New York Codes, Rules and Regulations
Title 18 - DEPARTMENT OF SOCIAL SERVICES
Chapter II - Regulations of the Department of Social Services
Subchapter C - Social Services
Article 2 - Family and Children's Services
Part 428 - STANDARDS FOR UNIFORM CASE RECORDS AND FAMILY AND CHILD ASSESSMENTS AND SERVICE PLANS
Section 428.10 - General social services district requirements
Universal Citation: 18 NY Comp Codes Rules and Regs ยง 428.10
Current through Register Vol. 46, No. 39, September 25, 2024
(a) Records and reports.
(1) All social services districts must submit
to OCFS the records required in this Part in the form, manner and at such times
as required by OCFS.
(2) All
records must be maintained in a manner consistent with the confidential nature
of such records in accordance with sections 136, 372 (4), 422 (4), 422 (5-a) and
427-a (5) of the Social
Services Law and Part 357 and sections
423.7
and
432.13
of this Title.
(3) Records, whether
maintained by a district or provider agency pursuant to a purchase of service
agreement, must be available at all reasonable times for inspection by
representatives of OCFS, and photostatic copies of such records must be
forwarded to OCFS upon request.
(4)
Uniform case records maintained in CONNECTIONS or any other electronic or
web-based data system designated by OCFS are available to OCFS and may be
accessed by authorized OCFS personnel without prior notice to the district or
provider agency.
(5) Such records,
whether maintained by a social services district or provider agency must be
retained in accordance with the following standards:
(i) records of a foster child must be
retained for 30 years following the discharge of the child from foster
care;
(ii) records of a child and
family receiving preventive services must be retained for six years after the
18th birthday of the youngest child in the family. Such records must be
expunged six years after the 18th birthday of such child. The provisions of
this subparagraph apply where the sole service provided is preventive services.
Where preventive services is provided in conjunction with or in addition to
foster care, adoption or child protective services, the applicable standards
for record retention in relation to foster care, adoption or child protective
services as set forth in this section apply;
(iii) records of a child and family receiving
child protective services must be maintained in accordance with the standards
set forth in sections 422 (5), 422 (8), and
427-a (5) of the Social
Services Law and sections
432.9
and
432.13
of this Title; and
(iv) records of
an adopted child must be sealed and permanently retained.
(b) Purchase of service agreements.
(1) Local social services
districts may require agencies with whom they have entered into a purchase of
service agreement for family and children's services, to maintain all or a
portion of the forms required to be maintained in accordance with this Part.
Nothing contained in a purchase of service agreement limits the right of the
local social services district and OCFS to receive copies of all information
and records required to be kept pursuant to this Part and the local social
services district's responsibility to monitor the recordkeeping of the purchase
of service agency.
(2) A purchase
of service agreement that requires an agency to maintain all or part of the
uniform case record must set forth the respective responsibilities of the
district and agency to maintain such uniform case record, including the forms
and additional information and/or documents identified in section
428.3(b)(1)
and (2) of this Part. Where the purchase of
service agreement has delegated case planning responsibility to the purchase of
service agency, the agency must comply with the provisions of this Part to the
same extent as a local social services district, except as may be set forth in
the purchase of service agreement.
(3) Nothing contained in a purchase of
service agreement entered into pursuant to this subdivision relieves the local
social services district of its responsibilities under this Part to provide a
uniform case record for all children as is required by this Part.
(4) Purchase of service agreements between
local social services districts and public agencies to provide preventive
services in non-foster care and non-child protective services cases may allow a
waiver of the use of the uniform case recording forms, so long as the
substitution is agreed by the contracting parties and the substitution is
approved by an authorized representative of OCFS, in writing, prior to its use.
Purchase of service agreements between local social services districts and
private voluntary agencies to provide preventive services in non-foster care
and non-child protective services cases may allow a waiver of the use of the
uniform case recording forms so long as the agency uses a model program with
prescribed case recording requirements and the substitution is agreed by the
contracting parties and is approved by an authorized representative of OCFS, in
writing, prior to its use.
(i) Substituted
forms must contain but not be limited to essential data related to family
history and identification of the child(ren) and family members; an assessment
of child and family circumstances and functioning; a family service plan;
descriptions of care, maintenance, or services provided to the child(ren) and
family and the dates of service provision; and any court related
activity.
(ii) Family assessments
and service plans must occur at 30 days, 90 days and six months from the case
initiation date, and every six months thereafter.
(5) Directly provided or purchased community
optional preventive services, as defined in section
428.2(k)
of this Part, may be exempt from the uniform case record requirements if a
waiver is requested by the local social services district and approved, in
writing, by an authorized representative of OCFS.
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