Department for Community Based Services

Standards of Practice Online Manual

30.11 APS Open Records and Confidentiality

Cabinet for Health and Family Services

Department for Community Based Services
Division of Protection and Permanency
Standards of Practice Online Manual
Chapter:
Chapter 30-Quality Assurance and Organizational Integrity
Effective:
1/22/2014
Section:
30.11 APS Open Records and Confidentiality
Version:
4

When a section of SOP has been revised users will see the following: Added {This is added material}, Deleted {This is deleted material}. The bold and strikethroughs will appear on the site for fifteen (15) days after a modification and will then be removed.

Legal Authority/Introduction

LEGAL AUTHORITY:

Procedure

The SSW:

  1. Determines the legitimacy of the individual's or agency’s interest in a case, prior to releasing verbal information.  Information may be released verbally, provided that the name or address of the informant(s) is not released.

Practice Guidance

  • Information obtained through an adult protective services investigation cannot be shared with anyone except:
    • The alleged victim;
    • Adult victim's legally appointed guardian;
    • Cabinet staff that have a legitimate interest or responsibility for the case;
    • Medical, psychological, social services, law enforcement  or other authorized agencies having a legitimate interest in the case as referenced in SOP 19.4 Completion of the DPP-115 Reporting Form; or
    • Through court order.
  • If staff is in contact with persons who do not have legal access to adult protective services records, the only information which may be shared is that which is deemed necessary to carry out statutory responsibilities to protect the adult and complete the investigation.  If the reporting source or other interested parties not permitted by statute request follow-up information on an adult protective services investigation, the SSW may:
  • Offer an explanation of services that may be offered in these situations; and
  • Explain Cabinet policy as it relates to the client’s right to accept or refuse services.

 

  • Requests for written information are routed through the open records process except for:
    • Law enforcement with an active interest in the case who request a copy of the adult assessment; or
    • Other investigative agencies with a legitimate interest in the case, as referenced in SOP 19.4 Completion of the DPP-115 Reporting Form.
  • Court orders, subpoenas, and all other requests for records are immediately sent by fax (502-564-9554) to the Records Management Section in central office.  This office can also be reached by phone at 502-564-3834.  
     
  • Requests for open records as outlined in SOP 30.11 Open Records Request and Disclosure of Information made by someone other than those listed in KRS 209.140 must be accompanied by a signed CHFS-305 Authorization for Disclosure of PHI.
 

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