Subpoena Request and Audits: Avoid Legal and Compliance Mistakes

Event Materials (Key Required)

Have you ever received a subpoena requiring you to send medical records or even a request for a provider to give testimony for a hearing or deposition? Responding to subpoena requests can be stressful and confusing, so providers need to understand their rights in order to protect their staff and patients. There are a wide variety of laws that govern whether providers have to respond and what information they can respond with. This session will help you understand those laws, including HIPAA, 42 CFR Part 2, and state privilege laws as well as a process for answering subpoenas when they come in.

First, this webinar will provide an in-depth overview of the most important confidentiality law: HIPAA. Attendees will learn what PHI is and isn’t, what information HIPAA protects, and its many exceptions. Next, the webinar will educate attendees on Part 2 protections for SUD records, Part 2 court orders, and the differences between HIPAA and Part 2 in practice.

The next section of the webinar will focus on all things subpoenas, including (1) the elements of a valid subpoena, (2) things to look for in a subpoena, and (3) best practices for subpoena compliance. Because subpoenas are commonplace in a wide array of healthcare settings, all types of providers need to feel confident in their ability to adequately respond to a subpoena request. If a provider does not know what information they are legally required to hand over, and what information they are bound to keep confidential, more confidential information will be disclosed than is required by law. Unnecessary disclosure of confidential information harms patients privacy rights, so this information is essential for providers to know and use in practice.

Last, this webinar will run through a variety of scenarios in which confidential information was requested, by subpoena or otherwise. The examples will highlight the do’s and don’ts of subpoena compliance and expose attendees to real-life situations that mirror the situations they may face day-to-day in practice.

Learning Objectives:

• Learn how to comply with both federal and state requirements for requests for confidential information
• Understand what information providers can provide in a definition depending on the provider and treatment in question
• Understand what medical records can be disclosed when requested by a court of law
• Understand when a subpoena request can be denied and how to communicate the denial
• Learn about the most common HIPAA and Part 2 mistakes to avoid when dealing with requests for confidential information

Areas Covered in the Session:

• HIPAA
  • HIPAA – Privacy
  • HIPAA – When to disclose?
  • HIPAA – uses and disclosures for which an authorization is not required (45 CFR 164.512)
  • HIPAA – Psychotherapy Note Exception
  • Psychotherapy Note vs. Progress Note
• Time Out – What is a subpoena?
• Things to look for on the Subpoena
• HIPAA – disclosures for law enforcement purposes, continued (45 CFR 164.512(f))
• 42 CFR Part 2
  • New Part 2 Rules
    • Uses and Disclosures
    • Patient Consent
  • 42 CFR Part 2 vs. HIPAA
  • 42 CFR Part 2 – Statutory Authorizations
  • 42 CFR Part 2 Court Orders
  • 42 CFR Part 2 – Examples
• Why is Part 2 compliance so important?
• When Patients Lack Capacity
  • Adult patients that lack capacity
  • Deceased patients
• State Law Protections
  • Provider/Patient Privileges
  • Provider Privileges Under Ohio Law
  • Standards of Ethical Practice
• Responding to Requests for Information (Subpoenas)
  • Under HIPAA
  • Under42 CFR Part 2
  • Requests for Medical Records
  • Request for PHI about a BH client on parole
  • Request for PHI about a crime committed on the provider’s premises
  • Request for PHI in custody case
  • Request for PHI regarding suspected abuse or neglect
  • Request Denials/Corrections
• Best Practices
  • What must your consent contain?
  • Practice Tip: Redisclosure
  • Answering Subpoenas: Best Practices
  • Draft a Confidentiality Policy
• Live Q&A Session

Suggested Attendees:

• Healthcare CEOs, CFOs and COOs
• Medical Providers and Office Staff
• Patients
• Compliance Officers
• Directors of Compliance
• Billing Staff and Managers
• Practice Managers
• Compliance Attorneys
• Coders and Auditors
• C-Suite
• Physicians
• Practice Managers
• In House Counsel
• Billing Companies
• Clinic Owners
• Chief Quality Officers
• Senior Internal Auditors
• Regulatory/ Risk Officers
• Government Employees
• General Counsel
• Anyone who comes into contact with confidential information and/ or subpoena requests

Presenter Biography:

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This is a Live Virtual session.

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