cover letter sample response to subpoena for documents

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How to Respond to a Civil Subpoena for Documents

• 1.1 What is a Subpoena?
• 1.2 Don’t Panic
• 1.3 Read it Carefully
• 1.4 Notify Anyone That May Be Impacted
• 1.5 Do Not Destroy or Alter Any Documents
• 1.6 Gather All Potentially Relevant Documents
• 1.7 Review the Documents
• 1.8 Produce Responsive, Non-Privileged Documents
• 1.9 Object If You Have Concerns
• 1.10 Get Legal Advice
• 1.11 Follow Up as Needed
• 1.12 References

Getting served with a subpoena can be intimidating. You may be wondering, what is this? What does it mean? What do I have to do? This article will walk you through the basics of understanding and properly responding to a civil subpoena for documents so you can get through it as smoothly as possible.

What is a Subpoena?

A subpoena is a legal document issued by a court that compels someone to produce documents, appear and testify at a deposition, hearing or trial, or sometimes both. Subpoenas are used by parties in a lawsuit to obtain evidence and information from both parties to the lawsuit as well as non-parties, also called third parties.

There are a few types of subpoenas:

• Subpoena Duces Tecum – requires you to produce documents
• Subpoena Ad Testificandum – requires you to appear and testify
• Subpoena for Deposition – requires you to appear and provide testimony under oath

This article focuses specifically on responding to a civil subpoena duces tecum, which requires you to search for, locate, and produce documents responsive to the subpoena’s requests.

Don’t Panic

It’s understandable to feel anxious or stressed when you receive a subpoena out of the blue, especially if you’ve never dealt with one before. Try to take a deep breath though – responding is manageable if you break it down into steps. While subpoenas can seem scary and urgent, you typically have at least 10-20 days to respond, so you do have time to thoughtfully address it.

Read it Carefully

The first thing you should do is read through the subpoena very closely to understand what exactly is being asked of you. Here are some key things to look for:

• The deadline – Make note of when you have to produce the documents by so you can plan accordingly.
• What documents are being requested – The subpoena should list out specific types of documents being requested. Read this carefully.
• Time period – Often the requests will specify a time frame for the documents being requested.
• Who to produce the documents to – The subpoena will specify a person, law firm, or entity for you to produce the documents to.
• Location of production – This states where you need to produce the documents, typically an address will be provided.

You want to get very clear on what exactly is being asked for so you can respond appropriately. Don’t ignore or skim over the subpoena – give it a thorough read.

Notify Anyone That May Be Impacted

Before you start gathering any documents, think about notifying anyone that may be impacted by the subpoena.

If it’s for business records, you may need to notify your employer so they are aware and can assist with locating responsive documents. For personal records, you may need to give family members a heads up that you’ll be searching through files.

If there are any confidentiality issues surrounding the records being requested, you may need to get consent from the relevant parties before producing documents that contain sensitive information.

Do Not Destroy or Alter Any Documents

It can be tempting to go through your records and shred or delete anything that looks potentially relevant to the subpoena. However, this would be unlawful. You have a duty to preserve all documents that may be responsive.

Once you’ve been served the subpoena, you must not destroy or modify any relevant documents, or else you could face court sanctions or obstruction charges.

Gather All Potentially Relevant Documents

Now it’s time to start gathering all documents that could possibly be responsive to the requests in the subpoena. It’s better to over-collect here so you can review and pare down later.

Make sure to look through both paper and electronic files. This includes emails, digital documents, text messages, voicemails, and cloud storage. If you’re not sure where to start, talk to your employer’s IT team or legal department and they can help guide the search.

As you gather documents, keep them organized, such as sorted into folders by subject or chronological order. This will make it easier when it comes time to review and produce them.

Review the Documents

Now comes the process of actually reviewing all the documents you’ve gathered to determine what is responsive to the subpoena and what can be withheld. Here are some guidelines on reviewing:

• Re-read the subpoena closely – Get clear on exactly what is being requested and for what time period so you can accurately determine responsiveness.
• Remove irrelevant documents – If a document does not fit within the scope of what’s being requested in the subpoena, set it aside.
• Watch for privilege – Documents covered by attorney-client privilege, work product doctrine, and other privileges do not need to be produced, but you must assert the privilege.
• Redact where necessary – If a document contains confidential personal information not relevant to the case, you can redact those portions.

If you have any questions about whether a certain document should be produced or if a privilege applies, it’s best to consult with an attorney.

Produce Responsive, Non-Privileged Documents

Once you’ve completed your review and narrowed down the documents, it’s time to produce the responsive, non-privileged ones to the party who issued the subpoena.

Be sure to organize and label the documents so it’s clear what’s being produced. Include a cover letter that identifies each document by name and explains any non-produced documents that were withheld for privilege.

Send the production by the deadline and using the method specified in the subpoena – typically mail or email. Be sure to get delivery confirmation so you have proof of producing the documents on time.

Object If You Have Concerns

If you have objections to the subpoena, such as believing it asks for irrelevant documents or is unreasonable in scope, you can file formal objections with the court. Talk to an attorney right away if you want to consider filing objections.

You would still need to respond timely to the parts of the subpoena you do not object to while your objections are considered.

Get Legal Advice

Because subpoenas involve legal obligations, it’s always advisable to consult with an attorney to ensure you are responding appropriately. An attorney can advise you on objections, privileges, deadlines, and any other questions that come up.

While you can take initial steps like gathering and reviewing documents, it’s best to have an attorney review your planned production before it goes out. This helps avoid any missteps.

Follow Up as Needed

Even after you’ve produced documents, the subpoenaing party may come back to you with additional requests or questions. Be responsive to these follow-ups and provide any clarification needed. You may need to appear at a deposition to testify about the documents you produced.

Continue to preserve relevant documents in case more end up being requested. Destroying them after an initial production could put you at risk of court sanctions.

By following this process, you can properly comply with a civil subpoena for documents. While it represents additional work, being diligent reduces risk down the road. With the right focus and legal guidance, you can get through it smoothly.

Answers to FAQs Responding to a Subpoena – Illinois Association of School Boards

Top Tips for Responding to a Subpoena – Morse Law Firm

How to Respond to a Third-Party Subpoena for Documents – Legal.io

3 Ways to Respond To a Subpoena – wikiHow

Third-Party Subpoena Response – Logikcull

How to Respond to a Subpoena: 10 Things You Should Do Immediately – Orrick Law Firm

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How to Handle a Subpoena

Last Updated: April 9, 2024 Approved

This article was co-authored by Clinton M. Sandvick, JD, PhD . Clinton M. Sandvick worked as a civil litigator in California for over 7 years. He received his JD from the University of Wisconsin-Madison in 1998 and his PhD in American History from the University of Oregon in 2013. wikiHow marks an article as reader-approved once it receives enough positive feedback. In this case, 82% of readers who voted found the article helpful, earning it our reader-approved status. This article has been viewed 109,821 times.

A subpoena is a legal document that orders the recipient (whether a person or an organization) to provide sworn testimony at a predetermined time and place pertaining to a legal investigation or proceeding. [1] X Research source There are also other types of subpoenas, which may command you to supply materials in your possession (subpoena duces tecum) or appear to provide a deposition in the discovery phase of a trial (deposition subpoena). [2] X Research source Regardless of the type of subpoena you receive, knowing how to respond to the document is the first step in properly complying with the order.

Receiving the Subpoena

• The person who subpoenaed you will also sign the document and provide contact information. If you still aren't entirely sure if what you have received is a subpoena, you can call and ask the person who issued the order. [7] X Research source
• Only non-parties in ongoing litigation get subpoenas. Therefore, you cannot object to the subpoena on the grounds that you are not a party to the lawsuit. The fact you are not a part of the lawsuit (but nonetheless might have information that is relevant to the case) is the reason you are being subpoenaed.

• Appear to provide testimony either at a trial or as a deposition
• Produce physical or electronic documents as part of an investigation or a trial
• A combination of both
• If you are a healthcare professional being ordered to produce records for a client, then look into your state's laws concerning disclosure of the information. Even in situations where you must produce the information, you must typically inform the client in writing either to allow the client to agree to the disclosure or provide adequate time for the client to object on their own behalf.

• You and/or your lawyer should also review the actual suit in addition to the subpoena to determine the scope of the case.
• Many court records are now kept electronically and can be easily found by searching on the court website for the listed party names. Alternatively, you should be able to get copies of such documents from the party who subpoenaed you.

• Where potential evidence is not in your personal control (for instance, your company was subpoenaed, and there are multiple people who may have relevant documents), you should instantly issue a directive to all such custodians of documents to preserve those document and emails. Don't forget to notify the IT department who might have backups of files and emails that will need to be preserved.

Objecting to a Subpoena

• Privileged or confidential information - Some information is entitled to a measure of protection under the law, including trade secrets; communications with a spouse, lawyer, accountant, or clergy person; and other categories.
• Fifth Amendment privilege - If providing the documents could incriminate you, then the Fifth Amendment protects you from being forced to testify against yourself if such testimony could subject you to criminal liability.
• Procedural flaws - The way in which you must be served the subpoena depends on the jurisdiction. Follow up with your attorney to determine if you were properly served the subpoena
• Non-custody - If you can't produce the material(s) the court has requested because they are no longer in your possession. Note that you'll likely have to document proof that the material(s) are no longer in your custody.
• Scope - A court may limit the amount of documents you must provide, grant you extra time to gather the materials, or even order the other party to pay for your copying costs.

• The motion may also be to simply modify the subpoena to narrow the scope of the documents, give you more time to collect the materials you have been ordered to produce, etc. [11] X Research source

Complying with the Subpoena

• If the person who issued the subpoena grants a change of schedule, request it in writing to protect yourself.

• If the subpoena has been issued to a company, the company must designate an individual who is most knowledgeable about the topics stated in the subpoena. If no single person has all of the information requested in the subpoena, the company may still designate a single individual who would then educate himself/herself about the topics which he/she doesn't know.

Expert Q&A

You might also like.

• ↑ http://www.dmlp.org/legal-guide/responding-subpoenas
• ↑ https://www.hg.org/legal-articles/how-to-respond-to-a-subpoena-34948
• ↑ http://www.law.cornell.edu/rules/frcp/rule_45

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Investigations: Letter Accompanying the Production of Documents to a Securities Regulator | Practical Law

Investigations: Letter Accompanying the Production of Documents to a Securities Regulator

Practical law standard document 5-591-2425  (approx. 11 pages).

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Exhibit H - Subpoena cover letter and receipt

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