What's happening
This bill allows professional conduct officers to access patient or client records during investigations, with strict confidentiality requirements.
Why it matters
Expands investigative authority. By allowing professional conduct officers to access patient or client records during investigations, the bill gives regulators more effective tools to identify and address misconduct among licensed professionals, potentially improving public protection.
Imposes strict confidentiality safeguards. The amendment ensures that any accessed records remain confidential unless the patient or client gives explicit consent, reducing the risk of personal information being unnecessarily disclosed or misused.
Limits use and disclosure of sensitive data. The law restricts sharing or using patient/client information outside the specific needs of the investigation, unless required by a court order or other legal authorization, aiming to balance oversight with privacy rights.
Potential impact on trust and transparency. While the bill may strengthen professional accountability, it could also raise concerns among patients and clients about the privacy of their records, making clear communication about these protections crucial for maintaining trust in professional services.
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Who cares
Headline styles
Allow Access to Patient Records
Plain English, a few words. Used as the page title.
Sponsors
No co-sponsors yet.
History
- Committed to rules
- Advanced to third reading
- 2nd report cal.
- 1st report cal.1062
- Referred to higher education
- Returned to senate
- Died in assembly
- Referred to higher education
- Delivered to assembly
- Passed senateVote 63–0
- Ordered to third reading cal.1421
- Committee discharged and committed to rules
Show 1 earlier action
- Referred to higher education
Full text
1 pageUnderlined is new[Struck] is removedOfficial text on nysenate.gov ↗
STATE OF NEW YORK
2467
2017-2018 Regular Sessions
IN SENATE
January 13, 2017
Introduced by Sen. LAVALLE -- read twice and ordered printed, and when printed to be committed to the Committee on Higher Education
AN ACT to amend the education law, in relation to access to patient or client records in the investigation and prosecution of professional licensing and misconduct proceedings
The People of the State of New York, represented in Senate and Assembly, do enact as follows:
Section 1. Subdivision 8 of section 6506 of the education law, as amended by chapter 866 of the laws of 1980, is amended to read as follows:
(8) Designate a professional conduct officer, who shall be the chief administrative officer of the office of the professions, or his designee, in connection with professional licensing and misconduct proceedings and criminal matters, such officer to be empowered to issue subpoenas and administer oaths in connection with such proceedings. Notwithstanding any provision of law to the contrary, said professional conduct officer, or his or her representatives, may examine and obtain records of patients or clients in any investigation or proceeding by the department acting within the scope of its authorization. Unless express consent is obtained from the patient or client, any information so obtained shall be confidential and shall not be further disclosed except to the extent necessary for the proper function of the department, and the name of the patient or client may not be disclosed by the department or its employees at any stage of the proceedings unless the patient or client has expressly consented. Any other use or dissemination of information from such records by any person by any means, unless it is pursuant to a valid court order or otherwise authorized by law, shall be prohibited;
§ 2. This act shall take effect immediately.
EXPLANATION--Matter in italics (underscored) is new; matter in brackets
[ ] is old law to be omitted.
LBD08032-01-7
Reflowed for reading: line numbers and page breaks removed. Cite the official text.
Sponsor's memo
Title of bill
An act to amend the education law, in relation to access to patient or client records in the investigation and prosecution of professional licensing and misconduct proceedings
Purpose
To enhance the ability of the State Education Department (SED) to investigate complaints of professional misconduct and protect the public by providing SED's Office of Professional Discipline (OPD) with the same access to patient and client records for the purpose of the investigation and prosecution of professional licensing and misconduct proceeding under Title VIII of the education law as is currently afforded the Board of Professional Medical Conduct (BPMC) of the Department of Health in professional medical misconduct proceedings.
Summary of provisions
Section 1. Clarifies that the professional conduct officer of OPD, or his or her representatives, in any investigation or proceeding by the department acting within the scope of its authorization, may obtain and examine records of patients or clients. Such records would be obtained by SED without the Consent of the patient or client, but would be subject to strict confidentiality requirements. The bill would prohibit the disclosure of such records without the consent of the patient or client except to the extent necessary for the proper function of the department and would specifically prohibit disclosure of the name of the patient or client, without consent. Any other use or dissemination of information from such records by any person would be prohibited, unless it is pursuant to a valid court order or otherwise authorized by law.
Read the full memo (937 words)
Section 2. Sets for the effective date.
Justification
The proposed amendment to education law section 6506(8) addresses a longstanding issue which goes to the heart of any investigation of allegations of professional misconduct, namely, the ability of the investigating agency, in this case, OPD, to obtain records from a professional licensee or entity without having to obtain patient or client consent for the release of said records. The proposed amendment follows the language of public health law section 230(10)(1) which allows BPMC the disciplinary authority for physicians in New York State, to examine and obtain records of patients in any investigation or proceedings by the board acting within the scope if its authority.
OPD is statutorily responsible for investigating and prosecuting alleged violations of professional misconduct pursuant to education law section 6507(h). OPD is required to investigate every complaint which alleges conduct constituting professional misconduct. OPD is also responsible for investigating the good moral character of applicants for professional licensure and prosecuting proceedings to deny licensure based upon lack of good moral character. In carrying out is statutory responsibilities, OPD has been facing increasing resistance on the part of professional licensees and healthcare facilities when requesting patient/client records integral to an investigation of alleged professional misconduct. Although not universal, there appears to be a trend, especially among hospital general counsel and by attorneys representing professional licensees to refuse OPD's request for patient/client records, citing OPD's lack of a release from the patient/client.
Education law section 6507@ provides OPD with the authority to issue subpoenas as part of its investigation. However, in at least one case, this power has been found to limited. In (Adams v New York University Medical Center), n.o.r., Sup Ct, NY County, 1992, Index No. 43324/92., NYU notified OPD, pursuant to its responsibility under PHL section 2803-e, of possible professional misconduct by a male registered nurse for sexually abusing an eighteen year old female patient that had the mental development of a twelve year old. The patient was not identified by NYU. During the course of its investigation, OPD asked NYU for the records of this patient and NYU refused, stating the patient's family would not agree to release of the records and that NYU could not breach the patient's confidentiality because her records were confidential pursuant to CPLR section 4504(a). OPD issued a subpoena and NYU refused to comply. Subsequently, OPD brought an action in New York County Supreme Court to compel production of the records under the provision of PHL section 2803-e(2) stating the facility, as part of its statutory notification, must provide OPD with "such other information as the education department...shall require." NYU moved to quash the subpoena and the Court upheld NYU's motion, stating that in the absence of a specific statutory mandate like public health law section 230(10)(1), the confidentiality and privilege of patient records could not be breached. As a result, no professional discipline action was taken against the licensee.
If the rationale of Adams were to be adopted by other courts, it would impair any OPD investigation involving an examination of patient/client records where the patient/client does not waive confidentiality or is unable to be identified.
Federally, the regulations implementing the Health Information Portability and Accountability Act of 1996 (HIPAA, Pub. L No. 104-191, 110 Stat. 1936) provide an exemption for disclosure to a state officer for the investigation of a potential violation of law, pursuant to an administrative request, including administrative subpoenas, discovery requests or other lawful processes (45 C.F.F. section 164.512(e), (0). Despite this exemption from HIPAA that allows disclosure of patient records in professional discipline and licensing investigations and proceedings, as the Adams case illustrates, without the enactment of language parallel to that of public health law section 230(10(1), OPD may face resistance to disclosure or such records that would impair its ability to protect the public by carrying out its statutory responsibilities of fully investigating and prosecuting allegations of professional misconduct by licensed professionals and investigating and prosecuting good moral character proceedings.
Legislative history
2013-14 S.5572; 2011-12 S.4630
Fiscal implications
None
Effective date
Immediately.
Summaries, headlines and scores are AI-generated from the official bill text. How we score bills. Source: NYS Open Legislation.