Subject: Subpoenas and other Legal Notices
Organizational Area: Legal Affairs
Effective Date: September 3, 2025
Revision Cycle: Three-year cycle
Corresponding BOT Policies: None
1. Purpose and Scope
The University of Maine System recognizes the importance of proper acceptance of subpoenas and other legal notices. This APL contains guidelines for acceptance of legal notices as outlined below (collectively “Legal Notices”) directed to the University of Maine System, or a university, school, center, office, department, program, or other subdivision within the University of Maine System (collectively “UMS”) or naming an employee within UMS in their official capacity. These guidelines are meant to ensure that all legal requirements are met and that UMS counsel and administrators receive the Legal Notices in a timely fashion.
This APL does not address any Legal Notices served upon an individual in personal legal matters unrelated to their work as UMS faculty or staff.
2. Definitions
Common examples of Legal Notices subject to this APL, include but are not limited to:
Subpoena: legal document requiring the production of documents or testimony in a legal proceeding. Subpoenas can come in multiple forms – e.g. administrative subpoena, court order, from an attorney representing a party in a lawsuit.
Regulatory compliance notice: Notification from government agencies regarding compliance with industry-specific regulations and/or request for information/documentation.
Demand letter: letter from a potential plaintiff outlining a claim and demanding action.
Summons/Notice of Claim: A notice of claim being filed in a court of law or administrative agency with our without a court order to appear before a judge.
Court-ordered Warrant: A document issued by a judge or magistrate to search or seize property or to enter a non-public space to arrest a person named in an arrest warrant.
Administrative Warrant: A document used by a government agency or administrative authority to authorize certain actions.
Litigation hold notice: also called a “legal hold notice” or “preservation notice” is a formal communication issued to inform relevant employees or organizations of the need to preserve certain records, documents, and electronically stored information because they may be relevant to anticipated or ongoing legal proceedings.
Legal Notice does not include Freedom of Access Act (FOAA) requests, or requests for FERPA-protected information which are addressed in other UMS policies or procedures.
3. Guidelines for Accepting Legal Notices
An employee who receives a Legal Notice, or a document that appears legal in nature should follow these guidelines:
- The UMS Office of General Counsel receives and coordinates the response to all Legal Notices delivered to UMS, regardless of the person or entity within UMS to whom the respective Legal Notice is directed. This ensures that all appropriate persons are contacted, all subpoenaed records are properly provided, and any personal appearances are made as required by law.
- A Legal Notice must meet certain legal requirements to be considered valid. The Office of General Counsel will determine the validity of any Legal Notice served on UMS.
- If you receive a phone call or email asking where a Legal Notice may be served, please direct the person to deliver the respective Legal Notice to the Office of General Counsel at Estabrooke Hall at the University of Maine, located at 15 Estabrooke Drive, Orono, ME 04469. If there are questions, please direct the person to the Office of General Counsel at (207) 581-5841 and generalcounsel@maine.edu.
- If a Legal Notice is served outside of normal business hours and is an urgent request, you should follow your campus-specific emergency contact procedures.
- If a Legal Notice is hand delivered to your office and you are requested to sign, do not sign, and direct the person to deliver the respective Legal Notice to the Office of General Counsel. If you receive a Legal Notice through any other method (mail, email, fax, etc.), please forward it immediately to the Office of General Counsel. Certain Legal Notices have a date by which we must respond, so time is of the essence.
- The Office of General Counsel will notify any persons named or directly impacted by any Legal Notice, to the extent allowed by law, and direct UMS employees on any actions necessary to respond to the Legal Notice.
- If a Legal Notice is received that requires any records to be preserved, the Office of General Counsel will direct any steps necessary to preserve any records covered by the Legal Notice.
4. Revisions and Change Approvals
- This APL provides guidelines for the consistent consideration of Legal Notices across UMS. Future modifications may be considered based on recommendations from the appropriate governing, academic, or administrative area. The final authority for the approval of such modifications sits with the UMS General Counsel. Notification of changes to this APL should be distributed to all UMS employees.
- The UMS General Counsel will determine if revisions to this APL are substantive or non-substantive. Substantive changes are required to follow the APL creation and revision process. Non-substantive changes to this APL do not require any review beyond the Office of General Counsel. Non-substantive changes are minor changes that do not affect the overall purpose and instructions outlined by the document. Non-substantive changes may take many forms, including, but not limited to: grammar or spelling corrections, inclusive language, technical revisions, updated names and contacts of pertinent offices or departments, or reorganized APL sections.
5. Contact Information
For questions regarding this APL, please contact the UMS Office of the General Counsel.
Office of General Counsel
15 Estabrooke Drive
Orono, ME 04469
Ph: (207) 581-5841
Email: generalcounsel@maine.edu