PROFESSIONAL BOARD SUBPOENA RESPONSE

COVER LETTER - RESPONSE TO INVESTIGATIVE SUBPOENA

Date: [__/__/____]

VIA: ☐ Certified Mail, Return Receipt Requested ☐ Hand Delivery ☐ Email ☐ FedEx/UPS

TO:
[________________________________]
State Board of [________________________________]
Enforcement Division / Office of Investigations
[________________________________]
[________________________________]
[________________________________]

FROM:
Respondent/Licensee Name: [________________________________]
License Number: [________________________________]
License Type: [________________________________]
Address: [________________________________]
City, State, ZIP: [________________________________]
Telephone: [________________________________]
Email: [________________________________]

RE: Response to Subpoena Duces Tecum / Subpoena for Documents
Case/Investigation Number: [________________________________]
Subpoena Date: [__/__/____]
Response Deadline: [__/__/____]

Dear Investigator/Enforcement Officer:

This letter and accompanying documents constitute the response of [________________________________] ("Respondent") to the Subpoena Duces Tecum issued on [__/__/____] in the above-referenced investigation.

☐ Respondent produces all documents responsive to the subpoena as detailed below.

☐ Respondent produces documents responsive to the subpoena, subject to the objections stated herein.

☐ Respondent objects to the subpoena in whole or in part for the reasons stated herein.

☐ Respondent requests a conference to discuss the scope of the subpoena before production.

SECTION 1: SUBPOENA ACKNOWLEDGMENT

Date Subpoena Received: [__/__/____]
Method of Service: ☐ Personal Service ☐ Certified Mail ☐ Regular Mail ☐ Other: [________________________________]
Response Deadline Per Subpoena: [__/__/____]
Response Deadline with Extension (if granted): [__/__/____]

Documents/Testimony Demanded

(List each category of documents or testimony demanded in the subpoena)

SECTION 2: OBJECTIONS TO SUBPOENA

General Objections

Respondent objects to the subpoena to the extent that it:

☐ Exceeds Statutory Authority
The Board lacks authority to demand: [________________________________]
Cite: [________________________________]

☐ Overbreadth
The request is overbroad and seeks documents beyond the scope of the investigation:
[________________________________]
[________________________________]

☐ Undue Burden
Compliance would impose an undue burden because:
[________________________________]
[________________________________]
Estimated hours to compile: [____]
Estimated cost: $[________________________________]

☐ Irrelevance
The requested documents are not relevant to the investigation:
[________________________________]

☐ Vagueness/Ambiguity
The following requests are too vague to permit meaningful response:
[________________________________]

☐ Time Period Excessive
The time period requested ([________________________________]) exceeds the statute of limitations or is otherwise unreasonable.

☐ Privilege (See Specific Privilege Assertions Below)

☐ Confidentiality Protections (See Section 3)

☐ Other: [________________________________]

Specific Objections by Request Number

Request No. [____]:
Request Text: [________________________________]

Objection(s):
☐ Overbroad
☐ Unduly burdensome
☐ Seeks privileged information
☐ Not relevant
☐ Vague/ambiguous
☐ Other: [________________________________]

Specific Grounds:
[________________________________]
[________________________________]
[________________________________]

Response Subject to Objection:
☐ Documents withheld entirely
☐ Documents produced in part
☐ Documents produced with redactions

Request No. [____]:
Request Text: [________________________________]

Objection(s):
☐ Overbroad
☐ Unduly burdensome
☐ Seeks privileged information
☐ Not relevant
☐ Vague/ambiguous
☐ Other: [________________________________]

Specific Grounds:
[________________________________]
[________________________________]
[________________________________]

Response Subject to Objection:
☐ Documents withheld entirely
☐ Documents produced in part
☐ Documents produced with redactions

SECTION 3: PRIVILEGE ASSERTIONS

Attorney-Client Privilege

☐ Documents are being withheld based on attorney-client privilege.

Privilege Log:

Work Product Doctrine

☐ Documents are being withheld based on work product doctrine.

Fifth Amendment (Self-Incrimination)

☐ Respondent asserts the Fifth Amendment privilege against self-incrimination as to:
[________________________________]
[________________________________]

Note: This assertion is made without any admission of wrongdoing.

Other Privileges

☐ Peer Review/Quality Assurance Privilege
State Statute: [________________________________]
Documents Withheld: [________________________________]

☐ Physician-Patient Privilege / Psychotherapist-Patient Privilege
Respondent objects to production of patient records without proper authorization or court order.

☐ HIPAA Protected Information (See Section 4)

☐ Trade Secret / Proprietary Information
The following documents contain trade secrets: [________________________________]

☐ Other Privilege: [________________________________]
Basis: [________________________________]

SECTION 4: HIPAA AND PATIENT PRIVACY CONSIDERATIONS

For Healthcare Licensees

☐ The subpoena demands Protected Health Information (PHI) as defined by HIPAA.

Respondent's Position:

☐ PHI is produced pursuant to Board's investigative authority and HIPAA regulatory exception (45 C.F.R. § 164.512)

☐ PHI is withheld pending patient authorization or court order

☐ PHI is produced in de-identified form

☐ PHI is produced with patient identifiers redacted

Patients Whose Records Are Requested:

Request for Protective Order

☐ Respondent requests that the Board enter a protective order limiting use and disclosure of patient information produced in response to this subpoena.

SECTION 5: DOCUMENTS PRODUCED

Index of Documents Produced

Total Pages Produced: [________________________________]
Format: ☐ Paper ☐ PDF ☐ Native Electronic ☐ Other: [________________________________]

Documents Produced with Redactions

Documents Withheld Entirely

SECTION 6: STATEMENT OF SEARCH

Respondent has conducted a reasonable search for documents responsive to the subpoena.

Locations Searched:

☐ Office files at: [________________________________]
☐ Electronic files/email
☐ Home office
☐ Off-site storage at: [________________________________]
☐ Cloud storage: [________________________________]
☐ Former employee files
☐ Other: [________________________________]

Custodians Searched:
1. [________________________________]
2. [________________________________]
3. [________________________________]

Search Terms Used (for electronic documents):
[________________________________]

Date Range Searched: [__/__/____] to [__/__/____]

Statement:
I have made a diligent search for all documents responsive to the subpoena and have produced all non-privileged, non-objectionable documents located through that search.

SECTION 7: NON-EXISTENCE OF DOCUMENTS

The following requested documents do not exist or are not in Respondent's possession, custody, or control:

Explanation: [________________________________]
[________________________________]

SECTION 8: REQUEST FOR EXTENSION OR CONFERENCE

☐ Request for Extension of Time

Respondent requests an extension of [____] days to fully respond because:
[________________________________]
[________________________________]

☐ Request for Meet and Confer

Respondent requests a conference with the investigator/enforcement counsel to:
☐ Clarify scope of requests
☐ Negotiate reduction in scope
☐ Discuss privilege issues
☐ Other: [________________________________]

Proposed Conference Date(s): [________________________________]
Contact Information: [________________________________]

SECTION 9: MOTION TO QUASH (if applicable)

☐ Respondent intends to file a Motion to Quash this subpoena.

Grounds:
[________________________________]
[________________________________]
[________________________________]

Pending Deadline for Motion: [__/__/____]

☐ Respondent requests that production be stayed pending resolution of the Motion to Quash.

SECTION 10: STATE-SPECIFIC INFORMATION

California

Statutory Authority for Subpoena:
- Business and Professions Code § 11181 (investigation powers)
- Government Code § 11180-11191 (administrative subpoenas)

Objection Procedure:
- File objections with issuing agency
- Motion to quash in Superior Court

Failure to Comply:
- Contempt proceedings
- Independent ground for discipline

Texas

Statutory Authority:
- Texas Government Code § 2001.089
- Individual licensing act provisions

Objection Procedure:
- Negotiate with agency
- Seek protective order from SOAH

Florida

Statutory Authority:
- Florida Statutes § 456.073 (health professions)
- Agency enabling statutes

Objection Procedure:
- Raise objections with agency
- Challenge in DOAH if disputed

New York

Statutory Authority:
- Education Law (regulated professions)
- State Administrative Procedure Act

Objection Procedure:
- Negotiate with agency
- Motion to quash in Supreme Court

SECTION 11: RESERVATION OF RIGHTS

Respondent reserves the right to:

1. Supplement this response if additional responsive documents are located.

2. Assert additional objections or privileges as appropriate.

3. File a Motion to Quash or for Protective Order.

4. Seek judicial review of any adverse ruling on objections.

5. Object to any use of produced documents beyond the scope of this investigation.

6. All other rights and defenses available under law.

This response is made without waiver of any rights or defenses and shall not be construed as an admission of any violation or wrongdoing.

SECTION 12: CERTIFICATION

I, the undersigned, certify under penalty of perjury that:

1. I am the Respondent or authorized representative of the Respondent.

2. I have conducted a diligent search for documents responsive to the subpoena.

3. All documents produced are true and accurate copies of the originals.

4. All statements made in this response are true and correct to the best of my knowledge.

5. No documents have been destroyed, altered, or concealed for the purpose of evading this subpoena.

Respondent Signature: [________________________________]
Printed Name: [________________________________]
Title (if applicable): [________________________________]
Date: [__/__/____]

SECTION 13: ATTORNEY CERTIFICATION (if applicable)

I am counsel for the Respondent. I have reviewed this response and the objections stated herein are made in good faith and are supported by law and fact.

Attorney Signature: [________________________________]
Printed Name: [________________________________]
Bar Number: [________________________________]
Firm: [________________________________]
Address: [________________________________]
Telephone: [________________________________]
Email: [________________________________]
Date: [__/__/____]

Please direct all future communications regarding this matter to counsel.

RESPONSE CHECKLIST

☐ Response filed within deadline
☐ All requests addressed (production, objection, or statement of non-existence)
☐ Privilege log prepared for withheld documents
☐ Bates numbering applied to produced documents
☐ Redactions clearly marked with reason
☐ Search methodology documented
☐ Response signed and dated
☐ Copy retained for records
☐ Sent via verifiable delivery method
☐ Attorney consulted (strongly recommended)

SUBMISSION INSTRUCTIONS

Send Response To:
[________________________________]
[________________________________]
[________________________________]

Reference: Case/Investigation No. [________________________________]

Proof of Delivery: Retain tracking information and delivery confirmation.

CRITICAL WARNING: Failure to respond to a licensing board subpoena can itself be grounds for disciplinary action, including license suspension or revocation. Before responding, objecting, or moving to quash a subpoena, consult immediately with an attorney experienced in professional license defense. Anything you produce may be used in disciplinary proceedings against you. This template provides general guidance only and does not constitute legal advice. Response deadlines are typically short - often 10-30 days.