[Federal Register Volume 63, Number 237 (Thursday, December 10, 1998)]
[Proposed Rules]
[Pages 68213-68217]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-32810]
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OVERSEAS PRIVATE INVESTMENT CORPORATION
22 CFR Parts 706 and 713
RIN 3420-AA02
Production of Nonpublic Records and Testimony of OPIC Employees
in Legal Proceedings
AGENCY: Overseas Private Investment Corporation.
ACTION: Notice of proposed rulemaking.
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SUMMARY: OPIC proposes to establish rules regarding subpoenas seeking
nonpublic records or the testimony of OPIC employees in legal
proceedings. The proposed rule facilitates access to records in OPIC's
custody by centralizing agency decision-making with respect to demands
for records or testimony in such legal proceedings. The proposed rule
provides procedures, requirements and information on how OPIC will
handle these matters and expressly prohibits any disclosure or
testimony except as provided by the proposed rule. The effect of the
rule will be, among other benefits, to ensure an efficient use of OPIC
resources, promote uniformity in decisions, protect confidential
information, maintain agency control over the release of official
information, protect the interests of the United States, and provide
guidance to parties. The proposed rule will also amend the current rule
regarding release of OPIC records which are exempt from disclosure
under the Freedom of Information Act, to conform with the procedures
provided in this proposed rule.
DATES: Submit comments on or before February 8, 1999.
ADDRESSES: Direct comments to Mitchel Neurock, Counsel for
Administrative Affairs. Mail or hand-deliver comments to: Overseas
Private Investment Corporation, 1100 New York Avenue, NW, Washington,
DC 20527. Fax comments to (202) 408-0297. E-mail comments to
mneur@opic.gov. Please send comments via one method only.
FOR FURTHER INFORMATION CONTACT: Mitchel Neurock, Counsel for
Administrative Affairs, at (202) 336-8400.
SUPPLEMENTARY INFORMATION:
Background
OPIC receives subpoenas and requests for OPIC employees to provide
evidence in legal proceedings. Typically, subpoenas are for OPIC
records which are not available to the public under the Freedom of
Information Act (FOIA). Also, OPIC receives subpoenas and requests for
OPIC employees to appear as witnesses in legal proceedings in
conjunction with requests for nonpublic records or to provide
testimony.
In recent years, the number of requests has averaged 3 to 4 per
year. Often, these subpoenas and requests relate to litigation
involving projects financed and/or insured in whole or in part by OPIC,
where one or more parties want to use nonpublic records, such as OPIC
financing documents, in the case. In addition, parties to litigation
frequently wish to have an OPIC employee, often a finance or insurance
officer, testify to establish the authenticity of the records or to
explain the information contained in those records. If OPIC provides
these records and an OPIC employee appears as a witness, this will
cause a significant disruption in the employee's work schedule. In many
cases, parties want to use the OPIC employee as an expert witness on
matters such as the fundamentals of project finance or other issues
involving opinion evidence. OPIC's experience has been that, in
practically all cases, the parties can address these issues by
eliciting the testimony of other witnesses, including the testimony of
their own independent expert witnesses. They may also use their own
records.
OPIC's current regulations fail to inform parties about any matter
concerning submission of subpoenas. There is no guidance for parties
seeking to submit subpoenas addressing when parties should submit a
request for nonpublic documents or testimony, the time period for
OPIC's review of such a request, potential fees, or, if a request is
granted, any restrictions which OPIC might place upon the disclosure of
records or the appearance of an OPIC employee as a witness. There is
also no guidance for parties about the factors OPIC will consider in
making its determination in response to such requests.
The proposed rule fills in these gaps in OPIC's current
regulations. OPIC has tried to write the proposed rule in an easy-to-
read, question-and-answer format, to promote straightforward English.
The proposed rule, in brief: prohibits disclosure of nonpublic records
or testimony by OPIC employees absent compliance with the rule; lets
the public know what information to submit and what factors OPIC will
consider; and sets out filing fees, deadlines and potential
restrictions on disclosure of nonpublic documents and testimony of OPIC
employees. The proposed charges for witnesses are the same as those
provided by the federal courts, and the fees relating to the production
of records are the same as those charged under FOIA.
A few simple definitions clarify that the proposed rule applies to
a broad range of cases (not just matters before courts). The proposed
rule applies to former as well as to current OPIC employees. Former
OPIC employees remain prohibited from testifying about specific matters
for which they had responsibility during their OPIC employment, unless
permitted to testify as provided in the proposed rule. They would not,
however, be barred from appearing on general matters or otherwise
employing their expertise (as expert witnesses, for example).
The proposed rule solves some problems which have arisen in the
past. It should eliminate or reduce eleventh hour requests for
nonpublic documents or testimony of OPIC employees. The procedures and
criteria will ensure a more efficient use of OPIC resources, will
minimize the possibility of involving OPIC in issues unrelated to its
responsibilities, will promote
[[Page 68214]]
uniformity in responding to such requests, and subpoenas, and will
maintain the necessary impartiality of OPIC in matters between private
litigants. The proposed rule will serve OPIC's interest in protecting
sensitive, confidential and privileged information and records
generated by its work.
The proposed rule is procedural, not substantive. It does not
confer a benefit upon anyone. It does not create a right to obtain OPIC
records or the testimony of any OPIC employee, past or present, nor
does it create any additional right or privilege not already available
to OPIC to deny such a request. OPIC makes no waiver of its sovereign
immunity by proposing or implementing this rule. Failure to comply with
the rule, however, constitutes grounds for OPIC's denial of any
request.
OPIC is most interested in receiving comments on the application of
the proposed regulation to former as well as to current employees,
including its application to proceedings to which OPIC is a party, the
exception from coverage for expert testimony by former OPIC employees,
and any other factors which commentors believe OPIC should consider in
addition to those set out in Sec. 713.7 in reaching a final decision.
Legal Authority
More than 60 government agencies and departments have promulgated
regulations governing the circumstances and manner in which an employee
may respond to demands for testimony or production of documents. These
regulations, issued under the authority of 5 U.S.C. 301, the so-called
``housekeeping statute,'' are separate from FOIA regulations. In
addition, OPIC has statutory authority to ``take such actions as may be
necessary or appropriate to carry out the powers'' granted it by
Congress. 22 U.S.C. 2199(d).
The housekeeping statute expressly states that it does not provide
a basis for withholding information or limiting the availability of
records, but authorizes a head of an executive agency to issue
``regulations for the government of his department, the conduct of its
employees, the distribution and performance of its business and the
custody, use and preservation of its records, papers, and property.'' 5
U.S.C. 301. These regulations are known as ``Touhy regulations,''
thanks to a landmark Supreme Court decision, United States ex rel.
Touhy v. Ragen, 340 U.S. 462 (1951).
Touhy was the first in a long line of cases which have upheld
regulations restricting the rights of private litigants to require
testimony or production of documents from employees of federal
agencies. In Touhy, the Supreme Court held that a Department of Justice
(DoJ) official, acting on order of the Attorney General, could not be
held in contempt for declining to produce records in response to a
subpoena. The Court reasoned that the variety of information contained
in the files of any government agency, as well as the possibilities of
harm from unrestricted disclosure in court, justify centralized
determinations as to whether to obey or challenge a subpoena. The Court
stated that it was appropriate for the Attorney General to prescribe
regulations for the preservation of DoJ records.
Federal circuit and district courts have consistently held that a
person seeking testimony or records from an agency must comply with
that agency's Touhy regulations prior to seeking judicial enforcement
of a subpoena. Davis v. Braswell Motor Freight Lines, Inc., 363 F.2d
600 (5th Cir. 1966); Colonial Savings and Loan Assoc. v. St. Paul Fire
and Marine Ins. Co., 89 F.R.D. 481, 484 (D. Kan. 1980); Marcoux v. Mid-
States Livestock, 66 F.R.D. 573, 575 n.1 (W.D. Mo. 1975).
Generally speaking, courts cannot compel an agency employee who is
the subject of a subpoena to testify or produce records in violation of
the agency's Touhy regulations. Touhy, 340 U.S. at 467-70; United
States Steel v. Mattingly, 663 F.2d 68 (10th Cir. 1980). Courts have
also upheld regulations which limit federal employees' testifying about
purely factual information. Southeastern Pa. Transp. Auth. v. General
Motors Corp., 103 F.R.D. 12 (E.D. Pa. 1984); Kline v. Martin, 345 F.
Supp. 31 (E.D. Va. 1972). Consequently, a limited or conditional
authorization to testify or produce records does not waive an
employee's immunity from contempt or compulsion with regard to
releasing records or testifying on unauthorized matters. Swett v.
Schenk, 792 F.2d 1447, 1451-52 (9th Cir. 1986).
There is also precedent suggesting that agencies may also restrict
the testimony of former employees. Fowkes v. Dravo Corporation, 5
F.R.D. 51 (E.D. Pa. 1945). In Fowkes, a former employee and a current
employee of the Treasury Department refused to testify or produce
documents pursuant to subpoenas, in accordance with instructions from
the Deputy Commissioner of Internal Revenue. Because the employees
obtained the information while in their official positions, disclosure
could not be permitted unless in accordance with a Treasury regulation
and a Treasury Department circular. The Fowkes court upheld the
Treasury Department's refusal to allow the testimony, at least until
the procedures in the Department's circular were followed. The court
based its decision on the nature of the information. Thus, it is
generally understood that, so long as a former employee acquired the
information in an official capacity, persons seeking the former
employee's testimony are still required to comply with an agency
regulation limiting disclosure or testimony. As noted previously,
OPIC's proposed rule will not bar former OPIC employees from serving as
expert witnesses; however, former OPIC employees are prohibited from
testifying about specific matters for which they had responsibility
during their employment, unless permission is granted pursuant to the
proposed rule.
With respect to the cost of processing and responding to requests
for records and testimony, an agency may prescribe regulations
establishing the charge for a service or thing of value provided by the
agency, 31 U.S.C. 9701.
The proposed rule is not intended to restrict access to records
under the Freedom of Information Act (5 U.S.C. 552), the Privacy Act (5
U.S.C. 552a), or any other authority. At the same time, nothing in this
proposed rule would permit disclosure of information by OPIC or its
employees except as provided by statute or other applicable law.
Regulatory Procedures
Regulatory Flexibility Act
The Regulatory Flexibility Act requires OPIC to prepare an analysis
to describe any significant economic impact any proposed regulation may
have on any small business or other small entity. 5 U.S.C. 602, 603.
OPIC has determined and certifies that the proposed rule, if adopted,
will not have a significant economic impact on any entity. The reasons
for this determination are that the copying and witness fees to be
charged to persons and entities submitting requests under the
regulation are not large, and will not create a financial burden. The
proposed rule will not create any significant demand for legal,
accounting or consulting expenditures. Accordingly, OPIC has determined
that a Regulatory Flexibility Analysis is not required.
Paperwork Reduction Act
OPIC has determined that this rulemaking is not subject to the
Paperwork Reduction Act, because OPIC averages less than 10 requests
per year, and expects this level of activity to remain below this
threshold. 5 CFR 1320.3(c).
[[Page 68215]]
Executive Order 12612
OPIC has determined that the proposed rule will not have a
substantial direct effect on the States, on the relationship between
the national government and the States, or on the distribution of power
and responsibilities among various levels of government.
List of Subjects in 22 CFR Part 713
Administrative practice and procedure, Confidential business
information, Freedom of Information Act, Government employees,
Reporting and recordkeeping requirements, Subpoenas.
For the reasons set forth in the preamble, OPIC proposes to amend
22 CFR part 706 and add part 713 as set forth below:
PART 706--[AMENDED]
1. The authority citation for part 706 is revised to read as
follows:
Authority: The Freedom of Information Act, as amended, 5 U.S.C.
552; 5 U.S.C. 301; 22 U.S.C. 2199(d).
2. Amend Sec. 706.22, to redesignate the existing test as paragraph
(a). In redesignated paragraph (a), further redesignate paragraphs (a)
through (f) as paragraphs (a)(1) through (a)(6). Add paragraph (b) to
read as follows:
Sec. 706.22 Information and records not generally available to the
public.
* * * * *
(b) Prohibition against disclosure. Except as provided in part 713
of this chapter, no officer, employee or agent of OPIC shall disclose
or permit the disclosure of any exempt records of OPIC or of any
information described in paragraph (a) of this section to any person
other than those OPIC officers, employees or agents properly entitled
to such information for the performance of their official duties.
3. Add Part 713 to read as follows:
PART 713--PRODUCTION OF NONPUBLIC RECORDS AND TESTIMONY OF OPIC
EMPLOYEES IN LEGAL PROCEEDINGS
Sec.
713.1 What does this part prohibit?
713.2 When does this part apply?
713.3 How do I request nonpublic records or testimony?
713.4 What must my written request contain?
713.5 When should I make my request?
713.6 Where should I send my request?
713.7 What will OPIC do with my request?
713.8 If my request is granted, what fees apply?
713.9 If my request is granted, what restrictions may apply?
713.10 Definitions.
Authority: 5 U.S.C. 301; 5 U.S.C. 552; 5 U.S.C. 552a; 5 U.S.C.
702; 18 U.S.C. 207; 18 U.S.C. 641; 22 U.S.C. 2199(d); 28 U.S.C.
1821.
Sec. 713.1 What does this part prohibit?
This part prohibits the release of nonpublic records or the
appearance of an OPIC employee to testify in legal proceedings except
as provided in this part. Any person possessing nonpublic records may
release them or permit their disclosure only as provided in this part.
(a) Duty of OPIC employees. (1) If you are an OPIC employee and you
are served with a subpoena requiring you to appear as a witness or to
produce records, you must promptly notify the Vice-President/General
Counsel in the Department of Legal Affairs. The Vice-President/General
Counsel has the authority to instruct OPIC employees to refuse to
appear as a witness or to withhold nonpublic records. The Vice-
President/General Counsel may let an OPIC employee provide testimony,
including expert or opinion testimony, if the Vice-President/General
Counsel determines that the need for the testimony clearly outweighs
contrary considerations.
(2) If a court or other appropriate authority orders or demands
from you expert or opinion testimony or testimony beyond authorized
subjects contrary to the Vice-President/General Counsel's instructions,
you must immediately notify the Vice-President/General Counsel of the
order an then respectfully decline to comply with the order. You must
decline to answer questions on the grounds that this part forbids such
disclosure. You should produce a copy of this part, request an
opportunity to consult with the Vice-President/General Counsel, and
explain that providing such testimony without approval may expose you
to disciplinary or other adverse action.
(b) Duty of persons who are not OPIC employees. (1) If you are not
an OPIC employee but have custody of nonpublic records and are served
with a subpoena requiring you to appear as a witness or produce
records, you must promptly notify OPIC of the subpoena. Also, you must
notify the issuing court or authority and the person or entity for whom
the subpoena was issued of the content of this part. Provide notice to
OPIC by sending a copy of the subpoena to the Vice-President/General
Counsel, OPIC, 1100 New York Avenue, NW, Washington, DC 20527. After
receiving notice, OPIC may advise the issuing court or authority and
the person or entity for whom the subpoena was issued that this part
applies and, in addition, may intervene, attempt to have the subpoena
quashed or withdrawn, or register appropriate objections.
(2) After notifying the Vice-President/General Counsel, respond to
a subpoena by appearing at the time and place stated in the subpoena.
Unless otherwise authorized by the Vice-President/General Counsel,
decline to produce any records or give any testimony, basing your
refusal on this part. If the issuing court or authority orders the
disclosure of records or orders you to testify, decline to produce
records or testify and advise the Vice-President/General Counsel.
(c) Penalties. Anyone who discloses nonpublic records or gives
testimony related to those records, except as expressly authorized by
OPIC or as ordered by a federal court after OPIC has had the
opportunity to be heard, may face the penalties provided in 18 U.S.C.
641 and other applicable laws. Also, former OPIC employees, in addition
to the prohibition contained in this part, are subject to the
restrictions and penalties of 18 U.S.C. 207.
Sec. 713.2 When does this part apply?
This part applies if you want to obtain nonpublic records or
testimony of an OPIC employee for a legal proceeding. It does not apply
to records that OPIC is required to release under the Freedom of
Information Act (FOIA), records that OPIC releases to federal or state
investigatory agencies, or records that OPIC is required to release
pursuant to the Privacy Act, 5 U.S.C. 552a.
Sec. 713.3 How do I request nonpublic records or testimony?
To request nonpublic records or the testimony of an OPIC employee,
you must submit a written request to the Vice-President/General Counsel
of OPIC. If you serve a subpoena on OPIC or an OPIC employee before
submitting a written request and receiving a final determination, OPIC
will oppose the subpoena on the grounds that you failed to follow the
requirements of this part. You may serve a subpoena as long as it is
accompanied by a written request that complies with this part.
Sec. 713.4 What must my written request contain?
Your written request for records or testimony must include:
(a) The caption of the legal procedure, docket number, and name of
the court or other authority involved.
(b) A copy of the complaint or equivalent document setting forth
the assertions in the case and any other
[[Page 68216]]
pleading or document necessary to show relevance.
(c) A list of categories of records sought, a detailed description
of how the information sought is relevant to the issues in the legal
proceeding, and a specific description of the substance of the
testimony or records sought.
(d) A statement as to how the need for the information outweighs
the need to maintain the confidentiality of the information and
outweighs the burden on OPIC to produce the records or provide
testimony.
(e) A statement indicating that the information sought is not
available from another source, such as the requestor's own books and
records, other persons or entities, or the testimony of someone other
than an OPIC employee, such as retained experts.
(f) A description of all prior decisions, orders, or pending
motions in the case that bear upon the relevance of the records or
testimony you want.
(g) The name, address, and telephone number of counsel to each
party in the case.
(h) An estimate of the amount of time you anticipate that you and
other parties will need with each OPIC employee for interviews,
depositions, and/or testimony.
Sec. 713.5 When should I make a request?
Submit your request at least 45 days before the date you need the
records or testimony. If you want your request processed in a shorter
time, you must explain why you could not submit the request earlier and
why you need such expedited processing. If you are requesting the
testimony of an OPIC employee, OPIC expects you to anticipate your need
for the testimony in sufficient time to obtain it by deposition. The
Vice-President/General Counsel may well deny a request for testimony at
a legal proceeding unless you explain why you could not have used
deposition testimony instead. The Vice-President/General Counsel will
determine the location of a deposition, taking into consideration
OPIC's interest in minimizing the disruption for an OPIC employee's
work schedule and the costs and convenience of other persons attending
the deposition.
Sec. 713.6 Where should I send my request?
Send your request or subpoena for records or testimony to the
attention of the Vice-President/General Counsel, OPIC, 1100 New York
Avenue NW, Washington, DC 20527.
Sec. 713.7 What will OPIC do with my request?
(a) Factors OPIC will consider. OPIC may consider various factors
in reviewing a request for nonpublic records or testimony of OPIC
employees, including:
Whether disclosure would assist or hinder OPIC in performing its
statutory duties or use OPIC resources unreasonably, including whether
responding to the request will interfere with OPIC employees' ability
to do their work.
(2) Whether disclosure is necessary to prevent the perpetration of
a fraud or other injustice in the matter or if you can get the records
or testimony you want from sources other than OPIC.
(3) Whether the request is unduly burdensome.
(4) Whether disclosure would violate a statute, executive order, or
regulation, such as the Privacy Act, 5 U.S.C. 552a.
(5) Whether disclosure would reveal confidential, sensitive or
privileged information, trade secrets or similar, confidential
commercial or financial information, or would otherwise be
inappropriate for release and, if so, whether a confidentiality
agreement or protective order as provided in Sec. 713.9(a) can
adequately limit the disclosure.
(6) Whether the disclosure would interfere with law enforcement
proceedings, compromise constitutional rights, or hamper OPIC programs
or other OPIC operations.
(7) Whether the disclosure could result in OPIC's appearing to
favor one litigant over another.
(8) Any other factors OPIC determines to be relevant to the
interests of OPIC.
(b) Review of your request. OPIC will process your request in the
order it is received. OPIC will try to respond to your request within
45 days, but this may vary, depending on the scope of your request.
(c) Final determination. The Vice-President/General Counsel makes
the final determination on requests for nonpublic records or OPIC
employee testimony. All final determinations are in the sole discretion
of the Vice President/General Counsel. The Vice-President/General
Counsel will notify you and the court or other authority of the final
determination of your request. In considering your request, the Vice-
President/General Counsel may contact you to inform you of the
requirements of this part, ask that the request or subpoena be modified
or withdrawn, or may try to resolve the request or subpoena informally
without issuing a final determination. You may seek judicial review of
the final determination under the Administrative Procedure Act, 5
U.S.C. 702.
Sec. 713.8 If my request is granted, what fees apply?
(a) Generally. You must pay any fees associated with complying with
your request, including copying fees for records and witness fees for
testimony. The Vice-President/General Counsel may condition the
production of records or appearance for testimony upon advance payment
of a reasonable estimate of the fees.
(b) Fees for records. You must pay all fees for searching,
reviewing and duplicating records produced in response to your request.
The fees will be the same as those charged by OPIC under its Freedom of
Information Act regulations, Sec. 706.26 of this chapter.
(c) Witness fees. You must pay the fees, expenses, and allowances
prescribed by the court's rules for attendance by a witness. If no such
fees are prescribed, the local federal district court rule concerning
witness fees, for the federal district court closest to where the
witness appears, will apply. For testimony by current OPIC employees,
you must pay witness fees, allowances, and expenses to the Vice-
President/General Counsel by check made payable to the ``Overseas
Private Investment Corporation'' within 30 days from receipt of OPIC's
billing statement. For the testimony of a former OPIC employee, you
must pay witness fees, allowances, and expenses directly to the former
employee, in accordance with 28 U.S.C. 1821 or other applicable
statutes.
(d) Certification of records. OPIC may authenticate or certify
records to facilitate their use as evidence. If you require
authenticated records, you must request certified copies at least 45
days before the date they will be needed. Send your request to the
Vice-President/General Counsel. OPIC will charge you a certification
fee of $5.00 per document.
(e) Waiver of fees. A waiver or reduction of any fees in connection
with the testimony, production, or certification or authentication of
records may be granted in the discretion of the Vice-President/General
Counsel. Waivers will not be granted routinely. If you request a
waiver, your request for records or testimony must state the reasons
why a waiver should be granted.
Sec. 713.9 If my request is granted, what restrictions may apply?
(a) Records. The Vice-President/General Counsel may impose
conditions or restrictions on the release of nonpublic records,
including a requirement that you obtain a protective order or execute a
confidentiality agreement with the other parties in the legal
proceeding that limits access to
[[Page 68217]]
and any further disclosure of the nonpublic records. The terms of a
confidentiality agreement or protective order must be acceptable to the
Vice-President/General Counsel. In cases where protective orders or
confidentiality agreements have already been executed, OPIC may
condition the release of nonpublic records on an amendment to the
existing protective order or confidentiality agreement.
(b) Testimony. The Vice-President/General Counsel may impose
conditions or restrictions on the testimony of OPIC employees,
including, for example, limiting the areas of testimony or requiring
you and the other parties to the legal proceeding to agree that the
transcript of the testimony will be kept under seal or will only be
used or made available in the particular legal proceeding for which you
requested the testimony. The Vice-President/General Counsel may also
require you to provide a copy of the transcript of the testimony to
OPIC at your expense.
Sec. 713.10 Definitions.
For purposes of this part:
Legal proceedings means any matter before any federal, state or
foreign administrative or judicial authority, including courts,
agencies, commissions, boards or other tribunals, involving such
proceedings as lawsuits, licensing matters, hearings, trials,
discovery, investigations, mediation or arbitration. When OPIC is a
party to a legal proceeding, it will be subject to the applicable rules
of civil procedure governing production of documents and witnesses;
however, this part will still apply to the testimony of former OPIC
employees.
Nonpublic records means any OPIC records which are exempt from
disclosure by statute or under part 706 of this chapter, OPIC's
regulations implementing the provisions of the Freedom of Information
Act. For example, this means records created in connection with OPIC's
receipt, evaluation and action on actual and proposed OPIC finance
projects and insurance policies (whether such projects or policies were
canceled or not), including all reports, internal memoranda, opinions,
interpretations, and correspondence, whether prepared by OPIC employees
or by persons under contract, as well as confidential business
information submitted by parties seeking to do business with OPIC.
Whether OPIC has actually chosen in practice to apply any exemption to
specific documents is irrelevant to the question of whether they are
``nonpublic'' for the purposes of this part.
OPIC employee means current and former officials, members of the
Board of Directors, officers, directors, employees and agents of the
Overseas Private Investment Corporation, including contract employees,
consultants and their employees. This definition does not include
persons who are no longer employed by OPIC and are retained or hired as
expert witnesses or agree to testify about general matters, matters
available to the public, or matters with which they had no specific
involvement or responsibility during their employment.
Subpoena means any order, subpoena for records or other tangible
things or for testimony, summons, notice or legal process issued in a
legal proceeding.
Testimony means any written or oral statements made by an
individual in connection with a legal proceeding, including personal
appearances in court or at depositions, interviews in person or by
telephone, responses to written interrogatories or other written
statements such as reports, declarations, affidavits, or certifications
or any response involving more than the delivery of records.
Dated: December 4, 1998.
Michael C. Cushing,
Managing Director for Administration.
[FR Doc. 98-32810 Filed 12-9-98; 8:45 am]
BILLING CODE 3210-01-M