This case is on this court’s miscellaneous docket. It was initiated by an emergency motion to quash subpoenas for deposition duces tecum. Doc. 1. The Florida Legislature has moved for a protective order regarding depositions of legislative staff employees Patsy Eccles, Lynn Dixon, Cathie Herndon, and Jim DeBeaugrine. Doc. 9. Plaintiffs have filed a reply. Doc. 15. This order only concerns the motion for protective order.
I. Procedural status of the motion
The underlying suit is pending in the Southern District of Florida, Case No. 89-0984-CIV-MOORE. A preliminary injunction was granted on September 11, 1991, by District Judge Nesbitt, doc. 15, ex. 1, and the case is set for trial on February 5,1996. The suit was brought by non-profit corporations which provide health care services to Medicaid-eligible developmentally disabled persons in intermediate care facilities in the State of Florida. Florida has elected to receive federal funds for these facilities by participating in the Medicaid program. Order Granting Preliminary Injunction, doc. 15, ex. 1, p. 2.
The Boren Amendment to the Medicaid Act creates the claim relied upon by Plaintiffs here, and defines the scope of permissible discovery. As found by the court in the Southern District:
Title 42 U.S.C. § 1896(a)(13), the Boren Amendment to the Medicaid Act, requires states participating in the federal medicaid program to establish a plan offering reimbursement for the provision of services in an intermediate care facility for the mentally retarded (“ICF/MR”). At least once per year, the State must make findings, and make assurances satisfactory to the federal government, that the established rates are “reasonable and adequate to meet the costs which must be incurred by efficiently and economically operated facilities in order to provide care and services in conformity with applicable State and Federal laws, regulations, and quality and safety standards.”
Order Granting Preliminary Injunction, doc. 15, ex. 1, p. 7, citations omitted. The court also ruled in that order:
Because a purpose of the Boren Amendment is to give states flexibility to establish their own plans, the statute and accompanying regulations do not define this standard precisely. For the same reason, the federal government reviews only the reasonableness of the state’s assurances; it does not review the state’s findings or the underlying financial data itself.
Id. The court in the Southern District enjoined the Defendants “from inadequately reimbursing providers of care in the ICF/MR program.” Id., p. 16.
Wilder v. Virginia Hosp. Assn.,
The parties have agreed that the “rates” which are at issue in this case are established by a subdivision of the Florida Department of Health and Rehabilitative Services, an executive agency, by administrative rule adopted in accordance with Chapter 120, Florida Statutes. The motion for a protective order asserts that these legislative staff employees will be compelled to testify as to matters learned solely in their roles assisting elected legislative representatives, and that a blanket privilege from attendance at a deposition is warranted. It is asserted that the
II. Ripeness
“It is well settled that a witness whose testimony is subpoenaed cannot simply refuse to appear altogether on grounds of privilege, but rather must appear, testify, and invoke the privilege in response to particular questions.” In Certain Complaints Under Investigation by an Investigating Committee of the Judicial Council of the Eleventh Circuit,
The Florida Legislature, however, contends that because the four deponents are full time staff members of the legislature, there is no testimony they could provide which would not have been derived within the scope of their legislative duties. With the exception of the issue of the role of the deponents as members of the Social Services Estimating Conference, Plaintiffs do not disagree. Accordingly, the question of whether there is a legislative evidentiary privilege which would preclude all questions pertaining to the legislative duties of the deponents (other than with regard to the Estimating Conference) is ripe for consideration by the court. See In re Grand Jury,
III. The Social Services Estimating Conference
Two of the proposed deponents, Patsy Ec-cles and Lynn Dixon, both work for the Florida Legislature and serve upon the Social Services Estimating Conference. Plaintiffs contend that they wish to ask questions of both concerning information they obtained while serving in the latter capacity. Plaintiffs contend that this Conference does not perform legislative functions, and thus no claim of legislative privilege could be applicable, even if one were to exist.
The Social Services Estimating Conference is created by Fla.Stat. § 216.136(6). The purpose of the Conference is to develop “official information” concerning the social service system as the Conference “determines is needed for the state planning and budgeting system.” Id. Except for the director of the Division of Economic and Demographic research of the Joint Legislative Management Committee, the “principals” of this Conference are not public officers named by title. The “principals” include the Executive Office of the Governor (the person from that office is chair), and “professional staff’ with “forecasting expertise” from the Department of Health and Rehabilitative Services, the Senate, the House of Representatives, and “their designees.” Id.
By mandate of Fla.Stat. § 216.133(1), the Social Services Estimating Conference and seven other Estimating Conferences are the principals of the Consensus Estimating Conference. That Conference is tasked with the job of developing “official information” for the state planning and budgeting system. “Official information” is defined as “the data, forecasts, estimates, analyses, studies, and other information which the principals of a consensus estimating conference unanimously adopt for purposes of the state planning and budgeting system.” Fla.Stat. § 216.133(2). The Consensus Estimating Conference has the job of developing “such official information within its area of responsibility as the conference determines is needed for purposes of the state planning and budgeting system.” Fla.Stat. § 216.134(1).
Fla.Stat. § 216.011(s), however, not surprisingly defines the “Legislative Branch” as “the various officers, committees, and other units of the legislative branch of state government.” Estimating Conferences are not
The Florida Legislature reads Chiles v. Children A, B, C, D, E, and F,
The Florida Constitution has long been interpreted by Florida courts as rather strictly forbidding the delegation of the legislative function to either the executive or judicial branches. E.g., Chiles v. Children A, B, C, D, E, and F,
Chiles reaffirmed the fundamental principle that the power to raise revenue, to appropriate public funds for specific purposes, and to reduce an appropriation, is solely a legislative power under Florida law.
All of the data relative to the legislative branch and to the judicial branch shall be for information and guidance in estimating the total financial needs of the state for the ensuing fiscal year; none of these estimates shall be subject to revision or review by the Governor, and they must be included in his recommended budget.
(Emphasis added.) From this the Court concluded that “the legislature recognized the threat to its own constitutional sovereignty and, in passing chapter 216, excluded itself from executive review.”
Thus, to the extent that an Estimating Conference provides data which relates to the financial needs of the legislative and judicial branches of Florida government, the legislature claims for itself, as it rightly should, the constitutional right to decide to what extent the data is correct and to what extent it will rely upon the data in determining revenue measures and appropriations to fund the legislative and judicial branches.
Obviously the same is true with respect to any data relating to the financial needs of the executive branch. While the legislature undoubtedly gives serious consideration to the estimates of the Estimating Conferences with regard to executive branch appropriations, since the act of appropriation is fundamentally legislative, it would be a violation of the organic law of Florida for the legislature to find itself bound by those estimates. This is so because members of the executive branch serve on the Conferences, and the Governor’s appointee is chair. Only the elected legislators themselves can discharge their legislative responsibilities under the Florida constitution. Chiles mandates this result. Accordingly, information derived by the two deponents which was obtained from communications among the Social Services Estimating Conference members, or from persons providing information to the Conference, is entitled to no legislative privilege.
IV. Whether staff members of state legislators have a federal qualified privilege from discovery in this suit
Two of the deponents are to be deposed solely in their capacities as staff members of the Florida Legislature, and the other two will be deposed in part in that capacity. Accordingly, the court still must determine whether there is a privilege which protects such staff members from having to attend these depositions at all.
Jurisdiction in this case is premised upon a federal question. Thus, privilege is a matter of federal law. Cf. Hancock v. Hobbs,
Testimonial exclusionary rules and privileges contravene the fundamental principle that “the public ... has a right to every man’s evidence.” ... As such, they must*262 be strictly construed and accepted “only to the very limited extent that permitting a refusal to testify or excluding relevant evidence has a public good transcending the normally predominant principle of utilizing all rational means for ascertaining truth.”
Trammel v. United States,
Tenney v. Brandhove,
Further, Tenney concerned only immunity from suit, not a state legislative evidentiary privilege. The latter question arose in United States v. Gillock. Gillock determined that federal common law does not recognize an evidentiary privilege comparable to the Speech or Debate Clause of the United States Constitution for state legislators in a federal criminal prosecution. It thus held that a state legislator has no privilege to bar the introduction of evidence of his legislative acts in a federal criminal case charging him with bribery.
In the course of its analysis, Gillock said that the existence of a state law privilege was not an irrelevant matter with respect to whether a federal privilege should be recognized, but held that the fact that the Tennessee Constitution had an evidentiary privilege for a state legislator which might be asserted in a state criminal prosecution was insufficient to compel a conclusion that there is an analogous privilege in a federal criminal prosecution.
The first, separation of powers, was found by the Court to be not applicable at all because the Supremacy Clause overrides “competing state exercises of power.”
The second rationale, interference with the state legislative process itself, was deemed by the Gillock Court to be more significant. The Court observed that “Tenney reflects this Court’s sensitivity to interference with the functioning of state legislators.... ”
The Third Circuit first held that “... a court must first decide whether a qualified privilege exists or should exist before deciding how to apply it to a particular case.”
Concerning the asserted privilege, the Third Circuit held:
[W]e do not believe the district court’s efforts merely to distinguish Gillock paid proper respect to its significance. Gil-lock’s reasoning undercuts the weight we may accord interests of comity and federalism, and Gillock’s practical impact undermines the extent to which recognition of a speech or debate privilege for state legislators may realistically further the interests that the privilege has traditionally safeguarded. To analyze the Legislators’ claim, we must evaluate the specific reasons for and against a qualified speech or debate privilege in light of the theoretical and practical limitations imposed by Gil-lock.
The court determined that the burden of complying with a subpoena seeking information from an ongoing legislative investigation was one which should be seriously considered, but it did not believe that “a state legislator’s interest in avoiding the burdens of compliance with a subpoena is alone sufficient to justify creation of a speech or debate privilege.”
The court found, however, that a “state legislator’s need for confidentiality is more troublesome.”
But the Third Circuit held that a confidentiality privilege must be narrowly drawn. Quoting Trammel, it found that “courts have taken pains to insure that the privilege applies only ‘to the very limited extent’ that the ‘public good’ in confidentiality transcends the value of ‘utilizing all rational means for ascertaining truth.’ ” Id. As to officials lesser than the President, the court pointed out that this circuit in the Hastings case limited a privilege to communications involving judicial business such as framing and researching opinions, orders, and rulings. Id., at 958.
Thus the Third Circuit held: “we do not believe that the needs of state legislators for confidentiality justify the creation of a qualified privilege for the full range of legislative activities normally protected by the Speech or Debate Clause.” Id. Even as to confidential communications, the court observed that “many communications actually made in confidence have only a limited need for confidentiality.” Id. It said:
For this reason, our prior decisions have recognized that confidentiality does not lie at the root of the concerns motivating a privilege for all legislative speech or debate. The speech or debate privilege is at its core a “use privilege” not a privilege of nondisclosure.
Id. (citations omitted). Accordingly, the court rejected the privilege in the context presented.
Nonetheless, the court held that it did not “preclude the possibility of a more narrowly tailored privilege for confidential deliberative communications.” Id. The court turned, therefore, to the case law which recognizes a “deliberative process” for executive officials. Id:, at 959. The court held that such a privilege would be “limited to communications involving opinions, recommendations or advice about legislative decisions.” Id. The court held that normally, factual summaries prepared for informational purposes will not be protected even if they are part of an investigative record. Id. It reasoned that factual material contained even in advisory opinions (which themselves might be confidential recommendations), if severable, would not be protected. Id. Finally, the court held that “the party seeking disclosure may overcome the privilege by showing a sufficient need for the material in the context of the facts or the nature of the case.” Id.
In the Hastings case decided by this circuit, law clerks to a district judge asserted a privilege against disclosure of their communications with an Article III federal judge akin to the Speech or Debate Privilege and that afforded to Presidential communications.
This circuit further held in the Hastings case that a judicial privilege of confidential communications is only qualified, not absolute, and that it may be overcome in a proper case. Id. at 1521. The court found that a judicial privilege must be harmonized with the principle that “the public ... has a right to every man’s evidence.” Id., quoting United States v. Bryan,
Florida law itself provides little guidance to this court as to whether this court should recognize the privilege asserted.
The Florida Legislature asserted at oral argument that a number of circuit court decisions have, without significant opinion, sustained the privilege sought here, but except for the Girardeau case, this court does not have any reasoned opinion from any Florida court to that effect. Girardeau is quite similar in both context and analysis to that found in Gillock, In re Grand Jury, and Hastings.
In the Girardeau case, the issue was whether a circuit court could compel a state legislator to answer grand jury questions concerning his legislative investigation into the death of a state prisoner. The court held that it would not decide whether such a privilege generally exists, finding that “[tjhere is every reason to believe that all due deference will and should be extended by the judicial branch to any properly asserted legislative claim of privilege, and it is imperative that it be kept in mind that such claims of privilege are supported by substantial authority.”
The Girardeau court, however, also provided guidance as to the factors that are relevant to the question of the existence of a legislative privilege. Its discussion is much like that in In re Grand Jury. The court first noted that pursuant to Fla.Stat. § 90.501 (of the Florida Evidence Code), no evidentiary privilege exists in Florida unless specified in the Code, other state statute, or the state or federal constitutions.
The heart of the Clause is the speech or debate in either house. Insofar as the Clause is construed to reach other matters, they must be an integral part of the deliberative and communicative processes by which members participate in committee and house proceedings with respect to the consideration and passage or rejection of proposed legislation or with respect to other matters which the Constitution places*266 within the jurisdiction of either House. As the court of appeals put it, the courts have extended the privilege to matters beyond pure speech or debate in either house, but only “when necessary to prevent indirect impairment of such deliberations.”
Two district court decisions which this court’s research has discovered should also be mentioned. In United States v. Irvin,
The second case, Corporación Insular de Seguros v. Garcia,
Finally, the court in Corporacion Insular de Seguros v. Garcia held that the legislative staff member himself could not be subjected to a deposition. Id., at 297. In so ruling, the court found that the Speech or Debate Clause protects a legislator from “any litigatory activities that create distractions or force legislators to divert their time, energy and attention from their legislative tasks.” Id.
Plaintiffs cited several cases in oral argument for the proposition that the immunity conferred by Tenney necessarily includes a privilege against testimonial disclosures, but the cases cited are not persuasive. A case of this sort is Searingtown Corp. v. The Incorporated Village of North Hills,
From these cases, the following observations are made. First, the Speech or Debate Clause does not apply at all to state and local legislators. Thus, this court should follow the path which was blazed in Gillock to determine whether a federal common law privilege for state legislators exists, rather than look to precedent founded entirely upon the full scope of the Speech or Debate Clause.' Thus, the reasoning of Corporación
Second, the last three cases relied upon by the Florida Legislature provide a basis to conclude that legislators and some of their staff members may be immune to civil process in a suit directly against them. But that is an immunity flowing from the absolute immunity from suit conferred by Tenney. It is not an evidentiary privilege. Moreover, that is not the case at bar, since Plaintiffs do not sue legislators.
Next, the separation of powers interest at stake with respect to the federal Speech or Debate Clause is not at issue in this ease. That is purely an issue of the relationship of the federal judiciary to Congress, and does not arise here. Gillock and In re Grand Jury have made it clear that the Supremacy Clause overrides any notion that this interest applies. That is particularly true in this case, since at stake is the enforcement of a federal statute against a state agency which has accepted federal Medicaid funds.
Further, Gillock and In re Grand Jury arose in the context of federal criminal proceedings, and the Hastings case involved charges of bribery against an Article III judge. While assuredly there is a significant federal interest at stake in the enforcement of the Medicaid Act, it is different than the federal interest at stake in those cases.
Finally it is observed that a portion of the reasoning of In re Grand Jury does not apply in this ease. In re Grand Jury found that the threat of intimidation of state legislators by having to respond in discovery to a federal grand jury subpoena was essentially a moot interest because the underlying information, state legislative acts, would nonetheless be useable as evidence against a state legislator in a federal criminal prosecution after Gillock. That would not occur here. Tenney still precludes any sort of private suit against state legislators which might arise from alleged violations of the Medicaid Act.
There probably is a qualified state legislative evidentiary privilege which may be applicable in this ease. In re Grand Jury provides the most persuasive authority for the scope of the privilege. The court is persuaded to follow In re Grand Jury in part because the scope of the privilege articulated there is consistent with the scope of the federal judicial privilege recognized by the Hastings case. In particular, Hastings found that law clerks to federal judges have no absolute privilege to refuse to be deposed as to matters arising within their official duties. The potential from distraction from their important judicial duties is exactly the same as it is for state legislative staff members. Since the federal Speech or Debate Clause does not apply at all to a state legislator, it would make more sense to ground a federal common law privilege upon the need to foster frank discussions in confidence with the elected official than to ground it upon the broader interest governed by the Speech or Debate Clause as occurred in Corporación Insular de Seguros v. Garcia.
Thus, if any privilege should be recognized in this case, it should be a “deliberative process privilege.” The privilege would not be as extensive as that provided for Congress by the Speech or Debate Clause. Since the purpose of the privilege, as it was in the Hastings case, is to protect the confidentiality of communications with the office-holder involving the discharge of his or her office, the privilege must be limited to communications between an elected legislative member and his or her personal staff members involving opinions, recommendations or advice about legislative decisions. The court can see less reason for a “deliberative process” privilege as to legislative employees who provide information to legislators collectively, as, for example, technical employees of a standing committee, who do not advise a particular legislator as his or her personal staff.
Factual matter collected for the information and use of legislators should not be privileged, even if collected and communicated by a personal staff member. Factual summaries in an advisory communication, if severable from confidential portions, should also not be privileged. Further, information which does not reveal the content of commu
Finally, even if the information sought is privileged, the privilege may not be applicable in this case. Plaintiffs have made a persuasive argument that the subject matter of this case, as defined by federal law, is in part the legislative process itself, which directly affects the “correctness” of the rates to provide reasonable reimbursement. That feature of the claim at issue makes this case unique. Additionally, it may be that even if a privilege as to particular questions is to be recognized, it may be overcome by a showing of need following the standards set forth in the Hastings ease.
These rulings must be tentative at this time in light of the admonition of Hastings. A definitive determination of the nature of a privilege which should be recognized in this case and the application of such a privilege in a specific context is not ripe for the court’s consideration. Nonetheless, is clear that these deponents do not have a privilege or an immunity from attendance at a deposition.
Accordingly it is ORDERED that the motion of the Florida Legislature for a protective order, doc. 9, is DENIED.
DONE AND ORDERED.
Notes
. Privilege ordinarily must be asserted specifically, in a concrete factual circumstance. United States v. Argomaniz,
. Gillock advises that Florida law is relevant to the inquiry. But since the privilege asserted is a federal one which should be uniform in all of the states, Florida law cannot be dispositive of the issue.
. The circuit declined to extend the reasoning of this case, providing immunity to state legislators, to the legislative acts of a municipality. Berkley v. Common Council of City of Charleston,
. The analogy to the law clerks in the Hastings case is apt.
