UC IRVINE ADMINISTRATIVE POLICIES AND PROCEDURES

Business and Financial Affairs

General Administration

Sec. 700-11: Guidelines on Subpoena, Subpoena Duces Tecum, and Deposition Subpoena

Responsible Office: Environmental Health & Safety and Risk Services
Revised:
December 2017

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 Corresponden

Contact: Campus Risk Services at (949) 824-6200 or Medical Center Risk & Regulatory Affairs at (714) 456-5676

A. Accepting a Subpoena, Subpoena Duces Tecum, and Deposition Subpoena

  1. 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; or
    • a UCI department or an office
    should be redirected to an authorized office.
  2. Under no circumstances will an employee open any files or records in answer to a subpoena or deposition subpoena unless directed to do so by an authorized individual.
  3. If a subpoena is served on an individual to appear as a witness, then 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 at (949) 824-6200 or medical center Risk & Regulatory Affairs at (714) 456-5676 that you have been served and by whom. Note the date and time service took place.

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. Authorized Offices and Personnel

CAMPUS - Authorized Personnel

  • Student Health Services for student health records only.
    Jeanie Deakyne (949) 824-1913
    Crystal Kohl (949) 824-9634
  • Risk Services for all other campus records, including personnel, payroll, workers' compensation, and student records.
    Nida Niravanh (949) 824-6510
    Quyen Levan (949) 824-3257
    Chris Taylor (949) 824-8772

UC IRVINE MEDICAL CENTER - Authorized Personnel

  • Medical center Medical Records Office, FHC-Santa Ana, Gottschalk Medical Plaza, Westminster Medical Plaza, FHC-Anaheim:
    Medical records offices accept subpoenas for patient medical records only.
  • Medical Center Risk & Regulatory Affairs: for all other Medical Center or School of Medicine physician records, personnel, payroll, UCI Workers' Compensation and for all Subpoenas, Search Warrants, Small Claims, and Summons & Complaints involving the Medical Center faculty and staff. Responsible for all governmental (eg. FDA, FBI, CMS. CDPH, DHS) or law enforcement investigative inquiries to the Medical Center.
    Legal Subpoena Desk (714) 456-5676, option #1

CHANCELLOR'S OFFICE - Authorized Personnel

  • Persons serving subpoenas should NOT be directed to the Chancellor's Office for service. Only in the case of an emergency should specific staff in the Office of Campus Counsel be contacted.
    Kyhm Penfil (949) 824-2880
    Peter Schneider (949) 824-8343

For questions, contact campus Risk Services at (949) 824-6200 or medical center Office of Risk & Regulatory Affairs at (714) 456-5676.