Mental health practitioners have an obligation to ensure patient access to records for a legally prescribed period of years (varies by jurisdiction) after the patient ceases services. The ethical practitioner will have a plan in place to help them ensure continued patient care and access to records in the event of their own death or incapacity. A professional will is your plan to guide your representative in managing your patient records, referring your clients, and closing your office permanently or temporarily in the event of your death or incapacity. 

When setting up your professional will you should consider your patient population and any special needs or confidentiality issues that may arise, the legal requirements for record retention and release in your state, and any additional laws your state sets out about closing a practice. For practitioners who are members of an interjurisdictional compact (PSYPACT, Counseling Compact, Social Work Compact) this means you will need to review and follow the laws for every state in which you practice. It is becoming more common for states to require mental health practitioners to have a professional will or other plan in place to ensure patient care and management of records in the event of death or incapacity.

For psychologists, the American Psychological Association Ethics Code (linked webpage, 6.02 (c)) and the  Association of State and Provincial Psychology Boards (ASPPB)'s Code of Conduct (linked webpage, p.6) have been adopted into law by several states and both indicate that an ethical practitioner will make provisions for care of records in the event of the closure of their practice.  

For Clinical Mental Health Counselors/Licensed Professional Counselors, the American Mental Health Counselors Association Code of Ethics is encoded into Utah law. It indicates an ethical practitioner will establish a plan for transfer, storage, and disposal of records in the event of practitioner death. The American Counseling Association Code of Ethics (linked webpage, B.6.i and C.2.h) has been adopted into law by several states and indicate an ethical practitioner will take precautions to protect records, and access to records, including by identifying a custodian for records when possible, in the event of counselor incapacity, death, termination of practice, or retirement. 

For Licensed Marriage and Family Therapists, the American Association for Marriage and Family Therapy Code of Ethics (linked webpage, 2.6)  indicates an ethical practitioner will make preparation for closing a practice, moving a practice, or death of the provider by making arrangements for storage and disposal of records in ways that abide by relevant laws and protect confidentiality and welfare of the client. 

For Social Workers, the National Association of Social Worker's Code of Ethics (linked webpage, 1.07 and 1.15) indicates the an ethical practitioner will take steps to ensure confidentiality of records, and continuity of services, in the event of incapacity or death.

Resources for professional wills:

APA Good Practice 2014: Your Professional Will

Trust Risk Management Roundtable #20 (fee)

ASPPB Guidelines for Closing a Psychology Practice

NASW: Why Social Workers Need a Therapist Professional Will

Jamie Brass, PsyD is a licensed psychologist and owner of Professional Will Management, LLC. If you do not want to set up and manage your professional will on your own, she assists by offering an initial consultation to discuss issues you should consider for your practice and then can offer a  professional will template, and executor/professional will management services for a flat fee. Please note that Professional Will Management, LLC does not provide formal legal advice, but can assist you in determining what you should include in your professional will to prepare your practice for the future. Learn more and sign up today.

 Mia Brass is a grey stripey cat with no particular training in psychology or records management and retention. She loves videoconferencing and offering her opinion. If you have a video consultation with Professional Will Management, LLC she may stop by to talk.