Subpoena, Subpoena Duces Tecum

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POLICY FOR SUBPOENA, SUBPOENA DUCES TECUM

(Approved by Executive Council on 7/22/03)

Purpose
To clarify the procedures relating to subpoenas and subpoena duces tecums served on the campus.

Revision History
N/A

Persons Affected
Students and employees whose records are subpoenaed and campus employees who are responsible for complying with subpoenas.

Policy

• Immediate supervisors should be notified whenever an employee receives a subpoena or subpoena duces tecum. 
• Requests for personally identifiable information and/or subpoenas or subpoena duces tecum should be directed by mail or fax to the Assistant Vice President for Administration, (FAX 564-2540/Voice 564-2539, Kehoe 701-02) within 24 hours of receipt.  Do not release information to the subpoena server.  
• Subpoenas and subpoenas duces tecum for employee records only will be directed to the Human Resources Office.  That office will contact the SUNY Counsel’s office for approval and direction and will inform the Assistant Vice President for Administration of the subpoena and their response to it.  
• The person named on the subpoena will be notified of the subpoena and the date the campus intends to comply with the subpoena unless the subpoena, on its face, directs that the individual not be notified.  
• The Assistant Vice President for Administration will validate the subpoena or subpoena duces tecum with SUNY Counsel and will notify individuals if information can be released.  
• The Assistant Vice President for Administration will copy the person named in the subpoena and will copy the custodian of record with the response letter.

Definitions
Subpoenas are written legal orders requiring the attendance of a person to give testimony (subpoena) or requiring the production of books, documents or other things (subpoena duces tecum).  There is also a third kind of subpoena, the information subpoena which is a set of questions requiring sworn answers and which is issued in conjunction with the enforcement of a money judgment.  Subpoenas may be issued by a court, an attorney, a district attorney, or a state or federal agency, depending upon the nature of the proceeding and must be reviewed by the Office of University Counsel for validity.

Responsibilities

• The person or office named in subpoena or subpoena duces tecum is responsible for gathering and producing requested records and forwarding the information to the Assistant Vice President for Administration.
• The Assistant Vice President for Administration is responsible for coordination of approval and release of information requested in a subpoena or subpoena duces tecum.

Procedures

• Employees receiving a subpoena or subpoena duces tecum should immediately forward a copy  to their immediate supervisor.  
• The supervisor receiving the subpoena or subpoena duces tecum should fax a copy to the Assistant Vice President for Administration at 564-2540.  
• The Assistant Vice President for Administration will coordinate subpoena or subpoena duces tecum approval with SUNY Counsel.  
• If approval is received from SUNY Counsel, the Assistant Vice President for Administration, will send notification to students/employees named in subpoena informing them that the College has been subpoenaed to release designated records.  
• Individuals named in subpoena or subpoena duces tecum whose information is being requested must be notified of subpoena unless subpoena states DO NOT DISCLOSE THE EXISTENCE OF THE SUBPOENA TO THE SUBJECT PARTY.  
  • If student/employee named in the subpoena or subpoena duces tecum object to the subpoena, he/she must contact the court from which the subpoena or subpoena duces tecum was issued.  If it is during the semester, the Assistant Vice President for Administration will send letters to local addresses and individuals will be given seven (7) days to respond with an objection to the release of this information.  If student/employee does not reside locally, student/employee will be given 14 days to respond with an objection to the release of information.  
  • The College needs to use reasonable effort when trying to contact the students/employees named in the subpoena or subpoena duces tecum.  
  • Certification of records must be included when copies of original records are being released.  
• The Assistant Vice President for Administration will be send a memo to the custodian of records requesting that the release of information be sent to Management Services for response to the court system.  
• A copy of the subpoena and response needs to be placed in the applicable employee or student file.  
• If University Police is the initial receiving agent of the subpoena, they will verify the validity and fax a copy to Management Services and deliver to the person named in the subpoena.