1. Policy
Issued: November 15, 2002
Last Revised: February 24, 2023
Last Reviewed: August 4, 2026
Applies to: Faculty (including part-time, adjunct and visiting faculty), postdoctoral scholars, staff and students (including graduate/undergraduate student workers and graduate assistants) employed by University of Southern California (“USC” or the “University”) and including those working for the University’s health system (“USC employees”). This policy continues to apply to individuals on sabbatical other leaves, or who are visiting other universities.
2. Policy Purpose
This policy outlines USC’s official protocol for the acceptance of summons, complaints, and subpoenas.
3. Scope
This policy applies in all situations regarding the potential service and/or acceptance of summons, complaints, and subpoenas, and supersedes and replaces all other policies and/or practices that might apply to the potential service and/or acceptance of summons, complaints, and subpoenas.
4. Definitions
| Term | Definition |
| Summons | A legal document that notifies an individual or entity that a lawsuit has commenced and that the individual or entity served must respond to the complaint. |
| Complaint | A legal document that sets forth the claims(s) in a lawsuit and the relief being sought by the plaintiff. |
| Subpoena | An order issued by a court or attorney for the production of records or for a An order issued by a court or attorney for the production of records or for a person to appear to provide testimony under oath, including at a deposition, in court, or before a government agency. |
5. Policy Details
Overview
Faculty and non-faculty employees must exercise care when presented with any documents concerning legal actions in which the University or its employees are involved.
Only the Office of the General Counsel (the “OGC”)—or another department explicitly authorized by the OGC—may accept service on behalf of the University of summons, complaints, and subpoenas (regardless of the location of those records).
Failure to appropriately handle summons, complaints, or subpoenas could place the University and the employee at risk or disadvantage in legal proceedings. Failure to follow required procedures may be cause for discipline, up to and including termination. For faculty employees, any such discipline will be issued in accordance with the procedures set forth in the Faculty Handbook. For employees subject to a collective bargaining agreement, any such discipline will be issued in accordance with the terms of any applicable collective bargaining agreement.
Summons and Complaints
When the University is a party named in a Summons and Complaint
- Only the OGC or a designee may accept service of a Summons and Complaint on behalf of the University. If a process server or any other individual attempts to serve an employee on behalf of the University, the employee must: (1) not accept service; (2) refer the process server to the OGC; and (3) inform the OGC.
When both the University and a faculty or staff employee are named as parties in a Summons and Complaint
- If a process server or other individual attempts to serve an employee with a Summons and/or Complaint that names both the employee and the University, the employee may accept service of the Summons and Complaint only on the employee’s own behalf as an individually-named defendant, but not on behalf of the University. In addition, the employee must immediately notify the OGC.
- The employee must also refer the process server to the OGC or a designee for service of the Summons and Complaint on the University. Only the OGC or its designee may accept service on behalf of the University.
When a faculty or staff employee alone is a party named in a Summons and Complaint
- Complaint appears to be related to individual’s employment at USC
- If the complaint, naming only the employee but not the University, appears to be related to the employee’s employment with the University, the employee must accept service of the complaint as an individually-named defendant, and must also contact the OGC immediately.
- Complaint not related to individual’s employment at USC
- If the complaint, naming only the employee but not the University, does not appear to be related to the employee’s employment with the University, the employee shall act solely on the employee’s own behalf (i.e., in a personal capacity), and may accept service without involving the University.
- Employees are not authorized to accept service on behalf of another employee
- A faculty or staff employee may never accept service of a Summons and Complaint on behalf of another employee. Employees should contact the OGC for instructions if a process server asks the employee to do so.
Subpoenas
Subpoenas for University records
- Only the OGC or a designee of OGC may accept service of subpoenas seeking University records.
Subpoenas for testimony or for testimony and records
If the subpoena does not appear to be related to the employee’s employment with the University, the employee shall act solely on the employee’s own behalf (i.e., in a personal capacity) without involving the University.
If an employee is served with a subpoena that appears to be in the employee’s capacity as an employee or agent of the University, the employee must contact the OGC prior to accepting service.
6. Procedures
N/A
7. Forms
N/A
8. Responsibilities
Summons and Complaints
| PARTIES NAMED IN SUMMONS AND COMPLAINTS | RESPONSIBILITIES AND REQUIRED ACTIONS |
| University only | Employee must not accept summons and complaint. Direct the process server to the OGC. |
| University and employee | Refer process server to the OGC for service on the University. Employee may accept service only on employee’s own behalf (i.e., in a personal capacity) and must notify the OGC immediately. |
| Employee only, USC-related | Employee must accept summons and complaint and contact the OGC immediately. |
| Employee only, not USC-related | Employee must act on employee’s own behalf (i.e., in a personal capacity) without involving the University |
Subpoena for Records
| TYPE OF RECORD | RESPONSIBILITIES AND REQUIRED ACTIONS |
| University only | Refer process server to the OGC. Only the OGC can accept service on behalf of USC. |
Subpoena for Testimony or for Testimony and Records
| TYPE OF TESTIMONY OR RECORD | RESPONSIBILITIES AND REQUIRED ACTIONS |
| USC-related | Contact the OGC prior to accepting service. |
| Not USC-Related | Employee must act on employee’s own behalf (i.e., in a personal capacity) without involving the University |
9. Related Information
N/A
10. Contacts
Please direct any questions regarding this policy to:
| Office of the General Counsel | (213) 740-7922 | ogc@usc.edu |