request for records
NaeNae55
3,243 Posts
I just received a request for records from RecordTrak. I have received requests from lawyers before, and have always complied. This looks different. It was faxed, and says it is 6 pages long. I only got half (3 pages), but what I did receive is weird.
1) The fax says "Attached is an authorization requiring you to furnish RecordTrak with the following materials on or before March 30, 2007." I guess the authorization is on one of the pages I didn't get. Before I call and ask for it though, I want to know if they can actually 'require' me to do anything.
2) The employee worked here 2002-03 (though the page says she worked here 2001). They want all personnel records, health records (I assume they mean any fmla or ada records I might have), work comp records and disability records.
3) Page 3 has 2 sections of certification. I have to sign and date it under penalty of perjury. I have never had to do that with an attorney's request.
It also says I am to notify them first with a page count and pricing for approval BEFORE copying and invoicing. The records are stored off-site and will cost almost $30 just to get them here and taken back. (I suspect that will put them off.)
I am extra suspicious because of the employee involved. The employee was terminated for failure to either return to work or provide more fmla documentation. I fought her unemployment claim too (we both won, she got unemployment, but it wasn't charged against us).
Tricky, tricky. Please help. What would you do?
Nae
1) The fax says "Attached is an authorization requiring you to furnish RecordTrak with the following materials on or before March 30, 2007." I guess the authorization is on one of the pages I didn't get. Before I call and ask for it though, I want to know if they can actually 'require' me to do anything.
2) The employee worked here 2002-03 (though the page says she worked here 2001). They want all personnel records, health records (I assume they mean any fmla or ada records I might have), work comp records and disability records.
3) Page 3 has 2 sections of certification. I have to sign and date it under penalty of perjury. I have never had to do that with an attorney's request.
It also says I am to notify them first with a page count and pricing for approval BEFORE copying and invoicing. The records are stored off-site and will cost almost $30 just to get them here and taken back. (I suspect that will put them off.)
I am extra suspicious because of the employee involved. The employee was terminated for failure to either return to work or provide more fmla documentation. I fought her unemployment claim too (we both won, she got unemployment, but it wasn't charged against us).
Tricky, tricky. Please help. What would you do?
Nae
Comments
I came to HR from law, but since local rules vary so much city to city, much less state to state, you'll need to check with local counsel.
Many lawyers contract out with a document retrieval service when they request documents. These are perfectly legal if used in the context of a court proceeding, therefore, make sure you receive a copy of the document subpoena.
The certification is pretty standard - as custodian of records, they want someone to state that they have a full and accurate record.
If you've got a signed, valid document subpoena, you're legally bound to comply. Look for another document attached to the subpoena stating that RecordTrak is acting as document retrieval agent for Law Firm XYZ representing Ex-Employee Jones.
HOWEVER
It seems a little fishy to me that this document request even got to your desk - after all, if they were going to sue anyone, wouldn't they be suing your company, and you'd already know about this? Many ex-employees will go to a lawyer, who will start looking for dirt. Lawyers (and even outside organizations they contract with) are free to request documents from you for the sole purpose of seeing if they have a case. Most people will comply with the requests, although they are not legally bound to do so.
If you think the EE in question is likely to be shopping for lawyers, I would follow your normal operating procedure for document requests made by ex employees.
Until you see a signed subpoena....you are not required to do anything.
Hope this helps!
Sarah
I will call the number on the fax and explain that I didn't get all the pages, make sure it actually is a subpoena, and tell them I will need the money to retrieve from our off-site storage up front. We'll see how they respond.
Nae
I don't know who pointed it out, but this should not be the first notice you get about a legal procedure.
Here's a great analogy - in a let's say you're suing your former employer over an injury that occured at work. You are going to subpoena the medical records from the hospital you were treated at, but they are not a named party in the proceeding.
Bottom line is that I wouldn't respond unless you have a subpoena.
1. Reasons for their prior request.
2. A list of all companies/agencies (and contact info) that have responded to their requests in the previous 12 months.
3. Copies of all documentation provided them from situations/conditions similar to those of your ex-EE.
I'm sure they will respond promptly.
These people are really annoying, aren't they?
I got a fat envelope in the mail today. Here is what was in it:
1) A cover letter telling me what records they want (everything). A small statement at the end says "Plaintiff employed 2001." (I assume they are referring to our employee, even though she didn't start until 1/2/02.) A 2 inch high section on the bottom tells me in all caps that responses will not be accepted without completed and signed certifications.
2) Certification of custodian of records.
3) 1-1/2 pages of authorization of release of all records followed by another short page where the employee actually signed the release.
4) Some kind of legal form letter from the defendant's attorney to the plaintiff's attorney (located in Pennsylvania). It appears to be a notice by RecordTrak of intent to serve a subpoena to produce documents. We are not listed on this document anywhere, and neither is the employee's name. It looks like an individual (Plaintiff)has initiated the suit against a business, but I couldn't get the name to come up on the web...just an address list (all from Pennsylvania).
5) HIPAA compliance statement. It says it is in the matter of the lawsuit, but then says RE: and then lists a new name, a physical therapy and rehap center. The center, like the plaintiff's lawyer, is located in Pennsylvania. It says notice of a request for protected medical information was given to the plaintiff's attorney.
6) Some kind of fax sheet that doesn't really say anything, but does have our name and the name of our employee on it.
I suspect these people are really mixed up, or they are trying to bamboozle me. I will run it by my boss, but I am thinking we will not respond. Or if we do, it will be to tell them if they will send us the cost of retriving the files and a subpoena we will tell them the cost of copying the files, which they can then pay before we send them anything.
Anyone think I ought to just proceed and send them the files?
Nae