Subpoena (Subpoena Duces Tecum) Policy

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

 

Date	Version Number	Change Description	Referenced Section
7/22/19	1.0	New Document	Entire Document
10/12/11	1.1	Minor Revisions
8/23/13	1.2	Minor Revisions
4/30/15	1.3	Minor Revisions
8/14/15	1.4	Minor Revisions
1/11/17	1.5	Minor Revisions
12/10/18	1.6	Minor Revisions
12/11/25	1.7	Minor Revisions	4.0, 5.0, 6.0 and 7.0
9/3/26	1.8	Minor Revisions

 Review Process / Approval

Action:	Units	Date
Policy Review	Management Services
Policy Approval	Executive Council	7/22/03

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

Subpoenas — 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 SUNY Office of General Counsel for validity.

• Subpoena or subpoena duces deemed valid by SUNY Office of General Counsel are managed by the Assistant Vice President for Administration. Person or office named in subpoena or subpoena duces tecum for gathering and producing requested records and forwarding the information to the Assistant Vice President for Administration. If the person named in the subpoena is an employee, the Human Resource and Payroll Services department will gather the requested records.
• The Assistant Vice President for Administration is responsible for coordination of approval and release of information requested in a subpoena or subpoena duces tecum.

• 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 hand deliver a copy to the Assistant Vice President for Administration.
• The Assistant Vice President for Administration will coordinate subpoena or subpoena duces tecum approval with SUNY Office of General Counsel.
• If approval is received from SUNY Office of General Counsel, the Assistant Vice President for Administration will send notification to students/employees named in subpoena informing them that the University 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 University 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 send a memo to the custodian of records requesting that the release of information be sent to Assistant Vice President for Administration 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 are the initial receiving agent of the subpoena, they will verify the validity and hand deliver a copy to the Assistant Vice President for Administration and deliver to the person or office to whom the subpoena is addressed. 

None

None

Method	Date
Campus Handbook	N/A
Faculty / Staff Digest	N/A
Student Digest	N/A
Other	N/A

There are no specific trainings identified with this policy.