Sec. 07.05.01.11. Record Maintenance, Security, Retention, and Disposition

A. The agency shall:

(1) Maintain records necessary for the proper and efficient operation of the agency program which shall be:

(a) Legible; and

(b) Signed and dated by the individual making the record entry;

(2) Develop written policies and procedures regarding record maintenance, security, confidentiality in handling, disclosure, and destruction which shall include:

(a) Clearly defined criteria which govern the types of information that are safeguarded and the conditions under which the information may be released, including a client's:

(i) Name and address,

(ii) Services received,

(iii) Information related to social and economic conditions or circumstances,

(iv) Agency evaluations, and

(v) Medical data;

(b) Availability, upon request, of information to the child or the child's parent or legal custodian, if the information released does not contain material which violates the privacy rights of another individual or material required to be withheld from release according to State law or by order of a court;

(c) Maintaining indefinitely and in locked storage, case records on foster and adoptive children and their birth and adoptive families;

(d) Retaining financial records and other documents for:

(i) 5 years after the client's termination from service, or

(ii) Until the resolution of any audit findings or claims involving the records in compliance with applicable State laws or contractual agreements;

(e) Destroying records in a manner to preserve confidentiality;

(f) Making all records available to inspection, review, or audit by authorized State or federal personnel or by other authorized individuals whose official duties require inspection, review, or audit of the records;

(g) Transferring of case records to the receiving agency when a child in care or receiving adoption services is transferred to a different privately licensed or public State agency; and

(h) Reviewing the case record maintenance system for:

(i) Ensuring that children's records are kept current and accurate, and

(ii) Documenting the name of the individual and the purpose for and date of access to the record.

B. Without the voluntary, written consent of the parent or guardian or pursuant to a court order, the agency may not release any information about a child in care or receiving adoption services except to:

(1) The child;

(2) The child's parent or guardian;

(3) The court;

(4) A representative of the agency which holds custody of the child; or

(5) An authorized public official in the performance of official business.

C. If client names are deleted and other identifying information is disguised or deleted, the agency may use material from case records for teaching, research purposes, accreditation review, or enhancement of the governing board's understanding and knowledge of the agency's services.

D. If the agency corporation dissolves, the agency shall deposit all records with the Administration for disposition or retention as required by law.