Code of Massachusetts Regulations
606 CMR - DEPARTMENT OF EARLY EDUCATION AND CARE
Title 606 CMR 5.00 - Standards for the Licensure or Approval of Agencies Offering Child Placement and Adoption Services
Section 5.12 - Record Keeping Requirements

Universal Citation: 606 MA Code of Regs 606.5

Current through Register 1531, September 27, 2024

(1) General Record Keeping Requirements.

(a) The licensee shall create and maintain records for all expectant parents, parents, children, birth parents, foster parents and adoptive parents, and foster and adoptive parent applicants, as required by 606 CMR 5.12.

(b) The licensee must maintain a log of all contacts with parents and expectant parents, including the date of the call, the name of the caller and the purpose of the call.

(c) The licensee shall maintain a log of all post-adoption services requested or provided, in accordance with 606 CMR 5.10(14). The log shall specify the name of the client, the date and nature of the request and the services provided.

(d) Legibility and Authentication of Records. All records shall be legible, dated and signed by the individual making the entry.

(e) All home study assessment reports shall be signed and dated by the social worker who completes the assessment, and by the supervisor or second person who reviews and approves the assessment.

(f) Updating Records. The licensee shall continually update all information in expectant parent's, parent's, children's, foster parent's and adoptive parent's records. The licensee shall have a written policy describing its procedures for updating any information provided by birth parents, foster parents, adoptees and adoptive parents following the adoption decree. Such policy shall include a statement that the licensee will encourage all parties to provide updated information.

(g) Coordination of Records. The licensee shall have and follow a written procedure to coordinate birth parents', children's, and adoptive parents' records.

(h) Confidentiality of Records. Information contained in children's, parent's, birth parent's, foster and adoptive parent's records shall be privileged and confidential, provided, however that
1. the licensee shall make summaries of children's progress reports available upon request to parents or guardians and foster parents. Such summaries may be oral unless parents request such summaries to be in writing. When reports and information are made available, the licensee shall provide staff assistance in interpreting them to parents or guardians and foster parents.

2. the licensee shall make foster parents' annual review available to foster parents and shall afford them an opportunity to respond to the review in writing, as provided by 606 CMR 5.09(10). When reports or information are made available, the licensee shall provide staff assistance in interpreting them to foster parents.

(i) Distribution of Records. Children's, parent's, expectant and birth parent's, foster and adoptive parent applicants', and foster and adoptive parents' records shall be the property of the licensee. The licensee shall establish written procedures governing access to, duplication of, and dissemination of such information.

(j) Storage and Preservation of Records.
1. The licensee shall secure the information contained in these records against loss, defacement, tampering, or unauthorized use.

2. The licensee shall maintain foster children's records for a minimum of seven years. Thereafter, the child's record may be destroyed if a duplicate is maintained by the Department of Children and Families.

3. The licensee shall maintain records for foster parents and for foster and adoptive parent applicants who do not receive a placement for a minimum of seven years.

4. The licensee shall maintain parent and expectant parent records for a minimum of seven years.

5. The licensee shall maintain birth parent, child, and adoptive parent records in perpetuity.

6. If an agency intends to cease operation, it shall notify the Department at least 90 days in advance of its intent to close. Such notice shall include a review and update, as appropriate, of the plan for agency closing submitted in accordance with 606 CMR 5.03(2)(a)26.

7. The licensee shall not destroy records required to be kept by these regulations and shall provide for their preservation and transfer.

(2) Children's Records. The licensee shall maintain a written record for each child which includes:

(a) A face sheet which identifies the child by the following information:
1. the name, date of referral, date of birth, place of birth, citizenship, language spoken (if other than English), and religion of the child;

2. a photograph of the child taken not more than three months prior to placement;

3. birth father's name and cultural background, birth mother's name, maiden name and cultural background;

4. name, telephone number, and addresses of parents, legal guardian, or closest relative available in case of emergency;

5. sex, race, height, weight, color of hair, color of eyes, identifying marks and cultural background of the child;

6. medical condition significant to the child's well-being, including allergies, current medications, and any assistive devices required by the child;

7. a statement indicating whether or not the child was ever adopted, including the child's age at the time of adoption and the child's country of origin;

8. a statement indicating whether or not the child is capable of self-preservation;

9. name of the responsible social worker of the licensee;

10. name and phone number of the agency having custody of the child, if different from the licensee;

11. custody or guardianship status of the child;

12. name, address, and telephone number of current caretaker of child;

13. referring agency, name of social worker and telephone number.

(b) The following documentary information, as applicable:
1. sources of financial support;

2. evidence of authority to place the child, as required in 606 CMR 5.11(2) and (3);

3. all authorizations, consents and agreements with parents/legal guardians;

4. a log documenting each placement, including dates of placement, and names, addresses and telephone number of each placement;

5. reports of any transfers of placement as required by 606 CMR 5.07(1)(j);

6. the rates of payment to any foster parent, and any change made therein, for the care of the child;

7. the date and location of any judicial or administrative hearing involving the child, including reason for the hearing, and summary of its outcome;

8. all pertinent correspondence concerning the child and birth family;

9. the signed acknowledgment indicating receipt of the agency's complaint policy, as required by 606 CMR 5.04(3)(g);

10 any referral of the child for adoption or any application to adopt the child, and action taken;

11. case notes documenting contacts and services set forth in 606 CMR 5.07.

12. information regarding the child's discharge from placement, including the date of discharge and the person responsible for the child after discharge;

13. documentation of any post-adoption services provided to the child, as required by 606 CMR 5.07(2)(e).

(c) The following reports about the child:
1. the intake required by 606 CMR 5.07(1)(a);

2. all service plans, reviews and updates, as required by 606 CMR 5.07(1)(b) and 5.07(2)(b) and (c);

3. medical records indicating the child's health history and medical evaluations and services received;

4. discharge plan or summary as required by 606 CMR 5.07(1)(m) and (n).

(3) Parent and Birth Parent Records. The licensee shall maintain a written record for parents, expectant parents and birth parents which includes at minimum:

(a) the intake assessment, as required by 606 CMR 5.08(1) and/or 5.08(3)(a);

(b) the initial service plan for the child's family, as required by 606 CMR 5.08(2)(a) and/or (3)(c), as applicable;

(c) case notes documenting counseling and education services required by 5.08(3)(c), including the name and qualifications of the counselor, number and duration of counseling sessions and the specific issues or topics addressed in each session;

(d) all family service plan updates and reviews, as required by 606 CMR 5.08(2)(c) and (e), if applicable;

(e) acknowledgment of receipt of the written information required by 606 CMR 5.08(3)(b) and (e), as applicable

(f) acknowledgment of receipt of the agency's policy regarding financial responsibilities for all services related to foster care and adoption, as applicable, as provided by 606 CMR 5.05(3);

(g) The licensee's evaluation of the expectant mother's need for financial assistance, as required by 606 CMR 5.05(4)(b)3;

(h) documentation of the cost of each service provided to birth parents by persons who are not employees of the licensee, as required by 606 CMR 5.05(4)(h);

(i) Documentation of all expenses paid for living and support services, transportation, medical expenses, and legal expenses related to the relinquishment and adoption process, as required by 606 CMR 5.05(4)(h);

(j) Copies of any written agreements with other licensed adoption agencies, licensed social workers or counselors for the provision of services to parents, as required by 606 CMR 5.06(2)(f);

(k) Copies of the Surrender Form or,

(l) Termination of Parental Rights, and any legal agreement to which the birth parent was a party;

(m) Documentation of any services provided to birth parents following adoption placement, if applicable;

(n) Any information that birth parents request be maintained by the agency following termination of parental rights, including updated medical or social information and information about the birth parents' wishes regarding contact with the child; and

(o) Copies of any correspondence provided to the agency by the birth parent.

(4) Foster Parent Records. The licensee shall maintain a written record for foster parents that includes:

(a) foster parents' written application;

(b) copies of service plans or contracts for services between the licensee and the foster parent applicants including, but not limited to, the general foster parent agreement and the agreement upon placement of an individual foster child, as required by 606 CMR 5.09(6)(a) and (b);

(c) a narrative description of the foster parent assessment, as required by 606 CMR 5.09(4);

(d) evidence of references and medical statements, as required by 606 CMR 5.09(4)(d)11. and 12., and certificates or decrees, as required by 606 CMR 5.09(4)(d)13.;

(e) case notes documenting services set forth in 606 CMR 5.09(9);

(f) record of each child placed in the foster home, including the child's full name and date of placement, and payment rates for foster parents;

(g) all correspondence and/or communications concerning the foster family;

(h) the signed acknowledgment indicating the receipt of all written information required by 606 CMR 5.09(1);

(i) documentation of completed Background Record Check evaluation, as required by 606 CMR 5.09(4)(c);

(j) annual service reviews, as required by 606 CMR 5.09(10), and home study assessment and home study assessment updates, as required by 606 CMR 5.09(4), including supporting documents;

(k) documentation of orientation and ongoing training, as required by 606 CMR 5.09(2) and (9);

(l) any other information necessary to furnish a basis for review, study, and evaluation of the foster home; and

(m) the date and reasons for closing a foster home and a copy of the written notification to the foster parents, if applicable, as required by 606 CMR 5.09(13).

(5) Adoptive Parent Records. The licensee shall maintain a written record for adoptive parents that includes:

(a) adoptive parents' written application;

(b) copies of service plans or contracts for services between the licensee and the adoptive parent applicants, as required by 606 CMR 5.10(2);

(c) a narrative description of the adoptive parent assessment, as required by 606 CMR 5.10(6);

(d) evidence of references, medical statements, and certificates or decrees as required by 606 CMR 5.10(6)(d)12., 13., and 14.;

(e) case notes documenting services set forth in 606 CMR 5.10(11) and (14);

(f) a copy of each pre-placement agreement entered between the licensee and the prospective adoptive parents, as required by 606 CMR 5.10(7)(b);

(g) a record of each child placed in the adoptive home;

(h) all correspondence and/or communications concerning the adoptive family;

(i) the signed acknowledgment indicating the receipt of all written information required by 606 CMR 5.10(1);

(j) documentation of completed Background Record Check evaluation, as required by 606 CMR 5.10(6)(c);

(k) home study assessments and home study assessment updates, as required by 606 CMR 5.10(6)(d) and (j);

(l) documentation of orientation and adoptive parent preparation, as required by 606 CMR 5.10(3) and (4);

(m) any other information necessary to furnish a basis for review, study, and evaluation of the adoptive home; and

(n) documentation of post-adoption services requested and/or provided, and the outcome of such services.

(6) Placement Register. Each licensee shall keep and maintain a permanent register of all children placed. The register shall include the child's birth name, date of birth, date of placement and name of placement.

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