How to Subpoena Records From a Care Facility in NC

If you are involved in a North Carolina guardianship proceeding and the respondent lives — or recently lived — in a care facility, the facility's internal records may contain some of the most important evidence in your case. This page explains how to obtain those records through the subpoena process.

What Records a Care Facility May Have

Adult care homes, assisted living facilities, and skilled nursing facilities maintain extensive documentation as required by NC law. Records that may be relevant in a guardianship case include:

Resident assessments — initial and ongoing functional assessments documenting what the resident can and cannot do
Care plans — the written plan describing the care the facility is supposed to provide, including services, supervision levels, and identified needs
Nursing notes and aide notes — shift-by-shift records of the resident's condition, behavior, and care received
Physician and nurse practitioner orders — documentation of medical decisions made for the resident
Incident reports — written records of falls, injuries, behavioral incidents, elopement attempts, or other significant events
Visitor logs — who visited the resident and when
Medication administration records (MAR) — documentation of medications given
Communications with the resident's family or responsible party — notes or forms documenting family contact and decisions

The Form to Use

AOC-G-115 — Subpoena for Records Only (Subpoena Duces Tecum)

This form compels the production of documents without requiring in-person testimony. It is available at nccourts.gov.

If you also want a facility representative to testify about the records or the respondent's care, use AOC-G-100 (Subpoena for testimony) or issue both forms simultaneously.

How to Complete AOC-G-115 for a Care Facility

Address the subpoena to the custodian of records at the specific facility:

Example: "Custodian of Records, Spring Arbor of Greensboro, [street address], Greensboro, NC [zip]"

Describe the records you want — be specific:

Example: "All records relating to resident [Full Name], Date of Birth [date], including but not limited to: resident assessments, care plans, nursing notes, aide notes, physician orders, incident reports, medication administration records, visitor logs, and all correspondence relating to the resident, for the period [start date] through [end date]."

Set the date for production. Under Rule 45, the subpoena must set a reasonable date for production. For institutional records, 30 days is common. You can specify a date before the hearing, with instructions to produce records to the Clerk's office or to you directly.

Serving the Subpoena

The subpoena must be personally served on the facility's authorized representative or registered agent. For a care facility:

Serve the administrator or their designated representative at the facility, or
Serve the facility's registered agent (you can find this in the NC Secretary of State business entity search at sos.nc.gov)

A party to the case cannot serve the subpoena themselves. Use the sheriff, a process server, or any non-party adult.

HIPAA and Medical Records

A common concern: will the facility cite HIPAA as a reason not to produce records?

Under HIPAA § 164.512(e), healthcare records may be disclosed in response to a court order or judicial subpoena without patient authorization when proper procedures are followed. A properly issued subpoena in a judicial proceeding (which guardianship is) generally satisfies this requirement.

However, some facilities' legal counsel will scrutinize subpoenas carefully. To reduce objections:

Have the subpoena signed by the Clerk of Court or by an attorney of record
Include the case caption and file number on the subpoena
If the facility objects, bring the matter before the Clerk for a ruling

Inspecting Facilities' Inspection Reports

In addition to subpoenaed records, NC DHSR (Division of Health Service Regulation) maintains public inspection reports for licensed care facilities. These reports document deficiencies, complaints, and corrective actions. They are available at ncdhhs.gov/dhsr.

Facility inspection reports are a public record and do not require a subpoena. They can provide context for the quality of care the respondent received.

What to Do With the Records Once You Have Them

When you receive records from a facility in response to a subpoena:

Review them systematically. Look for incidents, gaps in care, changes in the resident's documented condition, entries about family visits or decisions, and any documentation related to the issues in your case.
Organize by date. Chronological organization is easiest for presenting to a court or attorney.
Flag relevant entries. Mark anything that directly relates to your petition — documented evidence of the respondent's functional state, specific incidents, care decisions, or family interactions.
Bring organized copies to the hearing. You can introduce records as exhibits at the hearing. Make sure you have enough copies — for the Clerk, the opposing party, and yourself.

The information on this page is for educational purposes only and does not constitute legal advice. Please consult a licensed North Carolina attorney for guidance specific to your situation. Learn more about ElderAdvocate.law.