Section / Risk Management / Policy number / 2-J
Topic / Responding to legal actions / Last Review Date / 06/19/16
CARF Standards / 1.E.2 / Last Revision Date / 02/19/14
Purpose / To ensure compliance with requirements of legal actions, such as subpoenas, search warrants, and investigations

1.Accepting subpoenas

  1. Subpoenas should be served at the office location in which the records are maintained.
  2. Any office staff present may sign for a subpoena.
  3. Supoenas are delivered immediately to the Program Manager.
  4. The Program Manager calls the lawyer issuing the subpoena to determine the issue to be resolved in the hearing. If Adapt staff testimony will not assist in this decision, the lawyer may excuse the staff from appearing.
  5. The Program Manager determines action needed, based on the type of subpoena.
  6. For subpoenas requiring staff appearance in court, the Program Manager notifies the staff named in the subpoena about the upcoming hearing and gives the staff a copy of the subpoena with instructions to contact the Clinical Director for training regarding court appearances.
  7. For subpoenas requiring copies of records, the Program Managerresponds in one of two ways:

1)If unclear how the records release will benefit client, the Program Manager contacts the lawyer issuing the subpoena to determine what specific information/contentis needed from the record. If still unclear (i.e. “fishing” for information), the Program Manager informs the lawyer that a court order is required to release the records.

2)If it is clear how the records will benefit the client, the Program Manager submits the request to the Records Clerk, who makes a copy of the records required. This copy is either given to the staff who will be appearing in court or, if the subpoena is for records only, mails the copy to the lawyer. This release of records is recorded on the Records Release Log.

2.Investigations

  1. When a Department of Children & Families Protective Investigator calls to gather information related to a current investigation, no consent to release information is required.
  2. If the DCF investigator requests records, copies are made and their release is documented on the Records Release Log.

3.Search Warrants

  1. When presented with a search warrant by police, the staff present request to see the warrant and make a copy for agency records.
  2. The staff present contacts the Executive Director immediately.
  3. The staff present check to ensure that the warrant is signed by a judge.
  4. The staff present check the warrant to ensure the search area is specified.
  5. If the police seize any evidence, the staff present request a receipt for the items seized

4.Records requests from lawyers

  1. When a records request is received from a lawyer or law firm, the Records Clerk contacts the lawyer to explain the policy of the agency, which is that a subpoena is required to release records to a lawyer or law firm.
  2. This contact is documented in a note on the records request.

5.Lawsuit filed against the agency or staff

  1. When notification is received that legal action has been filed against the agency or its staff, the staff receiving the notification immediately contacts and forwards the notification to the Executive Director
  2. The Executive Director seeks legal advice to determine the course of action to best protect the agency.

1.E.2.a / The organization implements written procedures to guide personnel in responding to subpoenas / Legal Action
1.E.2.b / The organization implements written procedures to guide personnel in responding to search warrants / Legal Action
1.E.2.c / The organization implements written procedures to guide personnel in responding to investigations / Legal Action
1.E.2.d / The organization implements written procedures to guide personnel in responding to other legal action / Legal Action

Risk Management – Responding to Legal Actions