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Responding to an Arizona Behavioral Health Board Subpoena | Health Provider

Should you respond to a medical records subpoena from the Arizona Board of Behavioral Health Examiners? So, if you’ve received a subpoena from the Board of Behavioral Health, it’s very likely you are either a licensee of that board or a facility that employs licensees of that board. Let’s just say it’s a patient complaint. Someone files a complaint against an LPC with the board. Well, the board will then look at the complaint, determine who the licensee is that they’re complaining about, figure out where they work, and then they’re going to send a subpoena for the medical records for that patient, along with likely a request for the employment file of the LPC as well.

Responding as a Licensed Health Care Provider

And so, depending upon whether the LPC is self-employed or perhaps works for another company, that’s going to depend on who needs to respond. If an LPC has its own practice, they get a request for a medical record via subpoena from the board, then they must respond. There’s just no way around it. The boards do have subpoena power through the Arizona Revised Statutes. And it states that any healthcare regulatory board does have the subpoena power to ask for medical records. So, if it was sent to an LPC, substance abuse counselor, marriage and family therapist, or social worker, they’re going to need to respond and send the medical records back to the board for review. If they refuse to or ignore the subpoena in some way, that could potentially be grounds for disciplinary action for failing to comply with an investigation.

Responding as a Health Care Facility

And since you are licensed by the board that’s asking for those documents, it doesn’t make a lot of sense to antagonize them. So, that’s the first thing. Now, if you’re a facility, that’s a little different. As I said before, the board does have subpoena power, so if they ask for the record, they should get it. But there are plenty of facilities that simply ignore these types of subpoenas. What will happen to a facility if they do ignore the subpoena? Well, most of the boards, at least in my experience, and we’ve represented well over a thousand professionals before all the boards here in Arizona, will send out an initial request. If it’s not responded to within a certain time, they’ll send a second request. If it’s not responded to within a certain period, they’ll send out a third request, and then usually, after that third request, if they’ve been unable to get the records, they’ll just move on with the investigation without the records.

Theoretically, a board could potentially go to a court and try to get order to compel the production of those documents from a facility. But I’ve never seen a board do that. I would think it would probably take an extraordinary set of circumstances. Whereas if it was probably a high-profile case, the medical records were necessary, and the facility involved was just completely ignoring the subpoena request, that probably would be the only scenario where a board would take it further than just setting out subpoenas and moving on if they don’t get them. But it’s very unlikely there’s going to be any monetary penalty or anything like that or contempt issue.

Response Ethics to a Board of Behavioral Health Subpoena

Now, why would a facility not submit the records to the board? Well, obviously, if one of their employees screwed up in some way and it would make the facility look bad, that is a normal reason why a facility would not want to submit the records for review to a board. Maybe if the board is requesting more than the medical records, so as I said before, an employment file, that’s a gray area of whether a board can compel the production of that or not. An employment file would be the applications, certifications, any disciplinary action against the licensed professional, and that type of thing. The medical records statute obviously just pertains to medical records, which is what I’m talking about today. But they don’t normally just request medical records. They want any documents associated with a complaint, and sometimes facilities are weary of setting those as well. So, in summary, yes, the Board of Behavioral Health absolutely has subpoena power for medical records. Whether you need to respond or not, depends upon your situation. If you’re licensed by that board, you absolutely need to respond. If you’re a facility, probably a little bit of a gray area.

Who Can be Served a Subpoena by an Arizona Licensing Board?

In Arizona, the Arizona Licensing Board has the absolute authority to analyze and investigate various medical claims reported by patients consistently. The Arizona Licensing Board aims to ensure that all the medical professionals operating in the state pay attention to the codes of ethics governing how the industry works.

Usually, a complaint has to be served to the board before it can commence investigations. Also, the board must determine whether it has the necessary jurisdiction to investigate a claim before it can request the required medical records. Suppose the Arizona Licensing Board determines it has the necessary jurisdiction. In that case, it will subpoena all the medical records needed for investigations. Some of the areas where the Arizona Licensing Board has jurisdiction include:

  • Pharmacists
  • Nurses
  • Physicians
  • Psychiatrists
  • Psychologists
  • Behavioral experts

General HIPAA requirements for subpoenas

  • Signature verification. A subpoena will only have a force of law if it is signed by a registered legal practitioner; Court subpoenas have to be signed by judges. Court-order subpoenas have a higher jaw force, and they cannot be objected to.
  • Subpoenas have to be specific. While seeking medical record information, the subpoena has to request specific information. The requirement is so that there is a minimal release of records to fulfill a subpoena.
  • HIPAA requires that the patient is given sufficient notice. There is a minimum Necessary Standard outlined in the privacy rule. The patient can therefore decline a subpoena but not a court order.

Contact Arizona Defense Attorney Chelle Law

Over the years, medical practitioners have been subjected to extreme scrutiny by the Health Professional Regulatory Board (32-3201). Most of them don’t know how they can respond, especially when subjected to medical records requests through subpoenas.

As a physician working in Arizona, you must work with an experienced Arizona defense attorney. It’s the only way you’ll be able to protect your rights and ensure that medical records are not used to subject you and your career to unfair treatment.

At Chelle Law, we have experienced defense attorneys ready to listen to your concerns. 

Call Us Now: 602.344.9865

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2023-06-08
Very professional, courteous, quick response, and a Positive outcome with the Board of Nursing. Case dismissed!!! I am glad I contacted Chelle Law. I highly recommend Chelle Law, thank you, Katrina and the entire team. A special thank you to Mr Robert.
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Linda Stover
2023-06-07
Excellent service - fully recommended!!
Psychic Medium
Psychic Medium
2023-06-06
I cannot say enough amazing things about this team! I came in for some clarification on my documents for an application process. I left knowing exactly what I needed to do & feel SO MUCH better about it all. It really pays to have professionals like these help guide you. Also their YouTube videos are incredibly helpful! 10/10
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Elani Dodd
2023-06-04
I found Chelle Law when looking for a team to review my contract for a nurse practitioner job. I highly recommend the team. The office was quick to answer questions and respond to my emails. Scheduling & payment was simple and straightforward. The hour-long phone meeting with Erin was extremely helpful. Worth the cost. Having someone who understood the legal terms and could clearly help me understand the contract was refreshing. I appreciated her willingness to compare each section against industry norms and make recommendations for negotiations. The post call summary was promptly sent and most helpful - worded in first person to improve my negotiations with my employer.
Gary Miyasaki
Gary Miyasaki
2023-06-03
I had detailed questions about my physician contract. I found Chelle Law through YouTube and realized their team would help me best. Erin was very thorough, patient, and helped answer all my questions. I felt confident about my options after being consulted. Would highly recommend!
vladymir gratia
vladymir gratia
2023-06-03
They reached out back to me fairly quickly and they walked me through the process step by step supplying clear explanations along the way and providing sound advice throughout the entire process. Thank you.
Esmeralda Jonko
Esmeralda Jonko
2023-06-02
Chelle law certainly deserves 5 stars. Working with Katie and Erin was suchba flawless process. Erin did a wonderful job explaining my contract review and Katie explained the entire process to me. Everyone responded to me in a timely fashion. Working with Chelle law was worth every penny. Thank you!
Christine Fernandez
Christine Fernandez
2023-06-01
Great service! Will definitely use them again.
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Stacy Lusher
2023-05-25
Amazing All around. They stay on top of everything and keep you updated 100% of the time.
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manjusha k
2023-05-17
Great experience with Renne Osipov.Reviewed entire contract in detail.Very professional.

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