When a Doctor Passes Away and Their Dental Practice Closes
When a doctor passes away and their dental practice closes, maintaining patient records remains a legal and ethical obligation - even if the dentist can no longer personally manage them. The specific requirements vary by jurisdiction, but the fundamental principles are generally the same and consistent:
1. Responsibility for the records- The legal responsibility typically passes to the estate, or the designated custodian of records named in the doctor’s will or professional agreements.
- If no custodian is named, the responsibility often defaults to the executor of the estate, surviving partners (if a group practice), or a contracted records storage service.
- Some states (e.g., Texas, California) specifically require dental licensees to have a written records contingency plan in place.
These vary by state and type of record:
- Adult patients: Commonly 7-10 years from the date of last treatment.
- Minors: Usually until the patient turns 18 (or 21 in some states) plus the standard retention period.
- Medicare/Medicaid records: Minimum 6 years under federal regulations.
- State-specific: Some states require keeping models, photos, and orthodontic records for fixed periods as well (e.g., 7 years after treatment completion).
Most state dental boards require:
- Posting notices in local newspapers and/or the practice’s website.
- Mailing letters to active patients (those seen within the last 1-3 years) explaining how to request their records.
- Giving patients a reasonable window (often 30-90 days) to obtain copies before records go to storage or are destroyed.
- Paper charts must be kept in a locked, secure location with limited access.
- Electronic medical records (EMRs) must be preserved with secure login controls and data backup.
- HIPAA continues to apply even after the practice closes, so protected health information (PHI) must remain private and secure.
- A contracted third-party custodian can store records, but a formal agreement should be in place.
- Must be done securely: shredding, incineration, or HIPAA-compliant electronic deletion.
- A destruction log should be kept with dates and the method of disposal in case of future inquiries.
It’s strongly advised for the executor or the surviving family to:
- Consult with a healthcare attorney familiar with local retention rules.
- Contact the state dental board for specific requirements.
- Involve a HIPAA-compliant records storage vendor if handling in-house storage isn’t feasible.
The bottom line is that when a dentist dies and the practice closes, the patient records don’t “die” with them - they must still be secured, retained for the legally required period, and made accessible to patients.
The best move is to consult a healthcare attorney immediately, so nothing is overlooked - especially since state rules vary in timeframes and notice requirements.
Disclaimer: The information contained on the DentistCare Blog does not establish a standard of care, nor does it constitute legal advice. The information is for general informational purposes only. We encourage all blog visitors to consult with their personal attorneys for legal advice, as specific legal requirements may vary from state to state. Links or references to organizations, websites, or other information is for reference use only and do not constitute the rendering of legal, financial, or other professional advice or recommendations. All information contained on the blog is subject to change.
