For some, a jury summons might be the only instance where something comes in the mail from a court or relating to a legal proceeding. But if you are a business owner, medical provider, pharmacist, or simply an individual working in the healthcare or life sciences space, you may open the mail one day and find a subpoena from the Office of Inspector General (“OIG”) or a Civil Investigative Demand (“CID”). This website provides some guidance on what these documents are, what they mean, and what you should do if you receive an OIG subpoena.
What is an OIG Subpoena?
An OIG subpoena is a document from the OIG that commands the recipient to provide information or documents. A subpoena for documents or testimony is exactly that – a demand for the recipient to produce documents in its possession or a request for the recipient to appear in person to give oral testimony. A subpoena for documents or testimony may relate to either a civil or criminal case. A Grand Jury subpoena is issued by the Grand Jury to assist with an investigation into a criminal matter and usually means that you or someone you know is the target of the investigation. This subpoena can also seek the production of documents or live testimony before the Grand Jury.
A CID is like a subpoena in that it is a tool used by Federal agencies to obtain documents or information relevant to that agency’s investigation. A CID is used in a civil investigation, whereas a subpoena could be issued in either civil or criminal matters. The Department of Justice, Federal Trade Commission, and State Offices of Inspector General are a few entities that issue CIDs.
How Do You Respond To An OIG Subpoena?
A subpoena or CID might not mean you committed or are culpable of any wrongdoing. It could just be that you are a witness with information relevant to an investigation or other legal proceeding. It could, however, also mean that you or your business are the target of an investigation, which carries significant civil and/or criminal implications.
The first step in responding to an OIG subpoena would be to engage legal counsel. An attorney more than likely issued the subpoena or CID, and any response should be handled by an attorney. Other considerations include:
Only provide what is asked and what is legally required.
- Act immediately and do not ignore it. The failure to comply with the subpoena’s command could result in a finding of contempt, legal sanctions, or other negative consequences.
- Note the timing and deadlines. The last thing you would want is to miss a deadline or appearance due to oversight.
- Make note of the service and how it was performed. Lack of proper service is a potential ground to object to the subpoena’s command.
- Note the scope of the subpoena or CID and make sure that responsive documents are preserved and not destroyed.
- Only provide what is asked and what is legally required.
Goals of Defending OIG Subpoenas
The goals of defending an OIG subpoena depend on the recipient. Regardless of who or what the recipient of the subpoena may be, it is important to speak to or have a “meet and confer” with the OIG to gather information about the case or investigation. If the subpoena was issued by the Grand Jury or if related to a criminal investigation or matter, then it is also important to inquire about the recipient’s role in the investigation. An attorney will likely be able to learn whether the recipient is a target, subject, or witness of the investigation. If it is clear that the subpoena is issued to a witness, then the goal might be to cooperate and assist if possible.
- Other potential goals may include:
- Extending the subpoena’s deadlines and/or working out an agreement to produce documents on a timeline or rolling basis.
- Negotiating or limiting the scope of the subpoena to ease the burden or expense of complying with the request.
- Filing a motion to quash or a motion for a protective order on the recipient’s behalf to preserve any privilege or lodge an objection to the scope of the subpoena.
What Documents Are Requested in OIG Subpoenas?
OIG subpoenas generally seek documents that are business records in the possession and control of the recipient. The subpoena will often include a certification that the documents provided are business records. Records should not be created in order to have something to send to the OIG.
What Happens If I Do Not Respond?
As noted above, failure to properly respond to a subpoena may result in adverse legal consequences and the imposition of sanctions by the court. An attorney will ensure that you have satisfied the legal obligations imposed by the subpoena or CID.
Contact Frier Levitt Today
Frier Levitt is a national boutique healthcare law firm that is unlike most other firms in the country. Our firm has more than fifty attorneys who have experience handling subpoenas, especially in the healthcare and life sciences space, some of whom are alumni from the Department of Justice and State Attorney General’s Offices. In addition, the firm has a regulatory department and employs clinician and pharmacist attorneys who assist with understanding the regulations and clinical practices that may underlie a government investigation.