Medical Practices and Professional Firms: What to Do in the First 30 Days After Receiving a Subpoena or Licensing Inquiry

Receiving a subpoena or licensing inquiry can pose significant risks for all types of licensed professionals. If you have received a subpoena or licensing inquiry, understanding the specific risks involved is critical, and you will need to quickly get to work building an informed, comprehensive and cohesive defense strategy.

Doctors, accountants, attorneys and other licensed professionals face legal risks in all aspects of their practices. Allegations of malpractice and other forms of negligence can create substantial liability exposure; and, in many cases, they can lead to professional disciplinary action as well.

When facing potential liability or disciplinary action, a proactive approach is key. Upon receiving a subpoena or licensing inquiry, it is important to start building a defense strategy right away. While targeted professionals may have a variety of defenses available, avoiding unnecessary consequences requires an informed, comprehensive and cohesive defense that is custom-tailored to the specific circumstances at hand.

What Should Licensed Professionals Do After Receiving a Subpoena or Licensing Inquiry?

In light of the risks involved in facing a malpractice lawsuit or professional disciplinary action, licensed professionals who have received a subpoena or licensing inquiry need to prioritize their defense. Here are some important steps to take promptly in this scenario:

1. Make Note of All Deadlines

A key first step is to make note of all deadlines specified in the subpoena or licensing inquiry. Regardless of the veracity of the allegations at issue, submitting a timely and appropriate response will be critical for protecting your rights and preserving your ability to execute an effective defense strategy going forward. Once you know the initial deadline you need to meet, then you can work backwards to develop a plan focused on not only meeting your obligation to respond, but also setting the stage for the next steps in the process.  

2. Implement a Legal Hold

When facing any type of legal action as a licensed professional, it is important to promptly implement a legal hold. This involves taking the steps necessary to ensure that all relevant documents will remain available throughout the litigation or professional disciplinary proceeding.

Implementing a legal hold is a multi-step process, and it is critical to ensure that all relevant hardcopy and electronic records (including electronic communications) are properly preserved. Depending on the circumstances, necessary steps may include contacting your practice’s document shredding vendor to suspend its contract, suspending your practice’s automated electronic record deletion protocols, and informing internal personnel that they should not delete or destroy any potentially relevant records, among others.

3. Gather All Relevant Records

Along with preserving all potentially relevant records, it will be important to promptly begin identifying and gathering all potentially relevant records as well. Conducting a comprehensive risk assessment (more on this below) requires a clear and comprehensive understanding of the facts at hand—and gaining this understanding starts with reviewing all relevant records.

In a typical case, relevant records will include internal communications, external communications, client or patient records, and various other forms of documentation. At this early stage, it is critical not to overlook any potentially relevant documents, as doing so could lead to uninformed decision-making.

4. Assess the Risks At Hand

Subpoenas and licensing inquiries can pose a wide range of risks. As you move forward, it will be critical to ensure that you are making informed decisions based on a clear understanding of the risks at hand.

Understanding the risks at hand involves conducting a comprehensive risk assessment. Working alongside your legal counsel, you will need to identify and evaluate all potential risks—whether they are financial or disciplinary in nature. Once you know what is at stake and you have an accurate understanding of the likelihood of the various potential outcomes, then you can make informed and confident decisions about your next steps.

5. Strategize and Formulate the Initial Response

After assessing your risk, you can shift your focus to building your defense strategy and formulating your initial response. These go hand-in-hand, as the substance and tone of your initial response will establish your posture in the proceedings and set the stage for what is to come. Once you have submitted your initial response, you will then need to work with your legal counsel to prepare for the next steps in the process. These steps will vary depending on the nature of the proceeding, the veracity of the allegations at issue, the specific risks you are facing and other factors.

FAQs: Responding to a Subpoena or Licensing Inquiry as a Licensed Professional

What should I do if I received a subpoena or licensing inquiry as a licensed professional?

If you have received a subpoena or licensing inquiry as a licensed professional, you need to prioritize your defense. You must be careful to avoid doing anything that could lead to unnecessary issues (i.e., deleting potentially relevant files), and you must promptly begin preparing to submit a timely and appropriate response.

What if I dispute the allegations underlying the subpoena or licensing inquiry?

Even if you dispute the allegations against you, you still need to respond in a timely and appropriate manner. If you don’t, you could lose the ability to defend yourself in court or before your professional licensing board.

When should I engage legal counsel?

We strongly recommend engaging legal counsel as soon as you receive a subpoena or licensing inquiry. In this scenario, there are both steps you need to take and mistakes you need to avoid, and experienced legal counsel will be able to guide you step-by-step through the process.

Contact the Professional Liability Attorneys at Rendigs

Our firm has extensive experience representing professional clients in malpractice litigation and disciplinary matters. If you have received a subpoena or licensing inquiry, the professional liability attorneys at our firm can help protect you and your practice by all means available. For more information, call us at 513-381-9200 or tell us how we can reach you online today.