Legal Requests for Documents and Information Policy

I. Scope

This policy applies to all University employees.

II. Policy Statement

In the course of a normal business day, Indiana Wesleyan University may receive several different types of legal requests for documents and/or information. Requests for documents or information can be as formal as court pleadings or simple signed releases.  This policy outlines how to respond to legal requests for documents and information.  No documents or information should be released to a third party before first contacting University Counsel for guidance.

III. Reason for the Policy

In the course of a normal business day, Indiana Wesleyan University may receive several different types of legal requests for documents and/or information. Requests for documents or information can be as formal as court pleadings or simple signed releases.  This policy outlines how to respond to legal requests for documents and information.  No documents or information should be released to a third party before first contacting University Counsel for guidance.

IV. Procedures

Legal Requests for Documents and Information

Requests for documents or information can be as formal as court pleadings or simple signed releases. These requests may arrive in the mail or be delivered in person (service of process). Examples of these types of documents include:

• Transcript Requests (from person other than student) 
• Bankruptcy Notices 
• Employment Verifications
• Wage Garnishments (Including Child Support Income Withholding Orders) Letters from Attorneys
• Signed Authorizations/Releases
• Interrogatories
• Complaint/Summons
• Court Orders
• Subpoenas/Subpoenas Duces Tecum
• Non-Party Requests for Production of Documents

While the above list is representative, it is not comprehensive. It is important to be aware that there may be other types of requests for documents or information to which IWU has a legal duty to respond. In the event of litigation involving the university, a complaining party (Plaintiff) is required to formally serve the written lawsuit filed with the court (the Complaint). In those cases, the documents are required to be served upon the Statutory Agent (also called Registered Agent).

The Statutory Agent

The Statutory Agent is a person appointed by the university for the purpose of receiving service of process and legal notices on the university’s behalf. The Agent can be an employee of the university or a company contracted by the university to act as the Statutory Agent. In each state where IWU has authorization to operate, we are required to have a Statutory Agent. The agent’s name and address are “registered” with the respective Secretary of State and the information is available to the public. 

Once legal requests are received by either the Statutory Agent or a department at the university, therequest or documents must be immediately routed to the University Counsel’s office (fax no. 765-677-2055). In many cases, there is a limited time allowed for a response. This is especially true for service of complaints or subpoenas and requests for production.In many cases, attorneys or other requesting parties may telephone the university to request the contact name to direct legal requests. To facilitate the process and reduce the number of mailings or submissions to various departments, personnel should inform inquiring callers to send all requests directly to the University’s Counsel’s office at the following address:

Indiana Wesleyan University

Attn: University Counsel, Business Affairs

4201 S. Washington Street

Marion, IN 46953

Routing Procedures

1. Recipient shall immediately fax the complete legal request to University Counsel at (765) 677-2055.

2. Originals should then be sent to University Counsel via Campus or Regular Mail.

University Counsel:

• Review the documents to determine appropriate response

• Calendar deadline for response back from department

• Calendar deadline for response back to requesting party/authority

• Identify items being requested

• Determine response deadline

• Route to appropriate departments (Financial Aid, Financial Affairs, Records, etc.) with cover email requesting read receipt 

University Departments:

• Authorized Department Representative (Business Records Custodian) will collate the requested Documents.

• Department Representative will complete an Affidavit of Records Custodian, which routinely accompanies the legal request, and submit along with the documents.

• Deliver the requested records to Legal Affairs no later than the deadline specified in the cover email.

• The request and responsive documents will be retained by the authorized department for the period specified in Section IV below.

3. Upon receipt from each respective department, the documents specified in the original legal request, Legal Affairs will forward all requested documents to the requesting party/authority.

Request Retention Periods

There are three categories of legal requests. Those in which IWU is:

• a named defendant;

• a garnishee defendant; or

• a non-party.

NOTE: Requests for personally identifiable education records as defined by FERPA (hereafter, “FERPA requests”) may fall into any one of these three categories (although most often, they will be the third category).

1. Retention Periods FERPA Requests

For legal requests involving FERPA records and information, the request and the responsive documentation shall be retained by the authorized department for the period specified below:

• IWU is a named defendant - six (6) years after the conclusion of the case, including all appeals;

• IWU is just a garnishee defendant – six (6) months after the end of the garnishment;

• IWU is a non-party - one year after compliance.

NOTE: Retention period for FERPA requests – shall be the greater of the applicable retention period specified in the University’s Document Retention and Destruction Policy for the documents produced in compliance with the legal request. The request and responsive documents shall be kept with the students records. [Pursuant to 34 CFR 99.32(a) (2)]

2. Authorized Departments responsible for retaining requests

• Request in suits wherein IWU is a named (non-garnishee) defendant – University Counsel

• Requests in suits wherein IWU is merely a garnishee defendant – HR

• Non-party requests - responding departments

• FERPA requests (regardless of which of the above-three categories it falls into) A duplicate copy of all FERPA requests along with the responsive documents will be kept by Record’s Office or IWU-National & Global Office of Student Services.

Except as noted above, University Counsel will not keep a duplicate and will transfer the original of the request to the Record’s Office, IWU-National & Global Office of Student Services, Human Resources or authorized department and shred any other copy they have.

This policy does not address arrest warrants, search warrants or subpoenas for individuals requiring testimony or compliance in law enforcement investigations. Such subpoenas/warrants may be served on the individual. Those circumstances are covered by IWU’s “Policies and Procedures for Responding to Government Investigations”.