Administrative Subpoena Response Guide

ADMINISTRATIVE SUBPOENA RESPONSE GUIDE — MARYLAND

1. OVERVIEW OF ADMINISTRATIVE SUBPOENA AUTHORITY

1.1 Statutory Framework

Maryland administrative subpoena authority derives from:

• Md. Code, State Gov't §§ 10-201 to 10-226 — Administrative Procedure Act (APA) governing contested cases
• Md. Code, State Gov't § 10-206 — Authorizes the Office of Administrative Hearings (OAH) to adopt procedural regulations for contested cases
• Md. Code, State Gov't § 10-208 — Governs subpoenas in contested cases before the OAH
• COMAR 28.02.01 — OAH Rules of Procedure (Title 28 of the Code of Maryland Regulations)
• Individual agency enabling statutes — Many agencies have independent subpoena authority
• Md. Code, Com. Law § 13-403 — AG consumer protection investigative authority

1.2 Types of Administrative Subpoenas

1.3 Common Issuing Agencies

• Maryland Office of Administrative Hearings (OAH)
• Maryland Attorney General's Office
• Maryland Insurance Administration (MIA)
• Department of Labor
• Department of the Environment (MDE)
• Maryland Department of Health (MDH)
• State Department of Assessments and Taxation (SDAT)
• Maryland Public Service Commission (PSC)
• Department of Housing and Community Development
• State Board of Education
• Maryland Securities Division
• Health Occupations Licensing Boards
• Comptroller of Maryland

2. DEADLINE AND RESPONSE REQUIREMENTS

2.1 Key Deadlines

2.2 OAH Subpoena Request Procedure

Requests for the issuance of a subpoena must:

• Be made in writing
• Be received by the OAH not less than 15 days prior to the scheduled hearing
• Include the case name and OAH case number
• Include the hearing date
• Include the complete names and addresses of individuals to be subpoenaed
• Describe with particularity any documents to be produced
• Include the required fee ($5.00 per subpoena)

2.3 Service Requirements

Subpoenas in administrative proceedings may be served:

• By personal delivery
• By certified mail, return receipt requested
• By any method authorized under Maryland Rules for civil subpoenas
• Service must be made a reasonable time before the hearing

3. INITIAL ASSESSMENT CHECKLIST

Upon receipt of an administrative subpoena, complete the following:

3.1 Receipt and Logging

☐ Record date and time of receipt
☐ Record method of service (personal delivery, certified mail, other)
☐ Identify the person who received or accepted service
☐ Calendar the return/compliance date
☐ Calendar the hearing date (if applicable)
☐ Calendar internal review deadlines (recommend 5 business days before return date)
☐ Obtain and retain copies of the subpoena and all attachments

3.2 Authority and Jurisdiction Verification

☐ Identify the issuing agency or administrative law judge
☐ Verify the OAH case number and docket information
☐ Confirm the statutory authority for the subpoena
☐ Confirm the agency has jurisdiction over the subject matter
☐ Confirm the agency has jurisdiction over the recipient
☐ Verify the subpoena was properly issued (authorized person, proper form)
☐ Verify compliance with the 15-day advance request requirement (OAH subpoenas)

3.3 Scope Analysis

☐ List each document request or testimony demand individually
☐ Note all date ranges specified
☐ Identify the specific records, documents, or testimony demanded
☐ Determine the subject matter and scope of the underlying proceeding
☐ Assess relevance of requests to the pending matter
☐ Flag requests that appear overbroad, vague, or burdensome
☐ Identify requests implicating privileged information
☐ Identify requests implicating trade secrets or confidential information
☐ Identify requests implicating PII, PHI, or HIPAA-protected information

3.4 Preservation Obligations

☐ Issue litigation hold notice to relevant custodians
☐ Suspend automatic deletion policies for responsive data
☐ Preserve all potentially responsive documents and electronically stored information
☐ Coordinate with IT department for preservation of electronic records
☐ Document all preservation steps taken with dates and responsible parties

4. GROUNDS TO CHALLENGE AN ADMINISTRATIVE SUBPOENA

4.1 Lack of Jurisdiction

• The issuing agency lacks subject matter jurisdiction over the contested case
• The agency lacks personal jurisdiction over the subpoena recipient
• The matter falls outside the agency's statutory mandate
• The subpoena was issued outside a properly commenced contested case

4.2 Overbreadth and Irrelevance

• The subpoena seeks evidence that does not relate to a matter in issue in the contested case
• Requests extend beyond the scope of the pending proceeding
• Date ranges are unreasonably expansive
• The subpoena targets persons or entities not connected to the proceeding

4.3 Undue Burden

• Cost of compliance is disproportionate to the needs of the case
• Volume of responsive documents is unreasonably large
• Compliance would cause significant disruption to business operations
• Respondent is a non-party with no meaningful connection to the dispute
• Information is readily available from another source

4.4 Privilege

• Attorney-client privilege — Confidential communications for legal advice
• Work product doctrine — Materials prepared in anticipation of litigation
• Fifth Amendment privilege — Against self-incrimination (individuals only)
• Physician-patient privilege — Md. Code, Cts. & Jud. Proc. § 9-109
• Marital privilege — Md. Code, Cts. & Jud. Proc. § 9-105
• Accountant-client privilege — Md. Code, Cts. & Jud. Proc. § 9-110
• HIPAA protections — For protected health information

4.5 Trade Secret and Confidential Business Information

• Maryland Uniform Trade Secrets Act (Md. Code, Com. Law §§ 11-1201 to 11-1209)
• Request protective order limiting disclosure, use, and dissemination
• Propose confidentiality designations and restricted access terms
• Identify specific information qualifying as trade secrets

4.6 Procedural Defects

• Subpoena was not issued by authorized person
• Service was deficient (improper method, insufficient time)
• OAH was not given 15-day advance notice for hearing subpoena
• Required fee was not paid
• Subpoena does not describe requested evidence with sufficient particularity
• Subpoena does not conform to required form
• No pending contested case at the time of issuance

5. RESPONSE LETTER TEMPLATE

[LETTERHEAD]

[Date: __/__/____]

[Agency Name / Office of Administrative Hearings]
[Address]
[City, State, ZIP]

Attn: [________________________________]

Re: Response to Administrative Subpoena
    OAH Case No.: [________________________________]
    Agency Case No.: [________________________________]
    Subpoena Issued: [__/__/____]
    Return/Hearing Date: [__/__/____]

Dear [________________________________]:

This firm represents [________________________________] ("Respondent") in
connection with the above-referenced subpoena issued in the matter of
[________________________________], OAH Case No. [________________].

I. RESPONSE TO SPECIFIC REQUESTS

[Request No. 1: [________________________________]

Response: [________________________________]

Documents Produced: [____] documents, Bates Nos. [____] through [____]

Objections (if any): [________________________________]]

[Repeat for each request]

II. GENERAL OBJECTIONS

Respondent objects to the subpoena to the extent it:

1. Seeks information protected by the attorney-client privilege and/or
   work product doctrine;
2. Seeks evidence that does not relate to a matter in issue in the
   pending contested case;
3. Is overbroad in scope and unduly burdensome;
4. Seeks trade secrets or confidential business information without
   appropriate protective measures;
5. Seeks information protected by HIPAA or state medical privacy laws;
6. [________________________________].

III. PRIVILEGE LOG

A privilege log identifying documents withheld or redacted on the basis
of privilege is attached hereto as Exhibit [____].

IV. PRODUCTION

Respondent produces herewith [____] documents, Bates-labeled
[____] through [____], in [format: PDF / native / paper] format.

V. REQUEST FOR PROTECTIVE ORDER

Respondent respectfully requests that the [ALJ/Agency] enter a protective
order governing the confidentiality of the following categories of
documents: [________________________________].

VI. RESERVATION OF RIGHTS

Respondent reserves all rights and objections not expressly waived herein,
including the right to supplement or amend this response.

Respectfully submitted,

_________________________________________
[Attorney Name], Esq.
[Maryland Bar No.: ____]
[Firm Name]
[Address]
[Phone: ____]
[Email: ________________________________]

6. MOTION TO QUASH OR MODIFY TEMPLATE

STATE OF MARYLAND
OFFICE OF ADMINISTRATIVE HEARINGS

In the Matter of:                    )
                                     )
[________________________________]   )   OAH Case No. [________________]
                                     )
         v.                          )   Agency Case No. [____________]
                                     )
[________________________________]   )
                                     )

MOTION TO QUASH OR MODIFY SUBPOENA

NOW COMES [________________________________] ("Movant"), by and through
undersigned counsel, and respectfully moves this Honorable Administrative
Law Judge to quash or, in the alternative, modify the subpoena [duces
tecum / ad testificandum] issued on [__/__/____], returnable on
[__/__/____]. In support thereof, Movant states as follows:

I. PROCEDURAL BACKGROUND

1. This contested case involves [________________________________].

2. On [__/__/____], [Party Name] caused a subpoena to be issued
   directing Movant to [produce documents described in the attached
   schedule / appear and testify on __/__/____].

3. Movant received the subpoena on [__/__/____].

II. STATEMENT OF FACTS

4. [________________________________]

5. [________________________________]

6. [________________________________]

III. LEGAL STANDARD

7. Under the Maryland APA and OAH Rules of Procedure (COMAR
   28.02.01), an administrative law judge may quash a subpoena upon a
   finding that:

   (a) The evidence sought does not relate to a matter in issue;
   (b) The subpoena does not describe with sufficient particularity
       the evidence to be produced; or
   (c) For any other reason sufficient in law the subpoena should
       be quashed.

IV. ARGUMENT

A. THE SUBPOENA SHOULD BE QUASHED FOR IRRELEVANCE

8. [________________________________]

B. THE SUBPOENA IS OVERBROAD AND UNDULY BURDENSOME

9. [________________________________]

C. THE SUBPOENA SEEKS PRIVILEGED INFORMATION

10. [________________________________]

D. THE SUBPOENA SUFFERS FROM PROCEDURAL DEFECTS

11. [________________________________]

V. ALTERNATIVE REQUEST FOR MODIFICATION

12. In the alternative, Movant requests that the subpoena be modified
    as follows: [________________________________].

VI. REQUEST FOR PROTECTIVE ORDER

13. Movant further requests that any production be governed by a
    protective order that: [________________________________].

VII. RELIEF REQUESTED

WHEREFORE, Movant respectfully requests that this Court:

(a) Quash the subpoena in its entirety; or, in the alternative,

(b) Modify the subpoena to narrow its scope as follows:
    [________________________________];

(c) Enter a protective order governing any documents produced;

(d) Award Movant costs and expenses incurred in bringing this Motion;

(e) Grant such other and further relief as is just and proper.

Respectfully submitted,

_________________________________________
[Attorney Name], Esq.
[Maryland Bar No.: ____]
[Firm Name]
[Address]
[Phone: ____]
[Email: ________________________________]

Date: [__/__/____]

CERTIFICATE OF SERVICE

I hereby certify that on [__/__/____], a copy of the foregoing Motion
was served upon all parties of record by [first-class mail / hand delivery /
electronic filing] to:

[________________________________]
[________________________________]

_________________________________________
[Attorney Name]

7. PRIVILEGE LOG FORMAT

Privilege Designations:

• AC — Attorney-Client Privilege
• WP — Work Product Doctrine
• AC/WP — Attorney-Client Privilege and Work Product
• 5A — Fifth Amendment Privilege Against Self-Incrimination
• TS — Trade Secret / Confidential Business Information
• PP — Physician-Patient Privilege (Cts. & Jud. Proc. § 9-109)
• AP — Accountant-Client Privilege (Cts. & Jud. Proc. § 9-110)
• HIPAA — Protected Health Information

8. COMPLIANCE PROCEDURES

8.1 Document Collection

☐ Identify all custodians with potentially responsive documents
☐ Map all data sources (email, shared drives, cloud, paper files, personal devices)
☐ Collect documents from all identified sources using defensible methods
☐ Maintain chain of custody log for all collected materials
☐ Use forensically sound collection methods for electronic evidence where warranted

8.2 Document Review

☐ Conduct first-level relevance review against each subpoena request
☐ Conduct privilege review for attorney-client, work product, and statutory privileges
☐ Identify and segregate trade secret and confidential business information
☐ Redact PII, PHI, SSNs, or other protected data elements as appropriate
☐ Prepare privilege log for all withheld and redacted documents
☐ Conduct second-level quality control review

8.3 Production

☐ Organize production by subpoena request number where practicable
☐ Apply Bates numbering to all produced pages
☐ Prepare production in agreed format (paper, PDF, native, TIFF)
☐ Prepare cover letter summarizing production, objections, and withheld documents
☐ Retain complete duplicate of all produced materials
☐ Deliver production before the return/hearing date
☐ File proof of compliance with the OAH if required
☐ Obtain acknowledgment of receipt from the requesting party or agency

8.4 Post-Production Obligations

☐ Calendar follow-up deadlines and hearing dates
☐ Monitor for supplemental subpoena requests
☐ Supplement production if additional responsive documents are identified
☐ Maintain all files related to the subpoena response for the record

9. CONSEQUENCES OF NON-COMPLIANCE

9.1 Enforcement in Circuit Court

Under Maryland law, if a witness fails to comply with a subpoena:

1. The party who requested the subpoena may seek enforcement through the Circuit Court
2. The Circuit Court may issue an order compelling compliance
3. Failure to comply with the court order may result in contempt of court

9.2 Agency Sanctions

• The ALJ may draw adverse inferences from non-compliance
• The ALJ may exclude evidence or testimony from the non-compliant party
• The agency may enter a default order against a non-compliant party
• Continued non-compliance may result in dismissal or entry of judgment

9.3 Potential Penalties

• Civil contempt — Fines and/or imprisonment until compliance
• Criminal contempt — Fines and/or imprisonment for willful disobedience
• Monetary sanctions — Court-imposed costs and attorney fees
• Adverse findings — Agency may resolve disputed facts against the non-compliant party
• Professional licensing consequences — For regulated professionals, non-compliance may affect licensure

10. SPECIAL CONSIDERATIONS FOR MARYLAND

10.1 OAH Procedures

The OAH is the central hearing agency for Maryland and handles contested cases for over 30 state agencies. Key considerations:

• Subpoena forms are available from the OAH
• The $5.00 fee per subpoena must be paid at the time of the request
• The 15-day advance request rule is strictly enforced
• Witness fees must be paid in accordance with Md. Code, Cts. & Jud. Proc. § 9-202

10.2 Statewide Uniform Subpoena Form

Maryland uses a statewide uniform subpoena form for both court and administrative proceedings. Ensure that the subpoena received conforms to the approved form.

10.3 Public Information Act Considerations

Some documents sought by administrative subpoena may also be subject to the Maryland Public Information Act (Md. Code, Gen. Prov. §§ 4-101 to 4-601). Consider whether production in an administrative proceeding could result in broader public disclosure.

10.4 HIPAA and Medical Records

For subpoenas seeking medical records or PHI:

☐ Determine if a HIPAA-compliant authorization is attached
☐ Assess whether a qualified protective order is needed
☐ Provide required notification to the patient/individual if applicable
☐ Ensure compliance with both HIPAA and Maryland medical records statutes

10.5 State Employee Witnesses

Under Maryland law, State officials or employees who are subpoenaed:

• Are not entitled to witness fees
• Receive their normal salary during witness days
• Are not required to take annual leave for witness days
• Must still comply with the subpoena

11. SOURCES AND REFERENCES

• Maryland Annotated Code, State Government Article, §§ 10-201 to 10-226
• Maryland Annotated Code, Commercial Law Article, § 13-403
• COMAR 28.02.01 (OAH Rules of Procedure)
• Maryland Rules, Title 2, Chapter 500 (Discovery)
• Maryland Office of Administrative Hearings — Subpoena Request Page
• Statewide Uniform Subpoena Form — Maryland Courts

This guide is intended for use by licensed Maryland attorneys. It does not constitute legal advice and should not be relied upon as a substitute for consultation with qualified legal counsel familiar with the specific facts and circumstances of the matter at hand.