Retiring Optometrist, Sold Practice, and a Records Request
A 72-year-old optometrist in Lewiston retires and sells the practice to a corporate optometry group. The sale closes March 1. The retiring OD's paper records for 2015–2020 are in a storage unit; the buyer has the 2021–present electronic records. On March 15, a patient who has moved to Florida requests a copy of her complete record, including a 2018 contact lens fitting, because a Florida OD needs the base curve. The buyer says the records are now the buyer's property and quotes $75 plus a $40 unpaid balance from 2019. The patient objects. The retiring OD says he will not retrieve the storage boxes unless the patient pays $100. The Florida OD's office has sent a signed authorization. The patient's 2019 balance is unrelated to the records request.
1. Who must provide the record, and can the buyer or retiring OD withhold it for the unpaid balance?
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The patient has a right of access to her record, and a signed authorization supports release to the Florida OD. The sale of a practice does not extinguish that right. The buyer, as successor, and the retiring OD both have responsibilities; the sale agreement should allocate custody, but allocation cannot be used to deny the patient. Withholding records for an unpaid balance is not a permissible condition of access. The $40 balance is a separate business matter. A reasonable, cost-based copying fee may be charged if it complies with Maine law and HIPAA limits, but a $75 charge plus $100 retrieval fee needs justification. The record must be retrieved, including the 2018 paper file, and the patient should receive the complete record or a clear written explanation of any lawful delay.
2. What retention, notice, and transfer issues arise from the practice sale?
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The retiring OD remains responsible for records created during his ownership unless a lawful transfer and retention plan exists. The Board's record-retention rule and HIPAA require retention for the applicable period, and destruction must not occur while a request is pending. The sale should have included patient notice, custody terms, and a plan for paper records in storage. The buyer cannot simply declare all records its property without honoring access rights. The retiring OD should inventory the boxes, retrieve the requested file, and document the chain of custody. If records are transferred, the patient should be told where future requests go. A records-retention plan that leaves boxes inaccessible is not compliance, even if the clinical care was good.