N.Y. Social Services Law § 409-f: Uniform case recording

§ 409-f. Uniform case recording. 1. With respect to each child

described in subdivision one of section four hundred nine-e of this

title, the social services district shall establish and maintain a

uniform case record, consisting of the assessment, the family service

plan, descriptions of care, maintenance or services provided to such

child and family and the dates provided, essential data relating to the

identification and history of such child and family, all official

documents and records of any judicial or administrative proceedings

relating to the district's contact with the child and family, and such

other records as the department may by regulation require to adequately

review case management by the districts. The department shall by

regulation specify the format and contents of the uniform case record.

Such regulation shall be developed in consultation with public and

voluntary authorized agencies, citizens' groups and concerned

individuals and organizations, including the state council on children

and families. The uniform case record shall be maintained by the

district in a manner consistent with the confidential nature of such

records and shall be made available in accordance with applicable

provisions of law. When a hearing has been requested in accordance with

section twenty-two of this chapter, a copy of the portions of the record

relevant to the hearing shall also be made available to the child's

parent or guardian, counsel for the parent or guardian, and, if

participating in the hearing, the child's attorney.

2. Notwithstanding any other provision of law, uniform case record

information governed by this section may be released by the department,

social services district or other provider of child welfare services to

a person, agency or organization for purposes of a bona fide research

project. Identifying information shall not be made available, however,

unless it is absolutely essential to the research purpose and the

department gives prior approval. Information released pursuant to this

subdivision shall not be re-disclosed except as otherwise permitted by

law and upon the approval of the department.

3. (a) Notwithstanding any inconsistent provision of law to the

contrary, records relating to children pursuant to this section shall be

made available to officers and employees of the state comptroller or of

the city comptroller of the city of New York, or of the county officer

designated bylaw or charter to perform the auditing function in any

county not wholly contained within a city, for purposes of a duly

authorized performance audit; provided, however, that such comptroller

or officer shall have certified to the keeper of such records that he or

she has instituted procedures developed in consultation with the

department to limit access to client-identifiable information to persons

requiring such information for purposes of the audit, that such persons

shall not use such information in any way except for purposes of the

audit and that appropriate controls and prohibitions are imposed on the

dissemination of client-identifiable information obtained in the conduct

of the audit. Information pertaining to the substance or content of any

psychological, psychiatric, therapeutic, clinical or medical reports,

evaluations or like materials or information pertaining to such child or

the child's family shall not be made available to such officers and

employees unless disclosure of such information is absolutely essential

to the specific audit activity and the department gives prior written

approval.

(b) Any failure to maintain the confidentiality of client-identifiable

information shall subject such comptroller or officer to denial of any

further access to records until such time as the audit agency has

reviewed its procedures concerning controls and prohibitions imposed on

the dissemination of such information and has taken all reasonable and

appropriate steps to eliminate such lapses in maintaining

confidentiality to the satisfaction of the department. The department

shall establish the grounds for denial of access to records contained

under this section and shall recommend as necessary a plan of

remediation to the audit agency. Except as provided in this section,

nothing in this subdivision shall be construed as limiting the powers of

such comptroller or officer to access records which he is otherwise

authorized to audit or obtain under any other applicable provision of

law. Any person given access to information pursuant to this subdivision

who releases data or information to persons or agencies not authorized

to receive such information shall be guilty of a class A misdemeanor.