OPINION BY CHIEF JUSTICE DONALD W. LEMONS.
This appeal arises from a civil contempt order entered after the Division of Legislative Services ("DLS") and several Members of the General Assembly, invoking legislative privilege, refused to comply with a production order in a matter pending before the circuit court. The court held that legislative privilege, as set forth in the Speech or Debate Clause of Article IV, Section 9 of the Constitution of Virginia ("the Clause"),
On appeal we are confined to the record developed in the court below and the assignments
On September 14, 2015, plaintiff-appellees Rima Ford Vesilind, Arelia Langhorne, Sharon Simkin, Sandra D. Bowen, Robert S. Ukrop, Vivian Dale Swanson, H.D. Fiedler, Jessica Bennett, Eric E. Amarteis, Gregory Harrison, Michael Zaner, Patrick M. Condray, Sean Sullivan Kumar, and Dianne Blais (collectively, "the appellees") brought an action in the circuit court against the Virginia State Board of Elections, the Department of Elections, and various officers in their official capacities. The appellees alleged that House of Delegates districts 13, 22, 48, 72, and 88, and Senate districts 19, 21, 28, 29, 30, and 37 were not sufficiently contiguous, compact, and as nearly equal in population as practical, thereby violating Article II, Section 6 of the Constitution of Virginia. The appellees seek a declaration that these eleven districts are unconstitutional, seek to enjoin the use of the current district map in future elections, and seek other equitable relief as necessary.
In November 2015, subpoenas duces tecum were served upon, as relevant to this appeal, Virginia Senators John Edwards, Ralph Smith, Richard Saslaw, Charles Colgan, David Marsden, and George Barker (collectively, "the Virginia Senators")
The DLS subpoena also requests "All documents consisting of electronic map files for redistricting plans which were used for any election for the House ... or Senate of Virginia from 1980 to the present." The subpoenas seek production of all "documents or communications in your possession, custody or control, including items in the possession, custody or control of your agents, employees or attorneys."
The Virginia Senators and DLS filed motions to quash, claiming legislative privilege protected disclosure of the documents and communications sought. Following the submission of briefs and oral argument, the circuit court issued a letter opinion defining the scope of legislative privilege.
Relying on Gravel v. United States, 408 U.S. 606, 92 S.Ct. 2614, 33 L.Ed.2d 583 (1972), the circuit court stated that "legislative privilege applies absolutely to purely internal legislative communications solely among legislators, and between legislators and legislative staff." However, adopting the analysis in Page v. Virginia State Board of
The court required the Virginia Senators to answer all discovery at issue, although "such responses shall be limited and protected by the scope of legislative privilege as defined [in the letter opinion]."
Accordingly, on February 16, 2016, the circuit court entered an order denying the Virginia Senators' motion to quash and requiring that they answer discovery requests "limited and protected by the scope of the legislative privilege defined in the letter opinion." The court also denied the motion to quash as to DLS, directing that it answer all discovery requests because DLS falls outside the scope of legislative privilege.
The Virginia Senators and DLS moved the circuit court to certify an interlocutory appeal. The court denied the certification request because the appellees' opposition prevented the parties from meeting the mutuality requirement of Code § 8.01-670.1. In the alternative, the Virginia Senators and DLS asked to be held in contempt in order to produce an appealable order. The appellees did not oppose this request. On April 14, 2016, the court held the Virginia Senators and DLS in contempt, assessing a fine of $100.00 per party per day. The circuit court stayed the collection of the fines imposed during the pendency of this appeal.
Before the Court of Appeals considered this matter, the parties filed a joint motion for certification to transfer the proceedings to this Court pursuant to Code § 17.1-409 (providing for expedited appeals when the case is of "such imperative public importance as to justify the deviation from normal appellate practice and to require prompt decision in the Supreme Court"). This Court granted the motion and set oral argument for special session on July 19, 2016.
In its sole assignment of error, DLS contends that:
The Virginia Senators raise three assignments of error, contending that:
It is well-established law in Virginia that discovery disputes are generally "interlocutory and not subject to immediate appeal." America Online v. Anonymous Publicly Traded Co., 261 Va. 350, 359, 542 S.E.2d 377, 382 (2001). However, an order of contempt for disobedience of a discovery order may be appealed before the conclusion of the underlying suit. Id. at 359 n.6, 542 S.E.2d at 382 n.6 (citing HCA Health Services of Virginia v. Levin, 260 Va. 215, 530 S.E.2d 417 (2000)).
"[W]e review the exercise of a court's contempt power under an abuse of discretion standard." Petrosinelli v. People for the Ethical Treatment of Animals, 273 Va. 700, 706, 643 S.E.2d 151, 154 (2007).
Landrum v. Chippenham & Johnston-Willis Hosps., Inc., 282 Va. 346, 352, 717 S.E.2d 134, 137 (2011) (internal quotation marks and alteration omitted). "[W]hether a court possesses or lacks authority, and whether it has correctly identified and fulfilled the legal prerequisites to a discretionary act, are themselves significant factors in its consideration." Lawlor v. Commonwealth, 285 Va. 187, 213, 738 S.E.2d 847, 862 (2013).
"[A] party cannot be guilty of contempt of court for disobeying an order which the court had no authority of law to make." Robertson v. Commonwealth, 181 Va. 520,
This appeal presents issues of first impression concerning the scope and application of legislative privilege under the Clause. This Court recently acknowledged in Board of Supervisors v. Davenport & Co., 285 Va. 580, 586, 742 S.E.2d 59, 61 (2013), that "the Virginia Supreme Court has not had occasion to construe the scope of the Virginia [S]peech or [D]ebate [C]lause." (Internal quotation marks and citation omitted.) Davenport involved issues of common law legislative immunity and therefore did not squarely implicate the questions before the Court today.
We have said that, "[i]n construing constitutional provisions, the Court is not permitted to speculate on what the framers of a section might have meant to say, but are, of necessity, controlled by what they did say.... It is a general rule that the words of a Constitution are to be understood in the sense in which they are popularly employed, unless the context or the very nature of the subject indicates otherwise." Blount v. Clarke, 291 Va. 198, 205, 782 S.E.2d 152, 155 (2016) (internal quotation marks and citations omitted) (emphasis added). Although we have not had occasion to construe the Clause, the idea it expresses is not new. Its language "is derived from" the similar provision in the federal Speech or Debate Clause found in Article I, Section 6 of the United States Constitution. Davenport, 285 Va. at 587, 742 S.E.2d at 62. Both provisions afford similar protections because they are based upon the same historical and public policy considerations. Id. at 586, 742 S.E.2d at 61.
The legislative privilege the Clause and its federal counterpart confer emerged from the twin principles of freedom of speech and legislative immunity in parliamentary law, and both principles appear historically in statutes dating as far back as 1512. 4 William Holdsworth, A History of English Law 91 n. 6 (1924); Privilege of Parliament Act 1512, 4 Hen. 8 c. 8 (Eng.), available at http://www. legislation.gov.uk/aep/Hen8/4/8/contents (last visited Sept. 7, 2016) (abrogating the judgment in Strode's Case). The term "freedom of speech," in its earliest usage in the English Parliament, referred solely to the freedom of members to speak positively or negatively about issues referred to them by the Crown.
Legislative privilege arose in the young American nation from the same underlying principles, combined with the uniquely American emphasis on separation of powers and representative government. See Tenney v. Brandhove, 341 U.S. 367, 373, 71 S.Ct. 783,
Here, "[i]n Virginia, as well as in the other colonies, the assemblies had built up a strong tradition of legislative privilege long before the Revolution." Id. at 374 n.3, 71 S.Ct. 783. Those principles were codified in Virginia statutes
The Clause was not introduced into the Constitution of Virginia devoid of history or context, nor should it be interpreted as if it had. Rather, it is deeply rooted in British and American law. To ignore this rich history in favor of a narrow interpretation would flout the framers' obvious intent. The Clause is an integral piece of the separation of powers framework, one of the most central and enduring principles of the Constitution of Virginia. As part of the list of "Immunities of legislators" in Article IV, Section 9, the Clause represents one of the specific and significant bulwarks the Constitution erects to protect the legislature from improper interference by the executive branch and the judiciary. Legislative privilege necessarily must be robust in order to preserve constitutional separation of powers and prevent interference with the legislative process. The "freedom of speech and debate" is a "great and vital privilege ... without which all other privileges would be comparatively unimportant or ineffectual." Kilbourn v. Thompson, 103 U.S. 168, 204, 26 L.Ed. 377 (1881) (internal quotation marks and citation omitted). Accordingly, it must be addressed with an eye toward promoting, not eroding, the separation of powers principles integral to the sound government of this Commonwealth.
The principal questions in defining legislative privilege under the Clause are what does the privilege protect, and who may invoke that protection. However, because this case arises from an order compelling discovery in response to subpoenas duces tecum, we must first consider the threshold question whether the protection provides only immunity from liability or extends to evidentiary privilege. Once a court determines that legislative privilege attaches, it is absolute in nature. Story v. Norfolk-Portsmouth Newspapers, Inc., 202 Va. 588, 590, 118 S.E.2d 668, 669 (1961).
The Clause states, "Members of the General Assembly ... for any speech or debate in either house shall not be questioned in any other place." (Emphasis added.) The term "questioned" should be understood broadly to mean "subjected to examination by another body." See, e.g., Gravel, 408 U.S. at 616, 92 S.Ct. 2614 (observing that the Clause "was designed to assure a co-equal branch of the government wide freedom of speech, debate, and deliberation without intimidation or threats from" another branch of government); Davenport,
Courts have also held that when legislative privilege applies, it protects against both compulsory testimony and compulsory production of evidence. Brown & Williamson Tobacco Corp. v. Williams, 62 F.3d 408, 418, 420-21 (D.C. Cir. 1995) ("A party is no more entitled to compel congressional testimony — or production of documents — than it is to sue congressmen."). Evidentiary privilege exists as a natural outgrowth of the original English parliamentary privileges as applied in the Commonwealth. The function of the parliamentary privilege was to insulate legislators from harassment, "not with the intention of protecting the members against prosecutions for their own benefit, but to support the rights of the people." Kilbourn, 103 U.S. at 203 (quoting Coffin v. Coffin, 4 Mass. 1, 27 (1808)). "Legislative privilege against compulsory evidentiary process exists to safeguard this legislative immunity and to further encourage the republican values it promotes." EEOC v. Washington Suburban Sanitary Comm'n, 631 F.3d 174, 181 (4th Cir. 2011).
Protection from compulsory production of privileged evidence is a necessary corollary to immunity. "Documentary evidence can certainly be as revealing as oral communications," and subjecting legislators to "[d]iscovery procedures can prove just as intrusive" as naming legislators as parties to a lawsuit. Brown & Williamson Tobacco Corp., 62 F.3d at 418, 420-21. "Because litigation's costs do not fall on named parties alone, [legislative] privilege applies whether or not the legislators themselves have been sued." Washington Suburban Sanitary Comm'n, 631 F.3d at 181; see also Arizona Indep. Redistricting Comm'n v. Fields, 206 Ariz. 130, 75 P.3d 1088, 1098 (Ct. App. 2003) ("We are persuaded the legislative privilege protects against disclosure of documents in appropriate circumstances.... Even though such documents will not be used in any evidentiary proceeding, their mere disclosure could `chill' legislators from freely engaging in the deliberative process necessary to the business of legislating."). "[A] key purpose of the privilege is to prevent intrusions in the legislative process and that the legislative process is disrupted by the disclosure of legislative material." United States v. Rayburn House Office Bldg., Room 2113, 497 F.3d 654, 660 (D.C. Cir. 2007). Accordingly, documentary evidence is subject to legislative privilege under the Speech or Debate Clause.
Because the purpose of legislative privilege is to protect the legislature from intrusion by the other branches of government and to disentangle legislators from the burden of litigation and its detrimental effect on the legislative processes, Davenport, 285 Va. at 588-89, 742 S.E.2d at 63 (internal quotation marks and citations omitted); see Gravel, 408 U.S. at 617, 92 S.Ct. 2614, a legislator is generally not required to produce a detailed privilege log in order to invoke the privilege. A legislator must merely address, in describing the function of the evidence requested (and, in the case of a communication, with whom such communications
Having established that legislative privilege extends beyond mere immunity from prosecution and suit to protect compulsory production of evidence, we next turn to the questions of what the privilege protects and who may invoke that protection.
The Clause provides that legislative privilege may be invoked to protect "any speech or debate in either house." Va. Const. art. IV, § 9. It is "incontrovertible" that this protection applies to any statement made during an official legislative proceeding, such as on the floor of either chamber while it is in session or during a meeting of a legislative committee or subcommittee wherever it may sit. See Gravel, 408 U.S. at 615-16, 92 S.Ct. 2614 (holding that legislators are absolutely protected with respect to events that occur at a subcommittee meeting); see also Hutchinson v. Proxmire, 443 U.S. 111, 124-25, 99 S.Ct. 2675, 61 L.Ed.2d 411 (1979) (noting that judicial interpretations of the federal Speech and Debate Clause are extensions of the literal meaning).
However, by the time the Clause was adopted in Virginia, the phrase "speech or debate in either house" already had become a term of art signifying a "sphere of legitimate legislative activity" that was not necessarily tied to official legislative proceedings, but to essentials of the legislative process. Tenney, 341 U.S. at 376-77, 71 S.Ct. 783 (coining the phrase "sphere of legitimate legislative activity"); Kilbourn, 103 U.S. at 203-204 (quoting Coffin, 4 Mass. at 27). In 1808, the Massachusetts Supreme Court stated that the legislative sphere referred to in that state's similar speech or debate clause was not confined to
Coffin, 4 Mass. at 27. Six decades before the Clause was adopted, speech or debate in either house was understood to apply to the many facets of the legislative process. Id. at 28 (holding that legislative privilege attaches to the "exercise of [the legislator's] functions").
In Davenport, we emphasized these same principles, invoking similar language as to legislators "acting [with]in the sphere of legitimate legislative activity": "Legislative actions include, but are not limited to, delivering an opinion, uttering a speech, or haranguing in debate; proposing legislation; voting on legislation; making, publishing, presenting, and using legislative reports; authorizing investigations and issuing subpoenas; and holding hearings and introducing materials at Committee hearings." 285 Va. at 589, 742 S.E.2d at 63 (internal quotation marks and citations omitted).
The emphasis in the Constitution of Virginia on separation of powers also lends support to a broad understanding of legislative privilege. The Clause falls among several other enumerated privileges, all designed to protect legislators from undue interference with the legislative process. It would be of little use to protect speech or debate between legislators on the floor of either house but not to protect other communications or functions integral to the legislative process. Accordingly, the phrase "any speech or debate in either house," as used in the Clause, refers to communications or acts integral to the sphere of legitimate legislative activity, whether in an official legislative proceeding or not.
However, legislators
United States v. Brewster, 408 U.S. 501, 512, 92 S.Ct. 2531, 33 L.Ed.2d 507 (1972) (internal quotation marks and citations omitted).
Accordingly, legislative privilege applies only to acts within the sphere of legitimate legislative activity. Va. Const. art. IV, § 9; see United States v. Helstoski, 442 U.S. 477, 491, 99 S.Ct. 2432, 61 L.Ed.2d 12 (1979) (barring inquiry into "the sphere of protected legislative activities"); Gravel, 408 U.S. at 625, 92 S.Ct. 2614 ("Legislative acts are not all encompassing.... [T]hey 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 within the jurisdiction of either House."). Whether such an act falls within the sphere of legitimate legislative activity requires the court to assess, on the whole, the function it serves. In the case of a communication, a court must also consider the persons by and to whom it is made.
A legislator's communication regarding a core legislative function is protected by legislative privilege, regardless of where and to whom it is made. See Coffin, 4 Mass. at 27 (holding that the legislative sphere includes "every thing said or done by [the legislator], as a representative, in the exercise of the functions of that office"). A legislator's communication not regarding such a function is not protected, unless it is made during an official legislative proceeding. See Gravel, 408 U.S. at 615-16, 92 S.Ct. 2614; see also Hutchinson, 443 U.S. at 124-25, 99 S.Ct. 2675. For example, two legislators could not invoke the privilege for a conversation regarding reelection strategy or vacation plans, see Davenport, 285 Va. at 590, 742 S.E.2d at 63-64 ("Legislative immunity will not protect [legislators] when they step outside the function for which their immunity was designed.") (internal quotation marks and citation omitted); see also Brewster, 408 U.S. at 512, 92 S.Ct. 2531, unless the conversation occurred, for example, on the floor of a chamber while it is in session. Va. Const. art. IV, § 9.
The Clause provides that "[m]embers of the General Assembly ... for any speech or debate in either house shall not be questioned in any other place." This Court has previously observed in Davenport that this language, by its terms, applies to "[m]embers." 285 Va. at 587, 742 S.E.2d at 62 ("This provision ... affords General Assembly members with immunity that protects them from being called into an outside forum to defend their legislative actions." (emphasis added)). A Member's legislative privilege necessarily must be robust in order to preserve constitutional separation of powers and prevent interference with the legislative process. As previously noted, the "freedom of speech and debate" is a "great and vital privilege ... without which all other privileges would be comparatively unimportant or ineffectual." Kilbourn, 103 U.S. at 204 (internal quotation marks and citation omitted).
Applying these principles, under the Constitution of Virginia, a Member of the General Assembly holds the legislative privilege
The extent to which a non-legislator may invoke the privilege is informed by the United States Supreme Court's alter-ego doctrine set forth in Gravel, 408 U.S. at 616-17, 92 S.Ct. 2614, allowing non-legislators serving legislative functions for legislators to, under some circumstances, invoke the legislator's privilege with the legislator's permission.
In Gravel, the government subpoenaed Dr. Leonard Rodberg, a resident fellow at the Institute of Policy Studies, whom Senator Gravel added to his staff mere hours before a subcommittee meeting at which Gravel read from sensitive material and placed it in the public record. Id. at 608-09, 92 S.Ct. 2614. Dr. Rodberg assisted Gravel in preparing for and conducting the meeting. Id. at 609, 92 S.Ct. 2614. The lower courts barred the government from questioning Dr. Rodberg about his interview with Gravel and observations and communications arising from his employment with Gravel. Id. at 611-12, 92 S.Ct. 2614. The federal court of appeals observed that it was necessary "for a legislator to have personal aides in whom he reposes total confidence." The relationship "could not exist unless, during the course of his employment, the aide and the legislator were treated as one," and "this synonymity is founded upon the relationship, not on the fact of employment." United States v. Doe, 455 F.2d 753, 761 (1st Cir. 1972).
Agreeing with the lower courts' analysis and upholding the protective order as to Gravel's aide, the Supreme Court held the federal Speech or Debate Clause "prohibits inquiry into things done by Dr. Rodberg as the Senator's agent or assistant which would have been legislative acts, and therefore privileged, if performed by the Senator personally." Gravel, 408 U.S. at 616, 92 S.Ct. 2614. The Supreme Court recognized that application of the privilege to alter egos of the legislators, when performing legislative functions, was vital to a functioning legislative process. Id. at 617, 92 S.Ct. 2614.
Accordingly, when a non-legislator seeks to invoke the privilege under the Clause, a court is presented with a threshold question: whether the individual is functioning in a legislative capacity on behalf and at the direction of a Member. If so, this non-legislator is acting as an alter ego of the legislator and may, with the legislator's permission, invoke the legislator's privilege. The alter ego's actions on behalf of the legislator are then protected as though they were the legislator's actions. See Gravel, 408 U.S. at 622, 92 S.Ct. 2614. However, where the legislator would not be protected by the privilege if the act was done by the legislator himself or herself, such as where the act falls outside the scope of legitimate legislative activity, his or her alter ego is likewise unprotected.
Factors for the court to consider in determining whether an individual functions as an alter ego include the individual's relationship with the legislator, the individual's identity, and the source or terms of the individual's pay, if any. This list is not exhaustive, and no one factor is determinative. Based on the totality of the circumstances, courts must evaluate function: whether the person is acting as "one" with the legislator, id. at 616-17, 92 S.Ct. 2614, and whether the individual is functioning in a legislative capacity. See id. at 622, 92 S.Ct. 2614.
The first factor, the relationship with the legislator, bears both on function and whether the individual was truly acting on behalf of the legislator. A subordinate or employee working on legislative matters, such as a legislative staffer or DLS employee, is likely to perform legislative functions on behalf of the legislator. A constituent with whom the legislator has had only one contact is unlikely to be acting on the legislator's behalf. An individual need not be a legislator's personal staffer to function within the ambit of the Speech or Debate Clause's protections. See Doe v. McMillan, 412 U.S. 306, 312, 93 S.Ct. 2018, 36 L.Ed.2d 912 (1973) ("[I]t is plain to us that the complaint in this case was barred by the Speech or Debate Clause insofar as it sought relief from the Congressmen-Committee members, from the Committee staff, from the consultant, or from the investigator...."); Rangel v. Boehner, 785 F.3d 19, 25 (D.C. Cir. 2015) (legislative alter egos may come "from all walks of legislative life"). In all cases, however, the alter ego must function as an extension of the legislator, not on behalf of the interests of others. Fields, 75 P.3d at 1098 ("[A] legislator may invoke the legislative privilege to shield from inquiry the acts of independent contractors retained by that legislator that would be privileged legislative conduct if personally performed by the legislator.").
Next, the individual's identity informs whether he or she is likely to be functioning in the legislative sphere. For example, policy consultants are more likely to be working in the legislative sphere than political or media consultants. A lawyer working for the legislative branch is more likely to be working in the legislative sphere than someone who specializes in information technology. Admittedly, attempts to draw fine lines between policy and politics will in many cases prove to be illusive. Nonetheless, to the extent that particular communications can be considered policy oriented, they are likely to fall within the legislative sphere.
Third, the source of an individual's remuneration, if any, may also be relevant to this inquiry to the extent it informs his likely function. The nature of a remuneration agreement may inhibit some individuals from acting on "behalf" of a legislator. However, it is the individual's function, not the fact or form of employment, that informs whether the individual acts as an alter ego. See Gravel, 408 U.S. at 622, 92 S.Ct. 2614; see Fields, 75 P.3d at 1098 ("[F]unction trumps title.").
The circuit court acknowledged that communication between legislators and their aides could be privileged. However, relying on Page, 15 F.Supp.3d at 663, which in turn relied on Code § 30-19.20, the circuit court utilized a dispositive test requiring that a party be employed and paid by the General Assembly for privilege to attach. Code § 30-19.20, a statutory provision, cannot serve to limit the legislative privilege set forth in the Constitution of Virginia. Further, that statute relates to the hiring of employees for the General Assembly. Code § 30-19.20 does not inform this issue. Gravel did not turn on compensation.
The circuit court also erred to the extent it held there is a categorical bar against a consultant serving as the alter ego of a legislator.
The circuit court further erred by holding that, as a matter of law, communications between legislators and constituents or other third parties cannot be protected by legislative privilege. Such individuals are equally capable of performing acts as alter-egos, subject to the same requirements that the acts that they perform both fall within the sphere of legitimate legislative activity and are delegated by the legislator to be performed on his or her behalf. Any basis on which to differentiate a constituent or other third party from a legislator's personal legislative staffer, including unpaid interns, or consultants would be artificial. Doe, 455 F.2d at 761. Provided the legislator has requested the constituent or third party's assistance in the performance of a legislative act, the privilege applies to that individual as much as to any other alter ego. However, unsolicited communications and acts taken by the constituent or third party on his or her own initiative will not satisfy this test, even when closely connected to legitimate legislative activity.
In this case, due to the early stage of discovery, this Court cannot speculate as to potentially privileged communications involving third parties. However, the circuit court erred in concluding legislative privilege could not, as a matter of law, apply to communications between legislators or their staff and third parties.
The Clause allows legislators to fulfill their legislative duties without undue interference. That legislators seek assistance in accomplishing these functions does not diminish this goal or this protection. It would be of little use to protect acts regarding the drafting of a bill when performed by a legislator but not an agent at the legislator's direction. Legislators must be free to accomplish legislative tasks through agents, including and especially to obtain assistance in legislative drafting from the experienced staff at DLS.
On this record, the circuit court abused its discretion by holding the Virginia Senators and DLS in contempt because it erroneously ruled that the materials sought in the appellants' subpoenas duces tecum were not protected by the legislative privilege enshrined
Vacated in part and remanded.