N.D. Cent. Code § 6-13-07

6-13-07. Determination of privilege - Procedure

1. If a person seeks from a financial institution communications involving a compliance

audit or any compliance self-critical analysis audit document during the course of a

pending civil or criminal proceeding, the financial institution may assert the self-critical

analysis privilege and provide the information set forth in subsection 6 during the

course of those proceedings just as any other privilege is asserted in the courts of this

state. If the court is required to make a determination as to the privilege, the court shall

follow the procedure and conditions set forth in subsection 5.

2. If there is a pending administrative proceeding, or there is no pending civil or criminal

proceeding, the commissioner, state's attorney, or attorney general may serve on a

financial institution a written request by certified mail for disclosure of a compliance

self-critical analysis audit document. Within thirty days after the commissioner, state's

attorney, or attorney general serves on a financial institution a written request by

certified mail for disclosure of a compliance self-critical analysis audit document, the

financial institution that prepared or caused the document to be prepared may file with

the appropriate court a petition requesting an in camera hearing on whether the

compliance self-critical analysis audit document or portions of the document are

privileged under this chapter or subject to disclosure. The court has jurisdiction over a

petition filed by a financial institution under this subsection requesting an in camera

hearing on whether the compliance self-critical analysis document or portions of the

document are privileged or subject to disclosure. Failure by the financial institution to

file a petition waives the privilege for only the specific request made.

3. A financial institution asserting the compliance self-critical analysis privilege in

response to a request for disclosure under this section shall include in its request for

an in camera hearing all of the information set forth in subsection 6.

4. Upon the filing of a petition under this section, the court shall issue an order

scheduling, within forty-five days after the filing of the petition, an in camera hearing to

determine whether the compliance self-critical analysis audit document or portions of

the document are privileged under this chapter or subject to disclosure.

5. The court, after an in camera review, may require disclosure of material for which the

privilege is asserted if the court determines, based upon its in camera review, that any

one of the conditions set forth in subsection 2 of section 6-13-06 is applicable as to a

civil or administrative proceeding or that any one of the conditions set forth in

subsection 3 of section 6-13-06 is applicable as to a criminal proceeding. Upon making

such determination, the court may only compel the disclosure of those portions of a

compliance self-critical analysis document relevant to issues in dispute in the

underlying proceeding. A compelled disclosure may not be considered to be a public

document or be deemed to be a waiver of the privilege for any other civil, criminal, or

administrative proceeding. A financial institution unsuccessfully opposing disclosure

may apply to the court for an appropriate order protecting the document from further

disclosure.

6. A financial institution asserting the compliance self-critical analysis privilege in

response to a request for disclosure under this section shall provide at the time of

making and filing any objection to the disclosure all of the following information:

a. The date of the compliance self-critical analysis audit document;

b. The identity of the entity conducting the audit;

c. The general nature of the activities covered by the compliance audit; and

d. An identification of the portions of the compliance self-critical analysis audit
shall provide at the time of

making and filing any objection to the disclosure all of the following information:

a. The date of the compliance self-critical analysis audit document;

b. The identity of the entity conducting the audit;

c. The general nature of the activities covered by the compliance audit; and

d. An identification of the portions of the compliance self-critical analysis audit

document for which the privilege is being asserted.