Summons, Complaints and Subpoenas Policy. - Western University ...

Policies & ProceduresTitlePolicy NumberResponsible DepartmentPolicy ContactDesignationEmailSummons and Complaints, Subpoenas and Other LegalDocumentsA2.13.0.5Business and FinanceMagsino, Chique LingaoRisk Management Associatecmagsino@westernu.eduEffective Date 07/10/2008Next Review Date 07/10/2010Review HistoryLegislationPolicy StatementIt is the policy of Western University of Health Sciences to provide specificguidelines for personnel (Administrators, Faculty and Staff) to follow whenpresented with any documents concerning legal actions in which theUniversity or its employees are involved.Purpose of PolicyRelated Policy InformationTo facilitate prompt and appropriate institutional response to served legaldocuments. It ensures that all legal requirements are met and thatUniversity General Counsel, Risk Management, and appropriate Universityadministrators are notified in a timely manner in order to protect theUniversity’s interest.LEGAL NOTICEFrom time to time, University personnel receive official legal documents.Examples include subpoenas requiring the University to produce copies orrecords in court proceedings, and summons and complaints notifying theUniversity that a lawsuit has been commenced against it. If suchdocuments are received, personnel should contact General Counsel assoon as possible due to deadlines associated with these documents thathave legal consequences. Any legal document should be reviewed byGeneral Counsel before any response is made.If General Counsel is not available HAND-DELIVER the documents to RiskManagement. Documents should be placed in safe keeping until properlyviewed.Legal notices are sometimes addressed to the University itself or toindividually named officials of the University. It is important for allUniversity personnel to be aware of the appropriate course of action totake if approached by a “process server” with official legal documents orif personnel receive such documents by mail. Departments most likely toreceive legal notices are the Business Office, Human Resources andStudent Affairs. By following the protocol, provided in this policy,personnel will facilitate prompt review of such documents by GeneralCounsel, who will assist in determining the validity of the document andthe appropriate response on behalf of the University.CONFIDENTIALITYPersonnel should not communicate the details regarding any response tosuch legal notices to anyone without a legitimate need to know inaccordance with this University policy. Inappropriate disclosure of certainofficial legal documents or contacts to individuals without a legitimateneed to know may result in disciplinary action.GENERAL PROCEDURESUpon receipt of any legal notice personnel must:1. mark the first page with the date and time of service;2. indicate the method of service (mail or personal);

3. indicate name of the person who first received the papers.All summons and complaints, subpoenas, and other legal documentsinvolving the University must be HAND-DELIVERED to General Counsel thesame day they are received or soon thereafter as practicable. Due to thesensitivity and confidentiality of such document DO NOT INTER-OFFICEMAIL.DOCUMENT REVIEWGeneral Counsel will review the documents and the appropriate responseon behalf of the University; Risk Management and appropriate Universityadministrators will be notified. Once an appropriate response has beendetermined, General Counsel will coordinate with the appropriateindividuals or departments to prepare an inventory of any recordsrequested in the legal document. General Counsel and Risk Managementwill keep a record of the legal document and any records produced.When the University is Named in a Summons and Complaint• If service of a summons and complaint or other legal documents isattempted in person by a process server, DO NOT ACCEPTSERVICE! Decline the acceptance and refer the process server tothe Office of General Counsel. Notify General Counsel by calling909-469-5465. Only General Counsel may accept service ofsummons and complaints on behalf of the University. However, ifthe process server insists on leaving the documents, personnelshould indicate on a memorandum the date and time he/sheaccepted service and hand-deliver the documents to the Office ofGeneral Counsel promptly; if General Counsel is not availableHAND-DELIVER the documents to Risk Management.When Both the University and an Employee is Named in a Summons andComplaint• If the process server attempts to serve an employee who ispersonally named in a compliant along with the University, thenamed employee may accept service of the Summons andComplaint only on his/her behalf. The named employee shouldindicate on a memorandum the time and date he/she was servedor received the complaint and forward that information togetherwith a copy of the complaint to the Office of General Counsel.• Documents are to be HAND-DELIVERED to General Counsel; copieswill be provided to Risk Management and to the Vice President ofHuman Resources by General Counsel. General Counsel will reviewthe documents and determine the appropriate response on behalfof the University.IMPORTANT – If the named individual is not available DO NOT ACCEPTSERVICE! Only the named individual can accept service. Never give theProcess Server any personal information about another employee, such asan employee’s home address or telephone number.• For service of a summons and complaint on the University, theprocess server must be referred to the Office of General Counsel.Only General Counsel may accept service on behalf of theUniversity. No other University official is authorized to acceptservice of process on the University’s behalf. General Counselwill notify Risk Management and provide a copy of the document.When Faculty or Staff Employees Alone are Named in A Summons andComplaint• Work-Related Complaint naming the employee based on theemployee’s conduct within the course and scope of his/heremployment with the University; the employee is to accept thecomplaint and contact the Vice President of Human Resources;General Counsel and Risk Management will be notified.• Non-Work-Related Complaint naming the employee and is basedon his/her conduct outside of the course and scope of his/heremployment with the University, the employee is to act onhis/her own behalf without involving the University.

IMPORTANT – If the named individual is not available DO NOT ACCEPTSERVICE! Only that individual can accept service. Never give the ProcessServer any personal information about another employee, such as anemployee’s home address or telephone number.DefinitionsSubpoenas For University Records• Subpoenas may be served on an individual (employee), Custodianof Records by name or title, or on a department or office. Asubpoena received by mail service or personal service should beaccepted. The individual or department subpoenaed shouldcontact General Counsel at 909-469-5465 or Risk Management at909-469-5452 to discuss compliance with the subpoena.• Documents requested by subpoena should be delivered to therequesting party on or before the date designated in thesubpoena. The University must keep a record of both thesubpoena and any records produced. The recipient of thesubpoena must coordinate with General Counsel before disclosingany documents requested.• Employment Records - Subpoenas requesting employment recordsof faculty and staff personnel should be directed to the VicePresident of Human Resources. A copy should be forwarded toGeneral Counsel and Risk Management.• Student Records - The Registrar's Office may respond to validsubpoenas seeking transcripts only. Subpoenas seeking "any andall" records maintained by the University or subpoenas seekingadditional records maintained by other departments should behand-delivered to General Counsel.TIME PERIOD AWARENESSThe University must respond to subpoenas, summons and court orderswithin a specified time period after the court documents are received. Itis imperative that personnel notify the Office of General Counsel as soonas he/she is served, so that the matter can be reviewed and responded toin a timely manner. The documents will be reviewed to determine theUniversity’s rights and responsibilities for compliance.Custodian of Records - The person in charge of a department's records.When a subpoena has been served, this person must sign an affidavitconcerning the authenticity of the records.Personnel - Administrators, Faculty and StaffProcess Server - A law enforcement official, such as an FBI agent ordeputy sheriff who delivers legal notices to an individual or organizationto provide official notice of a legal action or proceeding.• Common types of service: personal service (i.e. legal papers arehand-delivered to the individual to be served); and mail service(i.e. legal papers are mailed to the individual or organization tobe served)Subpoena - A court order compelling a person or representative of anorganization to testify or to produce records (or both) at a certain date,time, and place.Summons and Complaint - Legal documents that initiate a lawsuit.University Records - Include but not limited to: minutes, correspondence;memoranda; financial records, such as invoices, journals, ledgers,purchase orders; published materials, including reports and newsletters;moving images and photographs; and computer data or other machinereadable electronic records, including electronic mail.StatusApproved_________________________________ ____________________ ________________Contact Title Date