Sometimes, even those who take an oath to do no harm are accused of making mistakes that result in criminal charges. Last year, prosecutors in Virginia criminally charged a nurse with battering infants in the NICU, a nurse practitioner pled guilty to possessing child pornography, and the Department of Justice charged 193 practitioners for committing healthcare fraud schemes. While each type of criminal allegation brings its own complexities, there are core best practices that healthcare organizations should follow in any scenario. If not handled carefully, the aftermath can create serious reputational risks for both the organization and the practitioner involved.
Here are a few key considerations for healthcare leaders.
Carefully Review Warrants and Administrative Subpoenas
Law enforcement may seek access to documents, records, or devices belonging to a healthcare organization through a warrant or administrative subpoena. If officials arrive without proper legal authorization, it is both appropriate and important to request a warrant or subpoena before releasing any information. While expressing a willingness to cooperate, clarify that the organization requires a lawful basis for disclosure to remain compliant with HIPAA and other privacy obligations.
Requiring a formal legal process not only ensures regulatory protection but may also reveal critical context about the investigation, including its scope and the status of individuals involved.
Document all interactions with law enforcement in a detailed timeline, including what was requested, what was provided, and to whom. Maintain your own internal “chain of custody” record for any surrendered materials to prevent later disputes over what was turned over and when.
Keep in mind that office equipment, such as computers or mobile devices, may contain protected health information (PHI). Preserving patient confidentiality must remain a top priority throughout the process.
Conduct an Internal Investigation
Whether the alleged crime involves the delivery of healthcare services will shape the organization’s response and its exposure to regulatory scrutiny. If the allegations are service-related, the practice may face financial penalties, exclusion from federal programs, and severe reputational harm, including loss of patient trust and revenue.
Launch an internal investigation, led by trusted counsel to protect attorney-client privilege. Internal investigations enable healthcare organizations to gather relevant information about allegations and potential exposures. Initial reports from law enforcement or internal personnel will help identify potential charges, key individuals for interview, and evidence pertinent to preserve. Conduct a prompt risk assessment to evaluate the organization’s potential exposure to criminal liability, available defenses, and the possible operational and reputational impacts.
Throughout the process, maintain strict patient confidentiality at all times. Refer affected practitioners or staff to employee assistance programs as appropriate, but limit disclosure about the individual’s legal situation. Continue monitoring the case docket and maintain communication with officials to stay informed about the status and scope of the investigation.
Terminate or Suspend the Employee Accused of Allegations
After assessing the nature and severity of the allegations, consult with your HR department and employment counsel about your existing policies regarding criminal accusations. You may need to quickly terminate or suspend the employee until the government’s case has concluded.
Report and Disclose Key Findings
Identify any federal or state regulatory agencies and licensing boards that must be notified to avoid penalties. In many cases, healthcare organizations – and sometimes state or federal prosecutors – are required to report adverse criminal actions to the National Practitioner Data Bank (NPDB), including the mere filing of charges. The NPDB tracks convictions, injunctions, and no-contest pleas related to the delivery of healthcare services, as well as exclusions from federal programs such as Medicare or Medicaid. Practitioners who are the subject of a report will receive formal notification from the NPDB.
When a medical professional is charged with a crime, the consequences can extend far beyond the individual, affecting patient trust, regulatory compliance, and the integrity of the entire organization. While such events are difficult to anticipate, healthcare leaders can prepare by having clear protocols, legal support, and communication strategies in place. A thoughtful, coordinated response not only protects the practice but also upholds the professionalism and accountability that patients and the public expect.
Monica Cliatt
Monica Cliatt is an attorney in Woods Rogers’ Government & Special Investigations Practice. She is a former public defender in the state of Virginia. She may be reached at [email protected].
