Policies & Procedures

UC IRVINE ADMINISTRATIVE POLICIES AND PROCEDURES

Section 1

Business and Financial Affairs

General Administration

Sec. 700-11: Policy on Subpoena, Subpoena Duces Tecum, and Deposition Subpoena at the UCI Campus

Responsible Office: Risk Services (UCI Campus)
Revised: June 2023

References / Resources

  • UC Business and Finance Bulletin
    • RMP-7, Privacy of and Access to Information Responsibilities
    • RMP-9, Guidelines for Access to University Personnel Records by Governmental Agencies Correspondence
  • UC Legal – Service of Process

Contact: Campus Risk Services at (949) 824-6200

A. Purpose and Scope

The University may become party to legal actions which involve the serving of subpoenas. For the UCI campus, this process is managed by Risk Services and may only be managed by the staff members in that office. UCI Health operates its own process as outlined in their policy.

B. Definitions

Subpoenas are issued by an officer of a court or an attorney of record in a case and served on a named individual, department, or office. There are three types of subpoenas:

Subpoena

A subpoena is a legal document requiring a specific person to appear and testify in court as a witness.
Subpoena Duces Tecum

A subpoena duces tecum orders the person subpoenaed to produce books, documents, or other records under his/her control at a specified time and place. It may also require the person to accompany the records and testify as a witness.
Deposition Subpoena

A deposition subpoena requires a non-party to provide copies of business records to, or appear before, a subpoenaing party. A deposition subpoena differs from a subpoena duces tecum in that production of and testimony regarding the records revolve around the informal discovery process before trial, rather than around a court hearing as is the case for a subpoena duces tecum.

C. Policy on Accepting Subpoenas

All University-named subpoenas must be accepted by the records custodial team located in Risk Services. Under no circumstances may an employee open any files or records in answer to a subpoena or deposition subpoena, unless directed to do so by an authorized individual.

Any person serving a subpoena, a subpoena duces tecum, or a deposition subpoena on:
  • the Regents
  • the University of California, Irvine
  • the custodian of records by name or title
  • a UCI department or office

must be redirected to the authorized Risk Services office.

D. Authorities and Responsibilities

Only the following departments are authorized to accept subpoenas:

  • Risk Services for all other campus records, including personnel, payroll, workers' compensation, and student records.
  • Student Health Services for student health records only

Departmental units must coordinate with Risk Services if they are served with a subpoena. If a subpoena is served on an individual to appear as a witness, that individual should be prepared to appear as ordered. If the case surrounding the subpoena involves UCI, the medical center, or the UC Regents, immediately notify campus Risk Services