Failure to Provide Resident’s Legal Representative Access to Medical Records
Summary
The deficiency involves the facility’s failure to provide a resident’s legal representative with access to the resident’s medical records upon request. The resident had impaired cognitive function, an impaired thought process, and a Brief Interview for Mental Status (BIMS) score of 5, and had designated a family member as Power of Attorney (POA) with authority over long-term placement, health care, mental health including medications, and hospitalizations. According to the state agency complaint intake, the POA was concerned about the care the resident was receiving and requested the resident’s medical records before the resident passed away, but the facility never provided them. Nursing progress notes documented that the POA approached the Assistant Director of Nursing and staff, stating they were still waiting on medical records and needed to sign whatever was required to obtain them, and expressed that the delay was unacceptable. Interviews and record review showed that the Medical Records (MR) staff required the POA to complete paperwork to obtain the resident’s medical records, even though MR acknowledged that the POA was legally authorized to act on the resident’s behalf and that the resident did not have the capacity to request records independently. MR reported giving the POA the required forms twice, stating the first set was filled out incorrectly and that the POA needed to complete them again. MR further stated that the POA did not return the corrected paperwork until after the resident’s death, at which point the facility required additional paperwork to release records following a resident’s passing. MR also stated that if a resident personally requested their own medical records, an oral request would be sufficient and no paperwork would be required. Despite the POA’s requests and authority, the POA never received the resident’s medical records. The facility’s policy on determining validity of authorization for release of protected health information required the Medical Records Director to determine whether an authorization was needed for disclosure, but the records were not provided to the POA prior to the resident’s death.
Penalty
Resources
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The facility failed to charge a reasonable fee for electronic medical records requested by a resident’s legal representative. A resident with respiratory failure, anemia, and metastatic lung cancer had a son with POA who requested records electronically and received the first set via email. After a second electronic request, the facility issued two invoices totaling over several hundred dollars based on a per-page fee schedule and refused to send the second set of records until both invoices were paid, despite Ohio law capping charges for digital or electronically transmitted records at a fixed amount for authorized requestors.
A resident's family member emailed verified facility addresses for the ADON and social worker, and cc'd the LTC Ombudsman, requesting the resident's medical records and any required forms, but the request was not processed according to facility policy. The ADON acknowledged the emails were sent but did not recall seeing the request, while the social worker, who started after the first email, did not review earlier emails and denied knowledge of any request, stating such matters go through the Administrator. The Administrator reported being unaware of the family's request, despite confirming that an email requesting records had been sent to management addresses, and facility policy required all record requests to be referred to the Administrator for review, verification of access rights, and completion.
A former resident who had been hospitalized after a hip fracture and later died had her medical records requested by her family’s attorney, who supplied all required authorizations and identifying documents. The facility initially sent only partial records and, despite repeated written, faxed, and telephone follow-up requests for specific missing items such as MDS, assessments, nursing notes, MD progress notes, therapy notes, MARs, TARs, and ADL logs, did not provide evidence that a complete record was released within the timeframe outlined in its own policy. The medical records staff stated that all requests are routed through the Administrator to corporate and are not released without corporate approval, and the Administrator acknowledged receiving multiple requests and forwarding them to corporate but could not provide a corporate contact, resulting in delayed and incomplete access to the former resident’s records.
The facility did not ensure reasonable access to medical records for a resident and family when they requested copies of PT/OT reports after discharge. The resident had multiple chronic conditions, severe cognitive impairment, and used mobility aids. Staff required the resident to appear in person to sign a release, would not accept a verbal request, and the daughter delayed the visit due to the resident’s limited mobility and weather. The daughter was reportedly told therapy records would cost $60–$80, leading the family not to obtain them. The facility’s fee schedule allowed high per-page and search fees, therapy records were controlled by a contracted provider with its own pricing, and facility staff could not provide clear cost information to the family, resulting in a lack of easy access to the requested records.
A resident with multiple chronic conditions requested copies of her medical records, but the facility failed to provide them after initially citing a broken copier. Although the records were eventually copied, they were not given to the resident, contrary to facility policy granting residents access to their records.
A resident's personal representative, through a law firm, made multiple requests for the resident's complete medical records, including a signed authorization and court order, but the facility did not provide access to the records until several months later. Staff interviews confirmed the delay was due to a former medical records employee not fulfilling the requests, resulting in noncompliance with timely record release requirements.
Unreasonable Fees Charged for Electronic Medical Record Requests
Penalty
Summary
The deficiency involves the facility charging an unreasonable fee for a resident representative’s request for medical records, in violation of Ohio Revised Code (ORC) 3701.742. The resident involved had acute and chronic respiratory failure with hypoxia, anemia, and metastatic lung cancer, with mild cognitive impairment and a need for moderate assistance with all ADLs. His son, who held financial and medical POA and was involved in his care and discharge planning, requested medical records electronically using the facility’s form. The first request was submitted and the records were sent electronically within a few days. The son later requested additional records electronically, again specifying he only wanted electronic copies. Following these requests, the facility generated two invoices for the son, one for the first set of records already provided and one for the second set requested, totaling over $600–$800 based on the facility’s fee schedule of per-page charges. The Regional Quality Assurance Manager and Corporate Medical Records staff confirmed that the second set of records would not be sent until the invoices were paid, despite the son only requesting electronic records. The facility’s policy referenced charging for photocopies in accordance with ORC 3701.742, but the applicable ORC provision limited the total cost for access to or electronic transmission of digital records, and all related services, to no more than fifty dollars when requested electronically by an authorized person. The facility’s invoicing and withholding of the second set of records until payment constituted the failure to charge a reasonable price for electronic medical records as required by state law.
Failure to Process Family Request for Resident Medical Records
Penalty
Summary
The facility failed to honor a resident medical records request in accordance with its own policy, affecting Resident #41. Record review showed that the resident's daughter sent emails on 03/15/26 and 04/25/26 to verified facility email addresses for the Assistant Director of Nursing (ADON) #563 and Social Worker #574, and carbon copied the Long-Term Care Ombudsman, requesting the resident's medical records and asking to be sent any required forms needed to complete the request. During an interview on 04/27/26 at 1:47 P.M., ADON #563 confirmed that these emails were sent but stated she did not recall seeing the records request. In a separate interview at the same time, Social Worker #574 reported she began employment on 03/16/26, one day after the first email was sent, and although she used the same social worker email address to which the request was sent, she did not review emails that predated her start date and denied knowledge of any records request, stating such requests would go through the Administrator. In an interview on 04/27/26 at 4:35 P.M., the Administrator stated he was not aware that Resident #41's family had made a records request, but confirmed that an email dated 03/15/26 requesting records had been sent to facility management addresses. Review of the facility's medical records release policy dated 06/01/24 showed that all resident record requests must be referred to the Administrator, who is responsible for ensuring each request is reviewed, the requesting party's access rights are verified, further information is requested if needed, and the relevant office is notified to complete the request. This process was not followed for Resident #41's records request.
Failure to Timely Provide Complete Medical Records to Former Resident’s Representative
Penalty
Summary
The deficiency involves the facility’s failure to timely release a complete medical record for a former resident to the resident’s family and their legal representative, despite multiple written and faxed requests. The former resident was admitted on 01/11/24 and later discharged to the hospital after a fall with hip fracture, and subsequently died. On 10/30/25, the family’s attorney submitted an initial request for a certified copy of the resident’s medical record for a specified date range, providing the resident’s identifying information, a notarized affidavit of next of kin, a signed authorization for release of medical records, the death certificate, and contact information. The facility’s policy stated that residents or their representatives may obtain photocopies of records by providing at least 48 hours’ notice (excluding weekends and holidays). The facility’s medical records staff member reported that record requests are forwarded to the Administrator, who then sends them to corporate, and that records are not released until corporate approves what can be released. The attorney reported receiving only partial records on 12/11/25, including a consent to treat form for psychiatric therapy, the facility discharge form, a hospital history and physical, diagnosis and allergy audit reports, immunization audit report, order summary report, weight and vital summary, and the care plan report. On 12/15/25, the attorney notified the facility via fax and mail that the record was incomplete and specifically requested additional documents such as the MDS, all assessments, nursing notes, physician progress notes, therapy notes, MARs, TARs, caregiver notes, consultations, and ADL logs. Additional requests were sent on multiple later dates, with fax confirmations and documented phone calls and voicemails to the Administrator, but there was no response indicating that the missing portions were provided. The Administrator confirmed receiving all of the dated requests and stated that they were forwarded to corporate and that, to her knowledge, the complete record had been sent, but she did not provide a corporate contact number when asked. This sequence of events shows that the facility did not provide timely and complete access to the former resident’s medical record as required by its own policy and regulatory expectations.
Failure to Ensure Reasonable Access and Fees for Resident Medical Records
Penalty
Summary
The facility failed to ensure ease of access for a resident and the resident’s family to obtain copies of the resident’s medical records, specifically therapy records. The resident, who had diagnoses including peripheral vascular disease, hypertensive heart disease without heart failure, encephalopathy, difficulty walking, dysphagia, atherosclerotic heart disease, kidney disease, alcohol abuse, and chronic peripheral disease, was severely impaired for daily decision making and used a wheelchair and front-wheeled walker for mobility. After discharge, the resident’s daughter requested physical and occupational therapy reports so home health could review what therapy had been provided. She was told the resident would need to come in person to sign a release form because the facility would not accept a verbal request, and the facility required a resident signature unless a power of attorney or other legal representative was in place. Due to the resident’s limited mobility and cold weather, the daughter did not bring him in to sign until a later date. The daughter reported being told by therapy staff that obtaining copies of the therapy records would cost approximately $60 to $80, and due to this reported cost, the family did not obtain the records. The facility’s fee schedule, based on the Ohio Revised Code and Consumer Price Index, allowed charges up to $3.88 per page for requests by a resident or resident representative, and for other requesters included an initial search fee of $23.94 plus up to $1.58 per page. The Administrator stated that therapy was provided by a contracted company using a different computer system and that this company set its own prices for records, which the Administrator did not know or verify for compliance, and that the facility used state fee requirements rather than federal. The Administrator also confirmed that the facility’s fee structure included additional fees for locating records and that verbal requests were not accepted. Medical Records staff indicated that requests required a signed release form, were routed through Quality Assurance and legal, and that the business office had a price sheet, but staff did not inform requesters of the cost. Corporate Business Office staff stated that charges were sometimes waived depending on page count and that the facility business office could not give residents or representatives a price, with therapy records handled separately by the third-party therapy agency.
Failure to Provide Resident Access to Medical Records
Penalty
Summary
A resident with multiple medical conditions, including multiple sclerosis, obstructive sleep apnea, obesity, hypertension, anemia, anxiety, PTSD, asthma, major depressive disorder, and COPD, requested a copy of her medical records from the facility. The resident, who was cognitively intact and dependent on staff for medication administration but independent in some activities of daily living, made her request to the Medical Records Manager (MRM). The MRM informed the resident that the copier was broken at the time of the request and stated that copies would be provided once the copier was repaired. Despite the copier being repaired, the MRM did not follow up with the resident or provide the requested records. The copied records remained in the office, and the resident did not receive them. Facility policy confirmed that residents have the right to access their medical records at any time. This failure to provide the requested records was confirmed through interviews, observation of the undelivered records, and review of facility policy.
Failure to Timely Provide Resident Medical Records
Penalty
Summary
The facility failed to provide timely access to medical records for a former resident whose personal representative, through a law firm, submitted a request for a complete copy of all records. The initial request, accompanied by a signed medical authorization and a court order, was made on 03/31/25, with a follow-up request on 05/12/25. Despite these requests, the records were not made available until 08/20/25, when a secure link was finally provided to the law firm. Review of the uploads confirmed that the resident's medical records were uploaded on 08/13/25, but access was not granted until a week later. Interviews with staff revealed that the delay was due to the former medical records employee's failure to fulfill the requests, which was later confirmed by the Licensed Nursing Home Administrator. The facility's policy required approval from the Corporate Clinical Director and written consent for record release, but these procedures did not result in timely fulfillment of the requests. The deficiency was identified during a review of medical record requests, emails, staff interviews, and facility policy, and affected one resident out of three reviewed for such requests.
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