UC Santa Barbara Policy 7040
Policies
Issuing Unit: Administrative Services Date: March 1, 1978
HANDLING
SUBPOENA DUCES TECUM
FOR PERSONAL RECORDS
I. PURPOSE AND SCOPE:
This procedure describes the handling of subpoena duces tecum for
personal University records for past or present University students
or employees.
II. REFERENCES:
A. Code of Civil Procedure (¤1985, et seq. and 2019).
B. General Counsel Cunningham's memorandum to All Chancellors,
dated February 22, 1971.
C. UCSB Policies Manual, Policy 7035, Acceptance of Subpoena Duces
Tecum for Personel Records.
III. PROCEDURE:
A. Acceptance of the Subpoena:
1. The authority to accept subpoenas for UCSB student or
employee records and the responsibility for the release of
these records in accordance with such subpoenas are
outlined in Policy 7035. The deputy serving the subpoena
should be directed to the appropriate official.
2. Before accepting the subpoena, the designated official
must:
a. Ascertain that the individual about whom the
information is wanted is or was a student or an
employee.
b. Ascertain that the subpoena is proper as to form. If
in doubt as to form, consult with the Office of the
General Counsel by transmitting the subpoena through
the Office of University Relations.
c. Ascertain that the subpoena correctly and
specifically identifies the desired records (i.e.,
medical, academic, counseling, financial, disci
plinary, etc.).
d. Ascertain whether the personal attendance of a
custodian or other qualified witness is required.
e. Request and receive the tender of one day's witness
and mileage fees (see paragraph D.1. below), the
personal attendance of a custodian or qualified
witness is required.
3. Upon acceptance, or prior to the acceptance if there is
doubt concerning the validity of the subpoena, the
official designated to accept the subpoena will:
a. Call the General Counsel's Office to inform that
office of the service or attempted service of the
subpoena and give that office an opportunity to give
advice and counsel.
b. Attempt to notify the student or employee of receipt
of the subpoena (in writing, to last known permanent
address). See Attachment A.
B. Collecting the Specified Records:
The official designated to accept the subpoena will provide the
custodian office (see Policy 7035, paragraph II.B.) with a copy
of the subpoena and will either (1) collect the required
documents and forward the package to the appropriate official
(sealed, if desired) or (2) verify that the documents are
properly transmitted to the court or the subpoenaing party.
C. Transmittal of Records
1. If the University is neither a party to the cause of
action at issue nor the place where the cause of action
arose and if the subpoena does not contain a clause which
reads:
The personal attendance of the custodian or other
qualified witness and the production of the original
records is required by this subpoena. The procedure
authorized pursuant to sub-division (b) of Section 1560
and Sections 1561 and 1562, of the Evidence Code will not
be deemed sufficient compliance with this subpoena.
The accepting official or the custodian may make copies of
all the records described in the subpoena and mail them to
the Clerk of the Court of other subpoenaing party within
five days of the date of service (Evidence Code1564 and
1560). The official shall mail with such records an
affidavit stating in substance: (1) the affiant is the
duly authorized custodian of the records or other
qualified witness and has authority to certify the
records; (2) the copy is a true copy of all the records
described in the subpoena; (3) the records were prepared
by the authorized University personnel in the ordinary
course of business at or near the time of the act,
condition or event.
2. If the subpoena requires the original documents and/or
presentation by the custodian or another appropriate
official, this fact should be established from the start,
and the accepting official should instruct the deputy so
that the appropriate individuals and records are
subpoenaed. The accepting official's office will still
remain the coordinating agency for handling of these sub
poenas and for advice and assistance to the individuals
involved.
3. If the lawyer demanding the records hires someone to
duplicate the records, the accepting official will still
coordinate the collection of the records as previously
indicated. The duplicating process will preclude the
necessity of copying and mailing the records as indicated
above.
D. Fees:
1. At any time that the University is served with a subpoena
duces tecum, demanding personal appearance, the University
shall require the tender of one day's witness and mileage
fees (usually $12.00 per day and 20 cents per mile). If no
personal appearance is demanded, the University may
request the tender of one day's witness and mileage fees.
2. Witness fees are $12 per day of actual attendance plus 20¢
per mile one way pursuant to Government Code Section
68093.
3. The University may deduct the reasonable cost of copying
records and return the balance, if any, to the party, if
personal appearances are not required.
4. If the fees are not tendered upon demand, the University
need not comply with the subpoena duces tecum and should
notify the party of the reason for noncompliance.
Please direct questions about these policies to Meta.Clow@vcadmin.ucsb.edu. For questions or comments regarding the format of the above information, please contact webcontact@ucsbuxa.ucsb.edu.
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Last Modified By: EBH, 7/09/98