An Act Regarding Records Retention by Mental Health Practitioners
Maine Legislature, Session 126, LD 1166
Committee: Health and Human Services
Sponsors: LACHOWICZ, NADEAU, GRATWICK, MAZUREK, HICKMAN
Amends: 32 MRSA §3824, 32 MRSA §7030, 32 MRSA §13853, 34-B MRSA §1203-A

Legislative Document 
No. 1166 
S.P. 403 
In Senate, March 26, 2013 
An Act Regarding Records Retention by Mental Health 
Practitioners 
Reference to the Committee on Health and Human Services suggested and ordered printed. 
DAREK M. GRANT 
Secretary of the Senate 
Presented by Senator LACHOWICZ of Kennebec. 
Cosponsored by Representative NADEAU of Winslow and 
Senators: GRATWICK of Penobscot, MAZUREK of Knox, Representative: HICKMAN of 
Winthrop. 
Be it enacted by the People of the State of Maine as follows: 
Sec. 1.  32 MRSA §3824, sub-§§7 and 8 are enacted to read: 
7.  Client record retention and destruction requirements.  The board shall ensure 
that the requirements for client record retention and destruction set out in this subsection 
are met. 
A.  An applicant shall file with the application for licensure and a licensee shall file 
with any application for renewal of licensure, in a form as required by the board, a 
plan for retention of client records in the event of the disability or death of the 
licensee. 
B.  A licensee shall retain records of a client, including records in the licensee's 
possession from another mental health professional who treated the client, in a secure 
and private location during the period of treatment and for 3 years after the last date 
of service for adult clients and for 3 years after the age of majority of minor clients. 
C.  A licensee, when discontinuing practice, shall provide notice to each client of the 
closure of the practice and the client's right to obtain the client's records. 
D.  A licensee, when planning to destroy client records, shall publish notice in a 
newspaper of general circulation in the county in which the licensee practiced of the 
intention to destroy records at least 3 months prior to the date of destruction. 
E.  A licensee, when destroying client records, shall do so by use of an entity in the 
State that provides confidential document shredding services. 
8.  Client record retention notification.  Within 24 hours of receiving notice that 
client records are being retained by a licensee in a manner that does not meet the 
requirements of subsection 7, the board shall act to secure the records in the Office of the 
Attorney General until such time as secure and private retention has been arranged for the 
time period required under subsection 7, paragraph B. 
Sec. 2.  32 MRSA §7030, sub-§§6 and 7 are enacted to read: 
6.  Client record retention and destruction requirements.  The board shall ensure 
that the requirements for client record retention and destruction set out in this subsection 
are met. 
A.  An applicant shall file with the application for licensure and a licensee shall file 
with any application for renewal of licensure, in a form as required by the board, a 
plan for retention of client records in the event of the disability or death of the 
licensee. 
B.  A licensee shall retain records of a client, including records in the licensee's 
possession from another mental health professional who treated the client, in a secure 
and private location during the period of treatment and for 3 years after the last date 
of service for adult clients and for 3 years after the age of majority of minor clients. 
C.  A licensee, when discontinuing practice, shall provide notice to each client of the 
closure of the practice and the client's right to obtain the client's records. 
D.  A licensee, when planning to destroy client records, shall publish notice in a 
newspaper of general circulation in the county in which the licensee practiced of the 
intention to destroy records at least 3 months prior to the date of destruction. 
E.  A licensee, when destroying client records, shall do so by use of an entity in the 
State that provides confidential document shredding services. 
7.  Client record retention notification.  Within 24 hours of receiving notice that 
client records are being retained by a licensee in a manner that does not meet the 
requirements of subsection 6, the board shall act to secure the records in the Office of the 
Attorney General until such time as secure and private retention has been arranged for the 
time period required under subsection 6, paragraph B. 
Sec. 3.  32 MRSA §13853, sub-§§16 and 17 are enacted to read: 
16.  Client record retention and destruction requirements.  The board shall ensure 
that requirements for client record retention and destruction set out in this subsection are 
met. 
A.  An applicant shall file with the application for licensure and a licensee shall file 
with any application for renewal of licensure, in a form as required by the board, a 
plan for retention of client records in the event of the disability or death of the 
licensee. 
B.  A licensee shall retain records of a client, including records in the licensee's 
possession from another mental health professional who treated the client, in a secure 
and private location during the period of treatment and for 3 years after the last date 
of service for adult clients and for 3 years after the age of majority of minor clients. 
C.  A licensee, when discontinuing practice, shall provide notice to each client of the 
closure of the practice and the client's right to obtain the client's records. 
D.  A licensee, when planning to destroy client records, shall publish notice in a 
newspaper of general circulation in the county in which the licensee practiced of the 
intention to destroy records at least 3 months prior to the date of destruction. 
E.  A licensee, when destroying client records, shall do so by use of an entity in the 
State that provides confidential document shredding services. 
17.  Client record retention notification.  Within 24 hours of receiving notice that 
client records are being retained by a licensee in a manner that does not meet the 
requirements of subsection 16, the board shall act to secure the records in the Office of 
the Attorney General until such time as secure and private retention has been arranged for 
the time period required under subsection 16, paragraph B. 
Sec. 4.  34-B MRSA §1203-A, sub-§9 is enacted to read: 
9.  Agency client records.  An agency or facility applying for licensure or for 
renewal of a license pursuant to this section shall, as part of the application process, file a 
plan in a form as required by the department for retention and destruction of client 
records.  The plan must provide that when an agency or facility ceases operation the first 
priority for payment from the assets of the agency or facility is the payment of taxes and 
the payment of other obligations required by law and the second priority is payment for 
the costs of client record retention and destruction. 
SUMMARY 
This bill requires mental health agencies and mental health professionals to plan for 
and provide secure and private retention of client records and record destruction after 
specified terms or when an agency or facility ceases to operate or a professional ceases to 
practice.