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Subpoena Response to Attorney - PDF

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									                              OREGON YOUTH AUTHORITY
                                       Policy Statement
                             Part I – Administrative Services

 Subject
 Response to Subpoenas
 Section – Policy Number:                  Supersedes:       Effective Date:     Date of Last
                                           I-E-1.2 05/04;                        Review/Revision:
 E: Information Management – 1.2           Information
                                                             03/28/2008
                                                                                 None
                                           Letter (02/02)
 Related               ORS 136.555 (Subpoena defined)
 Standards             ORS 136.580 through ORS136.595 (Subpoenas when books,
 and                   papers or documents are required; how served)
 References:           American Correctional Association, Standards for Juvenile
                       Correctional Facilities: 3-JTS-1E-01 to 07 (Juvenile Records)
                       OYA policy: I-A-3.0 (Attorney General Opinions and Advice)
                                     I-E-2.1 (Public Information Requests)
                                     I-E-2.3 (Requests for Offender Case File
                                     Information)
                                     I-E-2.6 (Second Look Policy and Procedure)
                       OYA form: YA 0022 (Affidavit of Record)
 Related               General Field Office Procedure
 Procedures:           Facility Procedure Statements

 Interpretation:                           Approved:

 Director’s Office
                                           ________________________
                                           Robert S. Jester, Director

I.     PURPOSE:

       This policy provides guidelines for OYA staff when responding to work-related
       subpoenas.

II.    POLICY DEFINITIONS:

       Subpoena: A command to appear at a certain time and place to give testimony
       upon a matter. Sometimes a subpoena commands the production of books,
       papers, documents, or tangible things.

       Subpoena Coordinator: A staff designated by the agency to coordinate the
       response to subpoenas at the local field office or facility and to coordinate those
       activities with the Director’s Office.


Page 1 of 6                  I-E-1.2 Response to Subpoenas                     Effective: 03/28/2008
       Service: Personal delivery of the subpoena to the person named in the
       subpoena.

       •      Service of a subpoena may be made by mail if an attorney has had personal
              or telephone contact with the witness, and the witness indicated a willingness
              to appear at trial, if subpoenaed; arrangements have been made for payment
              of witness fees and mileage; and it must be mailed 10 days prior to trial by
              certified mail or some other designation of mail that provides a receipt for the
              mail signed by the recipient.

       •      Service of a subpoena by mail may be used for a subpoena commanding
              production of books, papers, documents or tangible things, not accompanied
              by a command to appear at trial, hearing or deposition.

       •      Subpoenas must be mailed 10 days before trial by certified mail or some
              other designation of mail that provides a receipt for delivery.

       Service of subpoena on offenders: May be served on the custodian of the
       offender and only upon approval by the court.

III.   POLICY:

       In all cases, the OYA will respond to subpoenas issued to gather information or
       compel appearance in matters involving staff or offenders. Subpoenas are time
       sensitive and the response (which includes sending documentation or appearing
       at a proceeding) will be made in accordance with OYA-approved procedure, to
       ensure:

       •      A timely, appropriate, and accurate response;

       •      Confidentiality of agency records is maintained, according to federal and state
              laws;

       •      A proper legal objection is made when deemed appropriate by legal counsel;
              and

       •      Staff effort is not duplicated.

IV.    GENERAL STANDARDS:

       A.        The Assistant Director, Facilities, and the Assistant Director, Field
                 Services, or their designee, will designate a Subpoena Coordinator who
                 coordinates the response process for subpoenas served in their
                 respective offices or facilities.

                 1.      The Subpoena Coordinator may represent a single office or facility
                         or a group of offices/facilities as defined by each respective
                         Assistant Director, or designee.
                 2.      The Director’s Office will designate a staff to work with the local
                         Subpoena Coordinators.

Page 2 of 6                     I-E-1.2 Response to Subpoenas               Effective: 03/28/2008
              3.    Close custody facilities, field offices, and Central Support will have
                    a procedure that identifies each of these persons and details the
                    procedure by which subpoenas will be received. This procedure will
                    be shared with all staff and local service providers to ensure they
                    understand the OYA process and can easily contact the local
                    Subpoena Coordinator.

       B.     Subpoena Coordinators’ responsibilities

              1.    Contact the designated Director’s Office staff to coordinate the
                    appropriate subpoena response.

              2.    Coordinate appropriate receipt of subpoenas on behalf of the
                    agency, staff, or offenders, and ongoing local procedure relating to
                    subpoenas.

                    OYA field offices and facilities will promptly notify and coordinate
                    with the designated Director’s Office staff when subpoenas are
                    received.

              3.    Local procedure will discuss the time-sensitive nature of subpoenas
                    and clearly define the process by which the Subpoena Coordinator
                    receives the subpoena.

              4.    When multiple subpoenas are received on the same case in
                    different locations, the first Coordinator who receives a subpoena
                    becomes the “primary” Subpoena Coordinator.

              5.    Determine and document the nature of the subpoena. If the
                    subpoena commands the production of documents (such as a
                    subpoena duces tecum), immediately contact the designated
                    Director’s Office staff to coordinate the response in consultation
                    with the Attorney General’s (AG) Office.

              6.    Contact the initiator of the subpoena when authorized by the
                    Director’s Office.

              7.    Contact and coordinate all subpoena-related processes with the
                    Director’s Office (see matrix below), and seek direction about
                    agency response.

                    See related policy: I-A-3.0 (Attorney General Opinions and
                    Advice).

              8.    Determine where all files related to the matter are located
                    (including those at close custody facilities and offices, records
                    maintained by contracted service providers, or those in archives).

                    Case files for former OYA offenders are located at Hillcrest Youth
                    Correctional Facility.

Page 3 of 6                I-E-1.2 Response to Subpoenas                Effective: 03/28/2008
              9.    Collect information upon receipt of the subpoena. Delegate tasks
                    as necessary to meet the request (such as reviewing, redacting,
                    copying record, or making contact with persons who need to
                    appear) in accordance with local procedure and working with
                    Director’s Office staff, where indicated.

              10.   After coordinating with the Director’s Office, submit the agency
                    response by mailing the signed subpoena back to the requestor.

                    a)    When records are requested, the Subpoena Coordinator will
                          make true and original copies and certify such in writing on
                          the YA 0022 (Affidavit of Record). Agency costs for
                          providing the records will be recovered pursuant to OYA
                          policy I-E-2.1 (Public Information Requests).

                    b)    All copied or original records will be sent to the Director’s
                          Office. Designated staff in the Director’s Office will
                          coordinate with the AG’s Office to release the records to the
                          court.

                    c)    If copied records are provided, they will be securely
                          packaged to ensure confidentiality.

                    d)    If original records are provided, authorized staff will keep
                          them in their personal possession at all times to ensure
                          original materials are not lost and are returned to the
                          appropriate place.

              11.   Ensures that subpoena activities are entered into JJIS case notes
                    pertaining to offenders who are the subject of a subpoena.

              12.   Receives training, including:

                    a)    Identifying legally-sufficient subpoenas;

                    b)    Appropriate service;

                    c)    Confidentiality;

                    d)    Networking with stakeholders;

                    e)    Appropriate agency response.

              13.   Communicates with attorneys and the AG’s Office about subpoena-
                    related issues when authorized by the Director’s Office. Also
                    obtains approval through the Director’s Office for other staff to
                    speak with attorneys and the AG’s Office about the issue of the
                    subpoena.




Page 4 of 6               I-E-1.2 Response to Subpoenas                Effective: 03/28/2008
               14.   Coaches and guides staff on appropriate procedures when
                     testifying pursuant to subpoenas.

       C.      Once a subpoena for records or appearance is received, the Subpoena
               Coordinator’s response is directly related to the type of subpoena and the
               circumstances of the case, as described in the attached matrix.

       D.      The Subpoena Coordinator communicates with staff about resolution of
               the matter.

Type of case                              Appropriate staff response

Second Look hearing                       Coordinate with facility Second Look Coordinator
                                          and Director’s Office.

                                          If staff are subpoenaed to appear, the Subpoena
                                          Coordinator will work with the staff’s supervisor or
                                          Employee Services to arrange time off work and
                                          handling of fees


Cases involving offenders as subject      Records: Subpoena Coordinators will coordinate
of dependency, divorce, custody,          with the Director’s Office.
support proceedings, or termination of
parental rights.                          Appearance: The Subpoena Coordinator will
                                          arrange the offender’s appearance. Contact DOC if
Cases involving offenders                 DOC offender. Contact the offender’s attorney, if
                                          applicable. Fax a copy of the subpoena to the
                                          Director’s Office.

                                          Staff: Subpoena Coordinators will coordinate
                                          appearance and brief about courtroom protocol.
                                          Fax a copy of the subpoena to the Director’s Office.

                                          Staff will limit their testimony to personal knowledge
                                          and to activities known or services directly provided
                                          by staff within the scope of his/her job
                                          responsibilities.

                                          Staff will not make “recommendations” as to
                                          outcome of proceeding.

                                          If staff are subpoenaed to appear, the Subpoena
                                          Coordinator will work with the staff’s supervisor or
                                          Employee Services to arrange time off work and
                                          handling of fees provided by the court system.

Criminal cases against OYA staff          Director’s Office becomes “primary” Subpoena
                                          Coordinator for records and appearance requests.

                                          The local Subpoena Coordinator immediately
                                          contacts the Director’s Office.

                                          No records may be released or appearances made
                                          without authorization of the Director’s Office. If staff

Page 5 of 6                 I-E-1.2 Response to Subpoenas                   Effective: 03/28/2008
                                          are subpoenaed to appear, the Subpoena
                                          Coordinator will work with the staff’s supervisor or
                                          Employee Services to arrange time off work and
                                          handling of fees provided by the court system.

                                          The Director’s Office will coordinate with Risk
                                          Management, as necessary.




V.     LOCAL OPERATING PROCEDURE REQUIRED: YES

       OYA facilities, field offices, and Central Support each have a local procedure that
       identifies their respective Subpoena Coordinator and details the local process of
       how subpoenas will be received.

       This procedure will be shared with all staff and local service providers to ensure
       they understand the OYA process and can easily contact the local Subpoena
       Coordinator.




Page 6 of 6                 I-E-1.2 Response to Subpoenas                  Effective: 03/28/2008

								
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