LEGAL-REGISTERED AGENT; AGENT OF RECORD

Transcription

1 FINANCIAL OPERATIONS POLICIES AND PROCEDURES DEPARTMENT: RISK MANAGEMENT BSL-090 LEGAL-REGISTERED AGENT; AGENT OF RECORD PURPOSE This policy identifies the person who is authorized to act as the registered agent (the Registered Agent ) for the University of Miami (the University ) and sets forth the specific procedures University employees must follow regarding the service of legal documents (summons, lawsuits, subpoenas, etc.) from a third party (the Legal Documents ). Legal Documents do not include student, patient and/or attorney letter requests. See the FAQ section below regarding how to handle demand letters, letter requests from government agencies, letter requests for educational records and letter requests for medical records (letters from a patient or a patient s attorney requesting medical records). UNIVERSITY POLICY University employees, faculty, and students are NOT authorized to accept service of process of Legal Documents on behalf of the University, its officers, affiliates, trustees, faculty, students, departments, schools, employees, or physicians. A University employee may ONLY accept service of process that personally names the employee, but the employee should immediately contact the Office of the General Counsel for further guidance. The University does not accept mail (with limited exception), , or facsimile service of Legal Documents. The University prefers that all subpoenas be served upon the registered agent; however, in accordance with the rules of the court, mail or commercial delivery for records only will be accepted and processed. The University will not release information to any third party without proper service of the appropriately issued subpoena or court order. There is only one agent at the University authorized to accept service of process of Legal Documents on behalf of the University: Andrea E. Orange, Registered Agent 1200 Gables One Tower 1320 S. Dixie Highway Coral Gables, Florida Page 1 of 7

2 Process servers seeking to make service upon the University of any Legal Documents, for example: [summons, complaints, lawsuits, subpoenas for depositions, subpoenas for personnel files, student and business records, wage garnishments, foreclosure actions, bankruptcy notices], must be directed to the Registered Agent at the address provided above. See the FAQ section below regarding how to handle demand letters, letter requests from government agencies, letter requests for educational records and letter requests for medical records (letters from a patient or a patient s attorney requesting medical records). RESPONSIBLE DEPARTMENT The Registered Agent will coordinate all service of process and receipt of Legal Documents with the Office of General Counsel. The Office of the Registered Agent shall log in all Legal Documents properly served upon the Registered Agent and forward them to the Office of General Counsel within twenty-four (24) hours of receipt. The Office of General Counsel will then work with the appropriate department(s) to respond to the subpoena in addition to checking the subpoena for HIPAA and FERPA Compliance. FREQUENTLY ASKED QUESTIONS Q. What should I do if a process server shows up at my office and tries to serve me with Legal Documents? A. If the Legal Document is addressed to you personally, you must accept service, immediately contact the Office of General Counsel by telephone ( ) and obtain Counsel s instructions before taking any action, producing any documents or making contact with the attorney that issued the subpoena. If the Legal Document is directed to the University, do not accept it, and refer the process server to the University s registered agent: Andrea E. Orange Registered Agent 1200 Gables One Tower 1320 S. Dixie Highway Coral Gables, Florida Q. What if the process server refuses to properly serve the Registered Agent, leaves my office and/or asks for my name? A. Immediately call your supervisor or the Office of General Counsel. Under no circumstances should a process server effectuate improper service on an employee. Do not provide your name to the process server. Page 2 of 7

3 Q. What if the process server just drops the Legal Document on my desk and leaves? A. Call the Office of General Counsel immediately to make arrangements to forward the document(s). Q. What if a subpoena or other Legal Document is inadvertently accepted by me or another employee in my office? A. If a Legal Document is inadvertently accepted, the recipient must immediately notify by telephone ( ) and the Office of General Counsel. The Office of General Counsel will advise if the recipient should hand deliver or otherwise send the Legal Document(s) served to the Office of General Counsel. Q. What if I am personally served with a subpoena addressed to me concerning the University? A. If you are served with a subpoena (naming you personally) concerning the University, either requesting the production of University records or your appearance at a deposition, or both, you must accept service and immediately contact the Office of General Counsel by telephone ( ) and obtain Counsel s instructions before taking any action, producing any documents or making contact with the attorney that issued the subpoena. Q. What should I do if I receive a Chapter 766, Florida Statutes, Notice seeking information within a certain deadline/time-frame (this includes any attorney letter request referencing Fla. Stat )? A. The Notice/request should be sent to the medical records department for your facility/department and a copy of the request should also be faxed to Medical Risk Management ( ). The Authorization Checklist will assist you in determining whether a request is HIPAA compliant. If you have any questions or concerns regarding HIPAA compliance, please call the Office of HIPAA Privacy and Security ( ). All fulfilled requests should be forwarded to the Office of HIPAA Privacy and Security for scanning into the central repository. Q. Does the University require a properly served subpoena for the release of patient information? A. The University of Miami complies with HIPAA, and all state and federal laws, rules, regulations, regarding patient confidentiality and disclosure of patient records. This includes all statutory notices and requests for patient records. Therefore, process servers seeking to make service upon the University with subpoenas for deposition or for MEDICAL records or information, including doctors notes, patient information, and any other type of medical information Page 3 of 7

4 must also be referred to the Registered Agent. This does not include patient and/or attorney letter requests. See this FAQ section regarding how to handle demand letters, letter requests from government agencies, and letter requests from patients for their medical records. Q. Does the University require a subpoena for student transcripts and student records? A. The Registrar s Office routinely responds to valid letter requests from current and former students seeking copies of their transcripts. All other requests however, must be made through a subpoena. The University complies with the Family Educational Rights and Privacy Act (FERPA), in connection with the disclosure of student s records. For more information please see rpa/ Q. What should our office do if we receive a charge/complaint or request for information from the Equal Employment Opportunity Commission (EEOC), the Florida Commission on Human Rights or the Miami Dade Equal Opportunity Board? Who should I contact? A. Contact the Equality Administration Office immediately. Q. Our office received an inquiry regarding a charge/complaint or request for information or notification of an audit from the Department of Health and Human Services (HHS). Who should I contact? A. Contact the Office of HIPAA Privacy and Security immediately ( ). Q. Will the University accept Legal Documents on behalf of employees regarding PERSONAL matters unrelated to the University? A. The University will NOT accept service when an individual employee is named in a personal, non-university-related legal action. If a process server contacts the University to serve an employee personally in a non-university related legal action, then the University shall permit the process server to make service on the employee in a private area designated by the University. See Fla. Stat (b). The University, however, has no obligation to force an employee to accept personal service of process. Personal information regarding employees (e.g., home or work addresses, work, home, or cell phone numbers or any other identifying information) will NOT be provided to the process server Page 4 of 7

5 without a court order. In the case of non-university related matters, the employee should seek the advice of his/her own attorney. Q. I received a letter demanding payment from or threatening legal action against the University. What department should I notify? A. Upon receipt of such a letter, the recipient should immediately call the Office of General Counsel ( ) and either fax ( ) or send by courier the original letter or demand to the Office of General Counsel. Q. What should I do if I receive a letter request from a patient or a patient s attorney requesting medical records? A. When a department receives a request for medical records from a patient or patient s attorney (that is not a subpoena), the request should be sent to the medical records department for your facility or to the departmental medical records custodian to respond to the request. All such requests should be HIPAA compliant. Please consult the Authorization Checklist to determine if the request received is compliant. For any additional questions, contact the Office of HIPAA Privacy and Security ( ). Q. What should I do if I receive a Subpoena by MAIL or letter request from a Government Agency? A. The University of Miami cooperates with all local, state and federal law enforcement agencies. Anyone presented with or having received via standard U.S. mail a subpoena from a government agency (e.g., State or U.S. Attorney s Office) should immediately contact the Office of General Counsel. Q. What should I do if I receive a Subpoena by MAIL for records only WITHOUT deposition or appearance at trial? A. When a department receives a request for records in the form of a subpoena by mail, the recipient should immediately scan by to riskmanagement@miami.edu or send by courier the original subpoena to the Registered Agent. Q. How are writs of garnishment, court ordered child support, and tax levies handled? A. The Payroll Office will make every attempt to notify an employee when a notice of an IRS levy or child support order is received. Consumer garnishments are handled by the Office of the General Counsel which directs the Payroll Office to withhold from the employee s pay as appropriate. Employees should contact the IRS or their attorney for further advice or information. Page 5 of 7

6 Q. What should I do if an officer or agent has a Search Warrant or agency investigatory request? A. Employees approached by law enforcement officers (state or federal) seeking witness testimony, records, or other University information should immediately contact the Office of General Counsel. If an employee is presented with a search warrant by a police officer or other government official they should immediately contact the Office of General Counsel. Any questions regarding this Policy should be directed to the Office of General Counsel. DEFINITIONS FOR THIS SECTION Subpoena- A legal document requiring a specific person to appear and testify in court as a witness. Subpoena Duces Tecum- (Production of Records) A legal document requiring a specific person or a custodian of records or his/her designee to produce, at the specified time and place, any documents or records identified in the subpoena that are in his/her custody or control. It may also require the person to accompany the records and appear as a witness. Subpoena Duces Tecum Without Deposition-A party may seek inspection and copying of any documents or things from a person or entity that is not a party by issuance of a subpoena directing the production of the documents or things when the requesting party does not seek to depose the custodian or other person in possession of the documents or things. Subpoenas for Personal Appearance and Testimony- A legal document which requires the subpoenaed person to testify in a civil or criminal action or administrative proceeding. Summons and Complaint- The first notice and initial pleading on the part of a person bringing legal action in a civil court action. A written response must normally be made within 20 days (or a shorter period of time for certain types of actions), unless an extension of time is mutually agreed upon by the parties involved. Failure to respond may result in a default judgment being entered. Custodian of Records- The person who is in charge of or who has custody of documents, papers, records or other property of the University. Search Warrant- A court order, in the name of the State of Florida or other governmental agencies, signed by a judge, magistrate, directed to a peace Page 6 of 7

7 officer, commanding him or her to search for a person or persons, a thing or things, or personal property. Updated: January 12, 2012 Page 7 of 7