Health care providers such as doctors have certain legal obligations to maintain patient records. What some of them may not realize is that this obligation continues after their death. Ideally, doctors should have a succession plan that includes provisions for what happens to patient files after they die. In the absence of that, it becomes the responsibility of the executor or administrator of their estate.

Patient Recordkeeping Laws

Under state and federal law, health care providers are required to maintain patient records and keep them for at least six years from the time of the patient’s discharge or for three years after the patient’s age of majority (18 years), whichever is longer, or at least six years after the death of the patient. The provider also has a duty to produce the records to the patient within those time frames when the patient requests them.

Recordkeeping Obligations When a Doctor Dies

The patient’s rights to their medical records are continuing and survive the death of their health care provider. This usually isn’t a problem for the deceased health care provider’s family as many providers conduct their businesses within a hospital or group practice and the recordkeeping obligations are inherited by the hospital or practice respectively. Among solo practitioners, it is common for them to sell their practices or make other arrangements for their patients and their files prior to their retirement or death.

However, there are circumstances in which a solo practicing health care provider may pass away unexpectedly and without a plan for their patient’s records. In those situations, the executor of the estate must be prepared to maintain the records. This can take many forms, including hiring a record retention company or selling the practice itself to another provider. 

Importantly, there are potential risks in mismanaging these records or a request to produce the records from a patient. While a rarity, proceedings may be brought against the estate. In New York, these are brought by the Department of Health.  

If you or someone you know is handling the estate for a deceased health care provider, or you are a physician in need of an estate and succession plan, please contact one of our trusted attorneys for a consultation.