IBA Compliance Connection

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We received a subpoena from the Illinois Department of Human Services. It requests documents about a particular customer, using his social security number. Ordinarily, the subpoenas that we receive include an authorization from the local circuit court. Should we respond to this subpoena, or should we request further documentation before responding?

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We recommend obtaining more information before responding to the subpoena. The Department of Human Services Act expressly grants subpoena powers to the Inspector General (the office that investigates allegations of abuse, neglect or financial exploitation). The Act does not require subpoenas to be authorized by a county court.

However, in this case, the subpoena does not reference the Inspector General. Therefore, we recommend contacting the Department of Human Services to try to ascertain why the subpoena did not come from the Inspector General.

For resources related to our guidance, please see:

  • Department of Human Services Act, 20 ILCS 1305/1-17 (“(j) Subpoena powers. The Inspector General shall have the power to subpoena witnesses and compel the production of all documents and physical evidence relating to his or her investigations and any hearings authorized by this Act. This subpoena power shall not extend to persons or documents of a labor organization or its representatives insofar as the persons are acting in a representative capacity to an employee whose conduct is the subject of an investigation or the documents relate to that representation. Any person who otherwise fails to respond to a subpoena or who knowingly provides false information to the Office of the Inspector General by subpoena during an investigation is guilty of a Class A misdemeanor.”)
  • Regulation P, 12 CFR 1016.15(a)(7)(ii) (Exception to privacy requirements when providing financial information “to comply with a properly authorized civil, criminal, or regulatory investigation, or subpoena or summons by Federal, state, or local authorities; . . .”)
  • Illinois Banking Act, 205 ILCS 5/48.1(c)(2) (“Exception to Illinois privacy requirements when “the financial records are disclosed in response to a lawful subpoena, summons, warrant, citation to discover assets, or court order which meets the requirements of subsection (d) of this Section.”)
  • Illinois Banking Act, 205 ILCS 5/48.1(d) (“A bank shall disclose financial records under paragraph (2) of subsection (c) of this Section under a lawful subpoena, summons, warrant, citation to discover assets, or court order only after the bank mails a copy of the subpoena, summons, warrant, citation to discover assets, or court order to the person establishing the relationship with the bank, if living, and, otherwise his personal representative, if known, at his last known address by first class mail, postage prepaid, unless the bank is specifically prohibited from notifying the person by order of court or by applicable State or federal law.”)