Retiring Psychologist and Record Retention
Dr. Helen Nguyen is retiring and closing her solo practice on December 31. Her storage unit contains paper records for 240 former clients. Adult records: last service dates from 2014 through 2016. One adult client, Mr. S, had a malpractice suit against Dr. Nguyen in 2019 that was dismissed; his last session was 2016. Minor records: a client born March 2008, last seen in 2018 at age 10. Dr. Nguyen has no custodian and no electronic backup. She plans to shred all paper records on December 31 to avoid liability and to save the storage fee. She has not notified former clients. A former client calls asking for a copy of her child's record for an IEP meeting. Dr. Nguyen says, I think I already shredded that.
1. May Dr. Nguyen destroy the adult records now? What conditions and method apply?
Read the worked answer
She must first check for legal holds. Under Board rule 64B19-17.001, records must be retained for at least 7 years after the last professional service; for minors, the period runs longer. For adults last seen in 2014 through 2016, the 7-year period had run by 2021 through 2023, so destruction is permissible only if no litigation, subpoena, board complaint, or other legal hold exists. Mr. S's 2019 malpractice suit, even if dismissed, should be reviewed by counsel before destroying his record because a dismissal can sometimes be appealed or refiled. She must use confidential destruction, such as cross-cut shredding or a certified vendor, and document the dates and method. She should not destroy records solely to avoid liability.
2. What about the minor's record and the request for the IEP meeting?
Read the worked answer
The minor's record must be kept much longer. The retention period for a minor generally runs 7 years after the minor reaches the age of majority, not 7 years from the last session. A child born in March 2008 reaches 18 in March 2026; adding 7 years means retention until at least March 2033. Dr. Nguyen may not shred that record now. The request for the record for an IEP meeting must be handled under the authorization and access rules. If she has already destroyed it, she should acknowledge that honestly, document what happened, and explain the retention rule to the former client. Destroying it prematurely could support a board complaint or malpractice claim.
3. What steps should Dr. Nguyen take before closing the practice?
Read the worked answer
Before closing, she should notify former clients at their last known addresses that the practice is closing, how to obtain copies, and where records will be maintained. She should arrange for a licensed successor custodian or a commercial records custodian that can maintain confidentiality and respond to subpoenas. She should secure the storage unit, inventory the records, and set a destruction schedule. She should not leave records unsecured or abandon them. For records that must be retained, she needs a custodian who will honor Florida retention and access rules. She should also check whether any insurer, court, or board requires notice. A professional will or records plan is prudent.