Law Enforcement Protocols

To provide law enforcement protocols for employees to follow in the event that law enforcement arrives at their workplace seeking information about or access to a patient.

If law enforcement, shows up at your workplace seeking information about or access to a patient, follow these steps to ensure compliance with the law while protecting patient rights:

1.   Stay Calm & Follow Protocol

• Do not panic or act hastily. Inform the law enforcement personnel you are notifying a staff person who can assist and someone will be with them shortly.

• Notify your Clinic Manager or Supervisor. If at the District Office, notify the Deputy Director of Health.  If they are not available, notify a Director.

2.  Verify Their Identity & Purpose

• The Clinic Manager or Supervisor or Deputy Director of Health or Director, should request identification (badge and credentials) and the reason for their visit.

• Ask if they have a warrant signed by a judge.

3.  Determine If They Have a Valid Warrant

• An Administrative Warrant: This does not authorize law enforcement to enter non-public areas or obtain protected health information (PHI). It would be at the discretion of the agency representative to determine access granted to the facility.

• Judicial Warrant (signed by a judge): This may authorize them to enter non-public areas or access records, but legal review is still advised.

• Clinic Manager or Supervisor contact the Deputy Director of Health.  If they are not available, contact your Director.

• Staff should professionally and calmly tell the agent that they are not authorized to provide the agent with information or access to non-public areas, but that a designated representative has been alerted.

4.  Deputy Director of Health or Designated Representative Steps to Follow:

• Review Documentation:  Review the document to ensure it is valid, signed by a judge or magistrate, bears the address of the premises to be searched, provides a time period in which the warrant may be executed, and describes the scope of a search.

• Contact Legal Representative: If law enforcement presents a warrant or insists on action, notify your workplace’s legal team and provide them with the documentation.

• A law enforcement agent may state that their action is required to avoid imminent harm or risk. The facility designated representative should evaluate the circumstances and balance multiple factors and can decide to cooperate even without a warrant.

5.  Do Not Provide Information Without Legal Review

• Protected Health information (PHI) is protected under HIPAA (Health Insurance Portability and Accountability Act).

• Do not provide PHI without legal review.

6.  Document the Encounter

• Record the name and badge number of the agent in charge.

• Take notes on what was said and done during the encounter.

NKY Health Directors and Managers will discuss protocol for law enforcement with all staff, to ensure encounters are handled accordingly. Training on HIPAA, privacy laws, and workplace rights are conducted for each staff person during new hire orientation and annually.