1. Policy
Issued: November 15, 2002
Last Revised: February 24, 2023
Last Reviewed: February 24, 2023
Applies to: Faculty (including part-time and visiting faculty), postdoctoral scholars, staff
and students (including graduate/undergraduate student workers and graduate assistants)
employed by University of Southern California and its subsidiaries including Keck Medicine
of USC (“USC employees”). This policy continues to apply to individuals on sabbatical,
other leaves or while visiting other institutions.
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 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 (“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 not accept service and
must refer the process server to 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 who is
personally named in a Complaint along with 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 process server must be referred to the OGC or a designee for service of the
Summons and Complaint on the University. Only the OGC or a 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 on the employee’s own behalf and may accept service without involving the University.
- No accepting 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 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. - If the subpoena does not appear to be related to the employee’s employment with
the University, the employee shall act on the employee’s own behalf without
involving the University.
6. Procedures
N/A
7. Forms
N/A
8. Responsibilities
Summons and Complaints
| PARTIES NAMED IN SUMMONS AND COMPLAINTS | RESPONSIBILITIES AND REQUIRED ACTIONS |
| University records | Employee must not accept subpoena. Direct the process server to OGC. |
| University and employee | Refer process server to OGC for service on the University. Employee may accept service only on employee’s own behalf and must notify OGC immediately. |
| Employee only, work-related | Employee must accept summons and complaint and contact OGC immediately. |
| Employee only, non-work-related | Employee must act on employee’s own behalf without involving the University |
Subpoena for Records
| TYPE OF RECORD | RESPONSIBILITIES AND REQUIRED ACTIONS |
| University only | Refer process server to OGC. Only 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 |
| Employment-related | Contact OGC prior to accepting service. |
| Non-Employment-Related | Employee must act on employee’s own behalf without involving the University |
9. Related Information
N/A
10. Contacts
Please direct any questions regarding this policy to:
| ogc.usc.edu | (213) 740-7922 | ogc.usc.edu |