senate Bill S4174B

Amended

Relates to requirements for the transfer of patient medical records in certain circumstances

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Bill Status


  • Introduced
  • In Committee
  • On Floor Calendar
    • Passed Senate
    • Passed Assembly
  • Delivered to Governor
  • Signed/Vetoed by Governor
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actions

  • 12 / Mar / 2013
    • REFERRED TO HIGHER EDUCATION
  • 21 / May / 2013
    • REPORTED AND COMMITTED TO FINANCE
  • 11 / Jun / 2013
    • COMMITTEE DISCHARGED AND COMMITTED TO RULES
  • 11 / Jun / 2013
    • ORDERED TO THIRD READING CAL.1273
  • 13 / Jun / 2013
    • AMENDED ON THIRD READING 4174A
  • 21 / Jun / 2013
    • PASSED SENATE
  • 21 / Jun / 2013
    • DELIVERED TO ASSEMBLY
  • 21 / Jun / 2013
    • REFERRED TO HEALTH
  • 08 / Jan / 2014
    • DIED IN ASSEMBLY
  • 08 / Jan / 2014
    • RETURNED TO SENATE
  • 08 / Jan / 2014
    • REFERRED TO HIGHER EDUCATION
  • 12 / May / 2014
    • AMEND AND RECOMMIT TO HIGHER EDUCATION
  • 12 / May / 2014
    • PRINT NUMBER 4174B
  • 15 / May / 2014
    • AMEND AND RECOMMIT TO HIGHER EDUCATION
  • 15 / May / 2014
    • PRINT NUMBER 4174C

Summary

Requires a health care provider or facility which has determined to cease to do business or which is transferring its ownership, at least sixty days prior to such action, notify the commissioner of health of its intent and shall provide a copy of its plan for transfer of patient records to another provider, facility or practitioner; if the determination to cease to do business or practice in this state resulted from illness, injury, or death, the commissioner shall work with the provider or his or her representative to facilitate notification and transfer records within one hundred sixty days after such notification.

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Bill Details

Versions:
S4174
S4174A
S4174B
S4174C
Legislative Cycle:
2013-2014
Current Committee:
Senate Higher Education
Law Section:
Education Law
Laws Affected:
Amd §6530, Ed L; add §18-b, Pub Health L
Versions Introduced in Previous Legislative Cycles:
2011-2012: S2215
2009-2010: S2188

Sponsor Memo

BILL NUMBER:S4174B

TITLE OF BILL: An act to amend the education law and the public
health law, in relation to the transfer of patient medical records in
certain circumstances

PURPOSE:

This bill establishes requirement for orderly transfer of medical
records, if a physician closes an office, this bill makes it clear
that failure to comply with law regarding patient access to his or her
own records would be in violation of what is generally accepted
reasonable expectation, an expectation to control the information
about an individual's own health, and in the event a patient is not
granted access to their medical records the health commissioner would
be empowered to take emergency action to require new tests if the
failure to release records timely poses a health threat to individual
patients.

SUMMARY OF PROVISIONS:

Section one amends the Education Law section 6530(4) to include within
the definition of professional misconduct the failure to provide
access to patient information in accordance with the standards set
forth in Public Health Law section 17. Additionally, the reference to
Public Health Law section 18 is clarified.

Section two of the public health law is amended by adding a new
section 18-b.

Subsection one defines the terms "cease to do business in this",
"failure to provide access to medical information or medical records",
healthcare provider", "healthcare facility, "healthcare practitioner",
"patient information" and "patient medical records". Subsection two
provides that when a health care Provider, facility, or practitioner
that has possession of patient information has decided to cease to do
business or practice in this state, the health care provider,
facility, or practitioner shall notify the Commissioner of the
Department of Health of its intent to cease to do business or
practice. Such notification shall be made at least 60 days before the
cessation and include a plan for the transfer of the patient records
to the patient or another health care provider, facility, or
practitioner. The Commissioner shall prescribe the form for the plan,
requirements for the transfer and notification requirements. The
prescribed requirements must include a maximum time period for the
transfer and provisions for the transfer of the patient's records to
the patient when such transfer is requested. The sixty day
notification requirement may be waived if the decision to close is as
a result of illness, injury or death.

Subsection three provides that within 10 days of being notified by a
provider of their intent to cease doing business in this state the
Commissioner shall prescribe the requirements for transfer of patient
medical information and patient medical records, the requirements
shall include a maximum period of time not to exceed sixty days from
the day the health care provider, health care facility or health care
practitioner ceases to do business in the State for the completion of


such transfer to occur. The plan shall also include notification of
patients of the closure of business in the State and the patient's
right to request their patient information or medical records be sent
to the healthcare provider, facility or practitioner of their choice
or returned to the patient. If the decision to cease to do business in
this state was made as a result of illness, injury or death the
provider shall have an additional 60 days to with this provision.

Subsection four provides that nothing in this section shall authorize
the disclosure of patient information or medical records that are
prohibited from disclosure pursuant to law.

Subsection five provides that due to the failure of any health care
provider, facility or practitioner to adhere to the terms of the plan
approved by the commissioner and such failure has caused or may cause
a threat to the health of an individual who is a subject of such
records because six months has passed since a prior laboratory test,
the results of which are contained in the patient's information or
medical records, the commissioner may order new tests to be performed
by a practitioner chosen or approved by the commissioner. The
Commissioner may issue payments for such tests out of any fund under
the purview of the department and may assess any such healthcare
provider, facility or practitioner who failed to release the patient's
information or medical records in accordance with the Commissioner
approved plan for the costs of the replacement laboratory tests. This
subsection defines the term "laboratory tests" for the purpose of this
section.

Subsection six provides that if the commissioner determines that the
healthcare provider, facility, or practitioner willfully and without
good cause or extenuating circumstances failed to adhere to the plan
as approved by the commissioner for the transfer of patient
information or medical records the commissioner may assess a penalty
upon the healthcare provider, facility, or practitioner in an amount
that does not exceed $500 for each failure. The provider, facility, or
practitioner may appeal the assessment to the medical record access
review committees that is designated by the commissioner.

Subsection seven provides that this section shall not affect any
rights afforded pursuant to section 17 or 18 of this title, as section
18 is added by chapter 497 of the laws of 1986.

Subsection eight provides that any assessment made under this section
is in addition to any other assessment or penalty that is authorized
by law.

Subsection nine provides that nothing in this section shall extend the
period of time that a health care provider is required to retain a
patient's medical information and medical records.

Section 3 provides that this act shall take effect immediately.

JUSTIFICATION:

The bill closes a loophole to provide for continuous custody of
medical records. When a patient visits his or her doctor, the patient
is the consumer of the doctor's services and when such a doctor ceases


to continue doing business in New York, his or her patients have a
reasonable expectation the information and medical records that the
doctor has compiled over the course of taking care of the patient will
be available to the patient or be transferred in accordance with the
patient's wishes. We have unfortunately seen situations in which a
provider determines to cease operations and fails to either provide
for appropriate transfer of records or to give the records to patients
who have asked for them. Additionally, there is no provision in law to
allow for new tests in a situation where a patient's records that
contain test results relevant to the patient's health care situation
are available because they were either not timely or properly
transferred.

Numerous other States, including California, Massachusetts, New
Jersey, Pennsylvania, and Wisconsin statutorily provide for the
transfer and/or preservation of patient medical records in situations
where a healthcare provider, facility, or practitioner ceases
operations. The majority of the remaining States have administratively
prescribed rules for the transfer and/or preservation of medical
records in these situations. To protect the health and welfare of New
Yorkers, New York should join the States that provide protection to
patient medical records by statutorily requiring their proper
transfer.

LEGISLATIVE HISTORY:

2013: S. 4174A - Passed Senate; Referred to Assembly Health
2011-2: S.2215 - Referred to Higher Education both years
2009-10: S.2188 - Referred to Higher Education both years
2008: S.6638 - Referred to Higher Education

FISCAL IMPLICATIONS:

It is not anticipated that this legislation will have any significant
fiscal impact on the State

EFFECTIVE DATE:

This act shall take effect immediately.

view bill text
                    S T A T E   O F   N E W   Y O R K
________________________________________________________________________

                                 4174--B

                       2013-2014 Regular Sessions

                            I N  S E N A T E

                             March 12, 2013
                               ___________

Introduced  by  Sens.  GOLDEN, RIVERA -- read twice and ordered printed,
  and when printed to be committed to the Committee on Higher  Education
  -- reported favorably from said committee and committed to the Commit-
  tee  on Finance -- committee discharged and said bill committed to the
  Committee on Rules -- ordered to a third reading, amended and  ordered
  reprinted, retaining its place in the order of third reading -- recom-
  mitted  to the Committee on Higher Education in accordance with Senate
  Rule  6,  sec.  8  --  committee  discharged,  bill  amended,  ordered
  reprinted as amended and recommitted to said committee

AN ACT to amend the education law and the public health law, in relation
  to the transfer of patient medical records in certain circumstances

  THE  PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
BLY, DO ENACT AS FOLLOWS:

  Section 1. Subdivision 40 of section 6530 of  the  education  law,  as
added by chapter 606 of the laws of 1991, is amended to read as follows:
  40. Failing to provide access by qualified persons to patient informa-
tion  in  accordance  with the standards set forth in [section] SECTIONS
SEVENTEEN AND eighteen of the public health law, SUCH  SECTION  EIGHTEEN
as  added  by  chapter  [497]  FOUR  HUNDRED NINETY-SEVEN of the laws of
[1986] NINETEEN HUNDRED EIGHTY-SIX;
  S 2. The public health law is amended by adding a new section 18-b  to
read as follows:
  S  18-B. REQUIREMENT FOR TRANSFER OF INFORMATION. 1.  DEFINITIONS. FOR
THE PURPOSES OF THIS SECTION THE FOLLOWING TERMS SHALL HAVE THE  FOLLOW-
ING MEANINGS:
  (A)  "CEASE  TO DO BUSINESS IN THIS STATE" SHALL MEAN ANY CASE WHERE A
HEALTH CARE PROVIDER WHO HAS ENGAGED IN AN ON-GOING PRACTICE OR BUSINESS
WITHIN THIS STATE AS A HEALTH CARE PROVIDER, CEASES TO  ENGAGE  IN  SUCH
BUSINESS,  PROVIDED  HOWEVER,  THAT THIS TERM SHALL NOT INCLUDE A HEALTH
CARE PRACTITIONER WHOSE PRACTICE IS MERGED, CONSOLIDATED,  COMBINED,  OR
ACQUIRED  BY  ANOTHER  HEALTH  CARE  PROVIDER AND HE OR SHE CONTINUES TO

 EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                      [ ] is old law to be omitted.
                                                           LBD01923-17-4

S. 4174--B                          2

PROVIDE SERVICES INCLUDING  MEDICAL  CARE,  DIAGNOSIS  OR  TREATMENT  TO
PATIENTS  AS  AN  EMPLOYEE,  CONTRACTOR, OR OWNER OF THE MERGED, CONSOL-
IDATED, COMBINED, OR ACQUIRING HEALTH CARE PROVIDER.
  (B)  "FAILURE  TO  PROVIDE  ACCESS  TO  MEDICAL INFORMATION OR MEDICAL
RECORDS" SHALL MEAN ANY  CIRCUMSTANCE  WHERE  A  HEALTH  CARE  PROVIDER,
HEALTH  CARE  FACILITY  OR  HEALTH  CARE PRACTITIONER, AS SUCH TERMS ARE
DEFINED IN SECTION EIGHTEEN OF THIS  TITLE,  SUCH  SECTION  EIGHTEEN  AS
ADDED  BY  CHAPTER  FOUR  HUNDRED  NINETY-SEVEN  OF THE LAWS OF NINETEEN
HUNDRED EIGHTY-SIX, THAT IS PLANNING TO CEASE  TO  DO  BUSINESS  IN  THE
STATE  AND  FAILS TO ACT IN ACCORDANCE TO THE REQUIREMENTS PRESCRIBED BY
THE COMMISSIONER FOR TRANSFER OF PATIENT INFORMATION  AS  SUCH  TERM  IS
DEFINED  IN  SUCH  SECTION  EIGHTEEN  OF  THIS  TITLE OR PATIENT MEDICAL
RECORDS AS DESCRIBED IN SECTION SEVENTEEN OF THIS TITLE.
  (C) "HEALTH CARE PROVIDER," "HEALTH CARE FACILITY," AND  "HEALTH  CARE
PRACTITIONER" SHALL HAVE THE SAME MEANING AS IN SECTION EIGHTEEN OF THIS
TITLE,  AS  ADDED  BY  CHAPTER  FOUR HUNDRED NINETY-SEVEN OF THE LAWS OF
NINETEEN HUNDRED EIGHTY-SIX.
  (D) "PATIENT INFORMATION" SHALL HAVE THE SAME MEANING  AS  IN  SECTION
EIGHTEEN OF THIS TITLE, AS ADDED BY CHAPTER FOUR HUNDRED NINETY-SEVEN OF
THE LAWS OF NINETEEN HUNDRED EIGHTY-SIX.
  (E)  "PATIENT MEDICAL RECORDS" SHALL MEAN THE RECORDS THAT, UPON WRIT-
TEN REQUEST BY A COMPETENT PATIENT, PARENT OR GUARDIAN OF AN  INFANT,  A
GUARDIAN  APPOINTED PURSUANT TO ARTICLE EIGHTY-ONE OF THE MENTAL HYGIENE
LAW, OR CONSERVATOR OF A CONSERVATEE, ARE REQUIRED TO BE PROVIDED  TO  A
PHYSICIAN OR HOSPITAL PURSUANT TO SECTION SEVENTEEN OF THIS TITLE.
  2. A HEALTH CARE PROVIDER WHICH HAS IN ITS POSSESSION PATIENT INFORMA-
TION  OR PATIENT MEDICAL RECORDS AND WHICH HAS DETERMINED TO PERMANENTLY
CEASE TO DO BUSINESS OR PRACTICE IN THIS STATE  SHALL,  AT  LEAST  SIXTY
DAYS  PRIOR  TO  SUCH  ACTION,  NOTIFY THE COMMISSIONER OF ITS INTENT TO
CEASE OPERATIONS IN THIS STATE, IN THE FORM AND MANNER PRESCRIBED BY THE
COMMISSIONER, AND SHALL PROVIDE A COPY OF ITS  PLAN,  IN  THE  FORM  AND
MANNER  PRESCRIBED BY THE COMMISSIONER, FOR TRANSFER OF PATIENT INFORMA-
TION OR PATIENT MEDICAL RECORDS TO ANOTHER PROVIDER,  FACILITY,  PRACTI-
TIONER  OR  PATIENT, AS REQUESTED BY THE PATIENT OR REQUIRED PURSUANT TO
LAW.  THE SIXTY DAY REQUIREMENT FOR  NOTIFICATION  TO  THE  COMMISSIONER
SHALL  BE  WAIVED  IF  A  HEALTH CARE PROVIDER DETERMINES TO CEASE TO DO
BUSINESS OR PRACTICE IN THIS STATE AS A RESULT  OF  ILLNESS,  INJURY  OR
DEATH.
  3.  WITHIN TEN DAYS OF BEING NOTIFIED BY A HEALTH CARE PROVIDER OF THE
PROVIDER'S  DETERMINATION  TO  CEASE  TO DO BUSINESS OR PRACTICE IN THIS
STATE, THE COMMISSIONER SHALL PRESCRIBE THE REQUIREMENTS FOR TRANSFER OF
PATIENT INFORMATION AND PATIENT  MEDICAL  RECORDS,  PROVIDED  THAT  SUCH
REQUIREMENTS  SHALL  INCLUDE (A) A MAXIMUM PERIOD OF TIME, NOT TO EXCEED
SIXTY DAYS FROM THE DATE THAT THE  HEALTH  CARE  PROVIDER,  HEALTH  CARE
FACILITY  OR  HEALTH CARE PRACTITIONER CEASES TO PRACTICE TO DO BUSINESS
IN THIS STATE, FOR THE COMPLETION OF THE TRANSFER, AND (B)  A  PLAN  FOR
NOTIFYING  PATIENTS OF THE CLOSURE OR CESSATION OF DOING BUSINESS IN NEW
YORK AND INFORMING SUCH PATIENTS OF THEIR RIGHT TO REQUEST THEIR PATIENT
INFORMATION OR PATIENT MEDICAL  RECORDS  BE  SENT  TO  THE  HEALTH  CARE
PROVIDER, HEALTH CARE FACILITY OR HEALTH CARE PRACTITIONER OF HIS OR HER
CHOICE  OR  RETURNED TO THEMSELVES.  IF THE DETERMINATION TO CEASE TO DO
BUSINESS OR PRACTICE IN THIS STATE WAS MADE  AS  A  RESULT  OF  ILLNESS,
INJURY  OR DEATH THE HEALTH CARE PROVIDER SHALL HAVE AN ADDITIONAL SIXTY
DAYS TO COMPLY WITH THE PROVISIONS OF THIS SECTION.

S. 4174--B                          3

  4.  NOTHING IN THIS SECTION SHALL AUTHORIZE THE DISCLOSURE OF  PATIENT
INFORMATION  OR PATIENT MEDICAL RECORDS THAT ARE PROHIBITED FROM DISCLO-
SURE PURSUANT TO LAW.
  5.  IF THE COMMISSIONER SHALL DETERMINE THAT THE FAILURE OF ANY HEALTH
CARE PROVIDER, HEALTH CARE FACILITY,  OR  HEALTH  CARE  PRACTITIONER  TO
ADHERE  TO  THE  TERMS OF THE PLAN THAT HAS BEEN APPROVED BY THE COMMIS-
SIONER FOR THE  TRANSFER  OF  PATIENT  INFORMATION  OR  PATIENT  MEDICAL
RECORDS  AND SUCH FAILURE SHALL HAVE CAUSED OR MAY CAUSE A THREAT TO THE
HEALTH OF AN INDIVIDUAL PATIENT WHO IS THE SUBJECT OF  SUCH  INFORMATION
OR  MEDICAL  RECORDS  BECAUSE  MORE  THAN SIX MONTHS HAS ELAPSED SINCE A
PRIOR LABORATORY TEST,  THE  RESULTS  OF  WHICH  ARE  CONTAINED  IN  THE
PATIENT'S INFORMATION OR MEDICAL RECORDS, THE COMMISSIONER MAY ORDER NEW
LABORATORY TESTS TO BE PERFORMED BY A PRACTITIONER CHOSEN OR APPROVED BY
THE  COMMISSIONER.  IN  ORDER  TO  EXPEDITE  SUCH  LABORATORY TESTS, THE
COMMISSIONER MAY ORDER  PAYMENT  FOR  SUCH  LABORATORY  TESTS  FROM  ANY
ACCOUNT  UNDER  THE CONTROL OF THE DEPARTMENT, AND SHALL ASSESS ANY SUCH
HEALTH CARE PROVIDER, HEALTH CARE FACILITY, OR HEALTH CARE  PRACTITIONER
WHO  FAILED  TO  RELEASE  THE PATIENT'S INFORMATION OR PATIENT'S MEDICAL
RECORDS IN ACCORDANCE WITH THE PLAN APPROVED BY THE COMMISSIONER FOR THE
EXPENSES ASSOCIATED WITH  THE  COST  OF  SUCH  LABORATORY  TESTS.    FOR
PURPOSES OF THIS SUBDIVISION, THE TERM "LABORATORY TESTS" SHALL INCLUDE,
BUT  NOT  BE LIMITED TO, TESTS AND EXAMINATIONS ADMINISTERED IN CLINICAL
LABORATORIES OR BLOOD BANKS AS THOSE TERMS ARE DEFINED IN  SECTION  FIVE
HUNDRED SEVENTY-ONE OF THIS CHAPTER.
  6.  IF  THE  COMMISSIONER SHALL DETERMINE THAT A HEALTH CARE PROVIDER,
HEALTH CARE FACILITY OR HEALTH  CARE  PRACTITIONER  HAS  WILLFULLY,  AND
WITHOUT  GOOD  CAUSE, FAILED TO ADHERE TO THE TERMS OF THE PLAN THAT HAS
BEEN APPROVED BY THE COMMISSIONER FOR THE TRANSFER OF  PATIENT  INFORMA-
TION  OR  PATIENT MEDICAL RECORDS, THE COMMISSIONER MAY ASSESS A PENALTY
NOT TO EXCEED FIVE HUNDRED DOLLARS FOR EACH OF THE FIRST TWENTY FAILURES
AND TWO HUNDRED FIFTY DOLLARS FOR EACH ADDITIONAL FAILURE THEREAFTER BUT
ANY PROVIDER, FACILITY OR PRACTITIONER SHALL NOT BE ASSESSED  A  PENALTY
UNDER  THIS  SUBDIVISION  OF  MORE  THAN  THIRTY  THOUSAND DOLLARS.   AN
AGGRIEVED PROVIDER, FACILITY OR PRACTITIONER MAY APPEAL SUCH  ASSESSMENT
TO THE MEDICAL RECORD ACCESS REVIEW COMMITTEES DESIGNATED BY THE COMMIS-
SIONER  PURSUANT  TO SUBDIVISION FOUR OF SECTION EIGHTEEN OF THIS TITLE,
SUCH SECTION AS ADDED BY CHAPTER FOUR HUNDRED NINETY-SEVEN OF  THE  LAWS
OF NINETEEN HUNDRED EIGHTY-SIX.
  7. THE PROVISIONS OF THIS SECTION SHALL NOT AFFECT ANY RIGHTS AFFORDED
PURSUANT  TO  SECTION  SEVENTEEN OR SECTION EIGHTEEN OF THIS TITLE, SUCH
SECTION EIGHTEEN AS ADDED BY CHAPTER FOUR HUNDRED  NINETY-SEVEN  OF  THE
LAWS OF NINETEEN HUNDRED EIGHTY-SIX.
  8.  ANY  ASSESSMENT MADE PURSUANT TO THIS SECTION SHALL BE IN ADDITION
TO ANY OTHER ASSESSMENT OR PENALTY THAT IS AUTHORIZED BY LAW.
  9. NOTHING IN THIS SECTION SHALL AFFECT OR EXTEND THE PERIOD  OF  TIME
THAT  A  HEALTH  CARE PROVIDER IS REQUIRED TO RETAIN A PATIENT'S MEDICAL
INFORMATION AND MEDICAL RECORDS.
  S 3. This act shall take effect immediately.

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