{"id":2158,"date":"2019-05-10T12:18:00","date_gmt":"2019-05-10T16:18:00","guid":{"rendered":"https:\/\/live-coto.pantheonsite.io\/?post_type=resource&#038;p=2158"},"modified":"2025-03-06T10:26:33","modified_gmt":"2025-03-06T15:26:33","slug":"succession-planning-for-client-records","status":"publish","type":"resource","link":"https:\/\/www.coto.org\/resources\/succession-planning-for-client-records\/","title":{"rendered":"Succession planning for client records"},"content":{"rendered":"\n\n<div class=\"content-section-block has-fade-in-up  align wp-block-acf-content-section\" id=\"section-background\">\n    <div class=\"section-header \">\n        <h2>Background<\/h2>\n            <\/div>\n\n    <div class=\"content-section\" aria-hidden=\"false\">\n        <div class=\"acf-innerblocks-container\">\n\n<p>Marina is an occupational therapist with a private practice providing psychotherapy treatment to her clients. She works out of her home office and is the health information custodian of the client records. Marina has been working privately for seven years and is aware that she needs to securely retain client records for 10 years as outlined in the&nbsp;<a href=\"https:\/\/www.coto.org\/resources\/standard-for-record-keeping-2023\/\" data-type=\"resource\" data-id=\"1310\">Standards for Record Keeping<\/a>. She retains records in a locked filing cabinet in her home office. Only Marina has access to the office, and the door is locked daily after she sees her last client.&nbsp;<\/p>\n\n\n\n<p>One day, Marina is speaking to her friend, who is also an occupational therapist in private practice. Her friend discusses some health concerns that she has been experiencing. She informs Marina that due to the prognosis of her illness she is not certain how much longer she will be able to continue working. Marina\u2019s friend has sought the advice of a lawyer and an accountant. Additionally, she has called the College to discuss potential considerations for her practice.<\/p>\n\n\n\n<p>Her friend discusses her succession planning with Marina informing her that she will be identifying a successor for her records. Marina admits that she has not given much thought to succession planning and is uncertain who can act as a successor.<\/p>\n\n<\/div>\n    <\/div>\n<\/div>\n\n\n\n<div class=\"content-section-block has-fade-in-up  align wp-block-acf-content-section\" id=\"section-considerations\">\n    <div class=\"section-header \">\n        <h2>Considerations<\/h2>\n            <\/div>\n\n    <div class=\"content-section\" aria-hidden=\"false\">\n        <div class=\"acf-innerblocks-container\">\n\n<ul class=\"wp-block-list\">\n<li>Marina goes to the College website and reviews the&nbsp;<a href=\"https:\/\/www.coto.org\/resources\/standard-for-record-keeping-2023\/\" data-type=\"resource\" data-id=\"1310\">Standards for Record Keeping<\/a>. She notes that Standard 8 pertains to Discontinuation or Transfer of Practice.<br><\/li>\n\n\n\n<li>Performance indicator 8.1 states that OTs will \u201cdevelop and when appropriate implement a plan for management of client records for planned or unexpected discontinuation of practice to ensure client access to their records. The plan may include secure retention and storage of the documents or transfer of the client records to another person who is legally authorized to hold the records or to a successor Health Information Custodian in keeping with the provisions defined in the PHIPA\u201d.<br><\/li>\n\n\n\n<li>Marina calls the&nbsp;<a href=\"https:\/\/www.coto.org\/registrants\/practice-support\/\">Practice Resource Service<\/a>&nbsp;at the College, who suggests that she also review the&nbsp;<a href=\"https:\/\/www.ipc.on.ca\/\" target=\"_blank\" rel=\"noreferrer noopener\">Information and Privacy Commissioner of Ontario\u2019s (IPC\u2019s) website<\/a>. She is directed to three of their resources regarding succession planning (listed in References section).<\/li>\n<\/ul>\n\n<\/div>\n    <\/div>\n<\/div>\n\n\n\n<div class=\"content-section-block has-fade-in-up  align wp-block-acf-content-section\" id=\"section-outcome\">\n    <div class=\"section-header \">\n        <h2>Outcome<\/h2>\n            <\/div>\n\n    <div class=\"content-section\" aria-hidden=\"false\">\n        <div class=\"acf-innerblocks-container\">\n\n<p>Marina determines that since she is in private practice and is a health information custodian, she needs to develop a succession plan for her client records. She reviews the IPC\u2019s resources and determines the following:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>Her succession plan has to identify a person who would be responsible during the transfer of records for: maintaining the security of records, responding to clients\u2019 access requests, making agreements with agents (such as a record storage company) setting out their duties concerning the records, and notifying clients of the transfer.<br><\/li>\n<\/ul>\n\n\n\n<ul class=\"wp-block-list\">\n<li>She notes that she can only transfer records to a successor who is already a health information custodian.&nbsp;<br><\/li>\n\n\n\n<li>If she uses a record storage company to assist with the retention, transfer or disposal of health records, they would become an \u201cagent\u201d and Marina would remain the health information custodian.&nbsp;<br><\/li>\n\n\n\n<li>She must review and update the succession plan on a regular basis and when there is a change in circumstances that could affect the transfer of her client records to a successor.&nbsp;<\/li>\n<\/ul>\n\n<\/div>\n    <\/div>\n<\/div>\n\n\n\n<div class=\"content-section-block has-fade-in-up  align wp-block-acf-content-section\" id=\"section-discussion\">\n    <div class=\"section-header \">\n        <h2>Discussion<\/h2>\n            <\/div>\n\n    <div class=\"content-section\" aria-hidden=\"false\">\n        <div class=\"acf-innerblocks-container\">\n\n<p>OTs who are health information custodians are required to have a plan in place to manage client records upon planned or unexpected discontinuation of their practice, for example, resignation, revocation of license, death, disability, or leave of absence.<\/p>\n\n<\/div>\n    <\/div>\n<\/div>\n\n\n\n<div class=\"content-section-block has-fade-in-up  align wp-block-acf-content-section\" id=\"section-references\">\n    <div class=\"section-header \">\n        <h2>References<\/h2>\n            <\/div>\n\n    <div class=\"content-section\" aria-hidden=\"false\">\n        <div class=\"acf-innerblocks-container\">\n\n<ul class=\"wp-block-list\">\n<li>&nbsp;<a href=\"https:\/\/www.coto.org\/resources\/standard-for-record-keeping-2023\/\" data-type=\"resource\" data-id=\"1310\">Standards for Record Keeping<\/a>&nbsp;<\/li>\n<\/ul>\n\n\n\n<p>Information and Privacy Commissioner of Ontario<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li><a href=\"https:\/\/www.ipc.on.ca\/wp-content\/uploads\/2019\/04\/fs-health-abandoned_rec.pdf\" target=\"_blank\" rel=\"noreferrer noopener\">Fact Sheet: Succession Planning to Help Prevent Abandoned Records<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.ipc.on.ca\/wp-content\/uploads\/2019\/02\/avoiding-abandoned-health-records-e.pdf\" target=\"_blank\" rel=\"noreferrer noopener\">Avoiding Abandoned Health Records: Guidance for Health Information Custodians Changing Practice<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.ipc.on.ca\/wp-content\/uploads\/2016\/08\/Checklist.pdf\" target=\"_blank\" rel=\"noreferrer noopener\">Checklist for Health Information Custodians in the Event of a Planned or Unforeseen Change in Practice<\/a><\/li>\n<\/ul>\n\n<\/div>\n    <\/div>\n<\/div>\n\n\n\n<div class=\"content-section-block has-fade-in-up  align wp-block-acf-content-section\" id=\"section-contact\">\n    <div class=\"section-header \">\n        <h2>Contact<\/h2>\n            <\/div>\n\n    <div class=\"content-section\" aria-hidden=\"false\">\n        <div class=\"acf-innerblocks-container\">\n\n<p>If you have any questions about this case, or have any ideas or requests for future cases, contact the Practice Resource Service: 1.800.890.6570\/416.214.1177&#215;240 or&nbsp;<a href=\"mailto:practice@coto.org\">practice@coto.org<\/a>.<\/p>\n\n\n\n<p>Want more case studies?&nbsp;<a href=\"http:\/\/bit.ly\/COTOsignup\">Sign up<\/a>&nbsp;to stay up to date and receive the latest cases when they\u2019re released.<\/p>\n\n<\/div>\n    <\/div>\n<\/div>\n\n\n<p><\/p>\n","protected":false},"excerpt":{"rendered":"","protected":false},"author":1,"featured_media":0,"parent":0,"menu_order":0,"template":"","meta":{"_acf_changed":false,"advanced_seo_description":"Read our case study about succession planning for client records as an occupational therapist.","jetpack_seo_html_title":"Succession planning for client 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