Business and Financial Affairs

General Administration

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

Responsible Office: Purchasing & Risk Services
October 2015

References / Resources

  • UC Business and Finance Bulletin
    • RMP 10, Instructions for Responding to Subpoena

Contact: Campus Risk Services at (949) 824-6510 or Medical Center Risk Management at (714) 456-5676

A. Definitions

  1. Subpoena

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

  2. 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.

  3. 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.

B. Issuance and Service of Subpoena, Subpoena Duces Tecum, and Deposition Subpoena

A subpoena, a subpoena duces tecum, or a deposition subpoena is issued by an officer of the court or an attorney of record in the case and served on a named individual, department, or office.

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

  1. 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) 824-6510 or medical center Risk Management at (714) 456-5676 that you have been served and by whom. Note the date and time service took place.
  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. Any person serving a subpoena, a subpoena duces tecum, or a deposition subpoena on The Regents, on the University of California, Irvine, on the custodian of records by name or title, or on a department or an office should be redirected to one of the following offices where specific staff are authorized to accept and process responses to these documents:

    CAMPUS - Authorized Personnel

    • Student Health Services for student health records only.
      Jeanie Deakyne (949) 824-1913
    • Purchasing and 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
      Hung Pham (949) 824-5093
      Rick Coulon (949) 824-7419

    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 Management: 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.
      Diane Geocaris (949) 824-2880
      Kyhm Penfil (949) 824-2880
      Peter Schneider (949) 824-8343

For questions, contact campus Risk Services at (949) 824-6510 or medical center Office of Risk & Regulatory Affairs at (714) 456-5676.