Service of process involves delivery of a special type of court order to an individual or company (“entity”). Service of process can involve either a “Summons and Complaint” initiating a lawsuit, or a “Subpoena” requesting that business records be turned over and/or that personal testimony be given, or a personal appearance be made. These are the types of service most likely encountered at UC Berkeley.
In most cases, it is not required that original documents be turned over in response to a subpoena. Technically, a subpoena requires production of original documents, but often the requestor will be satisfied with copies, and this can clearly be negotiated with the requestor. If originals are required, a University employee usually goes with the originals to the place of production to ensure that documents are not lost or misplaced; or the requestor comes to the University office where the records reside and inspects/copies them on-site. A University employee should be present at all...
A subpoena to a particular named person rather than the University can only be accepted by that person. However, there are three important exceptions to this requirement:
If the subpoenaed person is a peace officer, subpoenaed to testify about an event or transaction h/she witnessed or investigated as a peace officer, the subpoena may be served by delivering two (2) copies to the immediate superior or an agent designated to receive subpoenas, who must then deliver a copy to the peace officer (Gov. Code § 68097.1(a))...
In most cases, the University is obligated to comply with a subpoena duces tecum or deposition subpoena served upon it. However, in certain circumstances a particular document may be subject to a privilege which does not permit the University to disclose without first obtaining permission of the holder of the privilege, or if that privilege has somehow been waived. The most common privileges to arise in a University setting are the physician-patient privilege, the psychotherapist-patient privilege, and the attorney-client privilege. Failure to assert a privilege not to disclose...
Not necessarily—subpoenas are generally issued to persons or entities who are not parties to the lawsuit, known as “third parties.” The University typically is served with “third party” subpoenas.
A named individual (responder) is only obligated to produce documents which exist and are already under his/her custody and control. You are not required to create documents that do not exist, or to procure documents not in your or your department’s possession or control. If the documents called for do not exist or are not in the possession or control of the individual subpoenaed, the responder should notify the subpoenaing party of this fact in writing. Subpoenas may attach an "Affidavit of No Records" that can be completed by the custodian if in fact no responsive records exist...
If a process server attempts service of a Summons and Complaint on any University entity (The Regents, UCOP, UC Berkeley, or any campus department, academic or otherwise), s/he should be directed to Office of the General Counsel (OGC), 1111 Franklin Street, 8th Floor, Oakland, CA 94607-5200. OGC is the only entity authorized to accept service of a Summons and Complaint on behalf of The Regents or a UC entity.
If an individual is named and being served, the law requires that...
If a process server is “at your door” and you know nothing about service of process, and the document does not look familiar to you even if it may look legal, you are not obligated to accept it. Refer the individual serving the document to Office of Legal Affairs (OLA). Further, if you receive a phone call from an attorney’s office or a company handling service of process of subpoenas and summons and complaints, refer them to OLA at (510) 642-7122.
No, but it depends on the complexity and sensitivity of the documents, the testimony which one is asked to provide (if any), and the nature of the proceedings.
However, the Office of Legal Affairs mustbe consulted if:
A) UC Berkeley, a campus department, and/or a campus employee in his/her official capacity are named as either a plaintiff or a defendant. Under these circumstances, OLA will make arrangements with either Office of the General Counsel or outside counsel for representation, if appropriate....
Formal personal delivery of documents for both types of service (Summons and Complaint, Subpoenas) is required and important because these documents impose legal obligations on the person or entity they are delivered to. Failure to comply with these court orders can result in penalties
