ANU Subpoena Protocol

Subpoenas or Summons, or Notices for Non party Production are court orders issued in legal proceedings requiring attendance at court or the production of documents.  The University often receives subpoenas from Courts/Tribunals seeking production of documents in the University’s possession.  If your area receives a subpoena you must comply with the following steps:

1. Check that the subpoena is for the ANU before you accept it.  On some occasions you will be required to sign to confirm receipt.
2. Date stamp the subpoena immediately upon receipt.
3. Check the schedule attached to the subpoena.  The schedule specifies the documents required, for example “all documents relating to (name of employee/student)” or “all academic records relating to (student name).
4. The schedule may be included within the body of the subpoena or it may be an additional attachment to the subpoena.
5. All pages of the subpoena, including the schedule, must bear the official Tribunal/ Court seal, stamp or Registrar’s signature.
6. All subpoenas to be complied with by the University should include conduct money of $55.00.  Conduct money is provided to meet the reasonable expenses of the University in complying with a subpoena.  For the University this initial conduct money provides for 1 hour of personnel time (searching for documents, photocopying and collating documents) and the cost of photocopying 100 pages.
   
   If the conduct money is in the form of a cheque it must be addressed to the ANU.
   
   If you reasonably believe that the time spent complying with the subpoena and the number of pages to be copied will exceed this base amount of conduct money the University reserves the right to charge the issuing firm an additional amount as below.
   -    Personnel: $30.00 per hour per person
   -    Photocopies: $0.20 per page copied (after the first 100 pages)
   
   Please contact the Legal Office on extension 58489 if you believe that the cost of complying with the subpoena will exceed the set amount of conduct money.
7. If only your area is involved in the searching, photocopying and collating of documents the conduct money may be retained in your budget to cover your costs.  If another area of the University assists you with complying with the subpoena reimbursement of their costs also need to be met by the conduct money.
   
   If requirements 1, 3, 4, or 5 above are not met by the original subpoena please contact the Legal Office on extension 58489.
8. The Legal Office will contact the issuing firm or body who should issue new documents with any missing element included and possibly a later compliance date, depending upon the information required and the period of time remaining until the compliance date.
9. Check the subpoena for discrepancies, for example, the spelling of a name or incorrect dates.  If there is discrepancies contact the issuing firm or body to clarify.  Significant changes should be confirmed in writing.
10. Ensure there is adequate time to comply with the subpoena.  You should have at least 14 days from the date of receipt until the compliance date.  If you believe it is reasonable that you have an extension of time to comply with the subpoena please contact the Legal Office.  If reasonable, a request will be made in writing to the firm or body that issued that subpoena.
11. The issuing firm or body should include as much information as possible to ensure the correct documents are presented to the court, for example, date of birth, middle name, maiden name, employment position held or employee number.
    
    If the identity of the subject is unclear contact the issuing firm or body and ask for further details to identify the person.  These details should also be confirmed in writing by the issuing firm or body.
12. Subpoenas should be faxed to the Legal Office (fax on 50683) on the day of receipt to ensure that it is reasonable to comply with the subpoena and to maintain the University’s records.
13. To comply with the subpoena search all possible records, even those that are only remotely possible.  Your search will depend upon the scope of the request in the schedule.
14. Check whether photocopied documents are acceptable in complying with the subpoena.  This information is usually stated on the subpoena however you can contact the issuing firm or body if it is unclear.  There is no need for photocopied documents to be certified as copies unless specifically required by either the firm or the court.
    
    If possible, do not send originals.  If you are required to send originals, please inform the Legal Office.  Record all files numbers and any other identifying information of the original documents.  Arrangements must be made with the issuing firm or body for the return of the documents at the conclusion of the legal proceedings.
15. Once you have completed your search, photocopy every document including notes attached to the file.
16. Keep a complete copy of the subpoena and the documents to be forwarded to the issuing firm or body.
17. Write to the legal firm, Court, or Tribunal (the subpoena will specify when and to whom the documents are to be supplied), enclosing the photocopies of documents and a copy of the subpoena received.
    
    Ensure that if you send the documents to the Court that they will arrive the day before the compliance date.
18. If you have any questions or concerns, please contact the Legal Office on 58489.