 26, 2009)
Judge Alexander Williams, Jr. held that legislative immunity
does not provide a local government commission complete protection from the
subpoena power of an administrative agency, specifically the Equal Employment
Opportunity Commission ("EEOC")
In 2006, the Washington Suburban Sanitary Commission ("WSSC")
terminated all of the existing employees in its Information Technology ("IT")
Department based upon a reorganization plan for the department. It followed this
action by hiring all new (and younger) employees into a reorganized IT
Department. In response to that action, fifteen (15) of the former employees
made an age discrimination claim to the EEOC. In an effort to investigate the
claims in accordance with its standard practice, the EEOC issued a subpoena to
WSSC requesting a laundry list of documents relating to the terminated
employees, the department reorganization, advertisement of the new positions,
and training opportunities for the employees (among others). However, the WSSC
contended that legislative immunity should prohibit any such federal
investigation into its actions.

An administrative agency's subpoena power is broad, in order
to enforce an administrative subpoena, the EEOC must only show: (1) that the
investigation is within the agency's authority, (2) that relevant procedural
requirements have been followed, and (3) the information sought is relevant to
the investigation. The essential question is whether legislative immunity and
its attendant evidentiary privilege override the EEOC's administrative
authority.
The Court noted that the Supreme Court has previously held
that privileges with a Constitutional foundation or historical or statutory
basis may provide a sufficient bar to enforcement of administrative subpoenas.
Univ. of Pa. v. EEOC, 493 U.S. 182 (1990). The Court opined that legislative
immunity is, indeed, embedded in the Federal Constitution, and dates back to the
Sixteenth and Seventeenth centuries. Therefore, the Court found that it was
likely that an assertion of legislative immunity would be a sufficient objection
to the administrative subpoena if WSSC qualifies for legislative immunity.
The Court briefly discussed the important distinction
between legislative immunity and legislative privilege. The Court noted: "[T]he
purpose of legislative immunity is to ensure that the legislative function may
be performed independently without fear of outside interference." Supreme Court
of Va v. Consumers Union of the U.S., 446 U.S. 719, 731-32 (1980). On the other
hand, "[L]egislative privilege . . . is an evidentiary and testimonial privilege
that prohibits evidence of legislative acts from being used against legislators
in proceedings." In re Grand Jury, 821 F.2d 946, 953 (3d Cir. 1987). The Court
found that the legislative immunity argument would prevent enforcement only to
the extent that WSSC actually engaged in legislative actions and that the
subpoena sought documents relating to such a legislative decision.
The Court stated that employment and personnel decisions
generally involve administrative acts, which should not invoke the protection of
legislative immunity. "The essential factor leading to an application of
legislative immunity is whether the action has broad, more general, policy
implications or merely ‘singles out specific individuals.'" Alexander v. Holden,
66 F.3d 62, 65 (4th Cir. 1995).
The Court found then that majority of the documents being
sought by the EEOC related to administrative actions such as the hiring of new
employees, training of those employees, and discipline of employees whether
before or after the reorganization. Therefore, the Court determined that the
EEOC was entitled to these documents, and WSSC was not protected by its
assertion of legislative immunity.
Notably, the Court found that the only items being sought
that could potentially constitute legislative action involved the creation of a
budget submitted to the County Council for Prince George's County and the
specific reorganization of the IT Department. The EEOC withdrew its request for
these documents at oral argument, so that issue became moot by the time of the
Court's decision.