Rules & Regulations of the State of Tennessee
Title 1240 - Human Services
Subtitle 1240-01 - Family Assistance Division
Chapter 1240-01-13 - Case Record Management
Section 1240-01-13-.01 - CASE RECORD MANAGEMENT
Universal Citation: TN Comp Rules and Regs 1240-01-13-.01
Current through September 24, 2024
(1) Reserved for Future Use.
(2) Reserved for Future Use.
(3) Reserved for Future Use.
(4) Reserved for Future Use.
(5) Confidentiality Of Case Records.
(a) The Department of Human Services
in Tennessee, in accordance with the laws of this State and the Federal
statutes pertaining to this subject, has adopted the policy of maintaining the
confidential nature of Family Assistance information. This same policy applies
to all case records. whether Family Assistance or otherwise.
(b) Information Considered Confidential. In
general, the information listed below will be considered as confidential:
1. Case records.
2. Lists of Family Assistance
recipients.
3. Reports of
investigations and medical investigations.
4. Names and addresses of Family Assistance
recipients.
5. All other
information known to the agency in connection with Family Assistance and other
services.
6. Information contained
on applications and on various forms.
(c) Exceptions to
1240-01-13-.01(5)(b)
above:
1. Release to law enforcement
officials to assist in prosecuting fraud against the Department or of child
abuse.
2. Release to appropriate
agencies assisting in collection of child support in the AFDC
program.
3. Release to service
providers, such as mental health professionals, providing services to abusive
or neglectful parents.
4. Release
to Employment Security for work registration requirements or WIN.
5. Release to the child's guardian ad litem
in child custody and guardianship cases.
6. Disbursement report. AFDC only.
7. Total expenditure of funds.
8. Number of recipients and other statistical
information.
9. Social data
continued in general studies.
10.
Reports on surveys.
(d)
Release of Information to the Applicant/Recipient or His/Her Representative.
1. Food Stamp Records. Information in Food
Stamp records will be made available upon written request to a responsible
member of the Food Stamp household, the household's currently authorized
representative, or a person acting on the household's behalf during normal
business hours. If the person seeking to inspect the record is not a member of
the household, the currently authorized representative, or a licensed attorney
representing the household, written authorization from the household for the
person to act on its behalf is required. However, the county office may
withhold confidential information such as the names of individuals who have
disclosed information about the household without the household's knowledge, or
the nature or status of pending criminal prosecutions.
2. AFDC Records. The applicant/recipient
shall have adequate opportunity at any reasonable time to examine, copy, and
make notes about the contents of the case file about his/her circumstances
maintained by DHS. The applicant/recipient may be accompanied and assisted by
another individual, including a non-lawyer, to review the file with him/her.
When the applicant/'recipient has secured the service of an attorney, the
attorney and that attorney's authorized non-lawyer employee shall have access
at any reasonable time and upon written request to examine, copy, and make
notes about the contents of the A/R's case file. The attorney must provide a
written request which:
(i) includes the
attorney's confirmation that the A/R has retained him/her as counsel;
(ii) provides assurance that the confidential
nature of the information will be preserved;
(iii) provides assurance that the information
will be used only for the purpose for which it is made available.
The individual granted access to the case record can only be the applicant/recipient, an individual accompanying and assisting the A/R in the A/R's presence, the A/R's attorney, or that attorney's non-lawyer employee whom the attorney supervises. Identification of the individual requesting access will be verified, unless she/he is known to the worker or other staff in the office.
3.
Merged Records. AFDC/FS. When individuals who are permitted access to the Food
Stamp case, but not the AFDC case record, request access to the merged record,
information regarding the AFDC program will be temporarily removed from the
case folder.
4. Protection of Case
Material - AFDC/FS. A staff member will remain with an applicant/recipient, a
claimant, or his/her representative who is reviewing a case folder document or
is copying material from the folder to ensure that no material is removed from
and subsequently not returned to the folder and to ensure that the original
document (not the copy) is replaced in the folder.
5. Access to Sensitive Data - AFDC/FS. While
an applicant/recipient or his/her representative cannot be denied access to any
portion of the case folder, at times there is information in the folder which
could be damaging to the person. This is particularly true of
medical/psychiatric/psychological reports. Also, some material is labeled
"Confidential" by the provider. When such circumstances exist and the person is
represented by an attorney, the attorney will be asked to consider the
advisability of him/her having access to the documents but withholding them
from the applicant/recipient. However, this decision must be made by the
attorney/client and not by DHS staff.
6. Interpretation of Case Material - AFDC/FS.
Staff will make no effort to interpret or explain forms, documents, or other
information contained in a case folder being reviewed by an applicant/recipient
or his/her representative.
7.
Making Copies of Information in Case Record - AFDC/FS. Applicant/recipient or
their representatives are to be permitted to make copies of any pertinent
information which they are allowed to see. Upon an appellant's/his/her
representative(s) request, one copy of portions of the case file relevant to
the fair hearing/fraud hearing shall be furnished free of charge. When copying
equipment is available, copies of other case file material may be furnished to
an A/R, or an appellant, or an applicant/recipient's/appellant's representative
at a charge of 10 cents per page (e.g., a charge of 20 cents would be made if
the front and back of one page were copied). Under no circumstances will an
applicant/recipient or his/her representative be permitted to remove a case
folder from the county office. Neither will a staff member be furnished to take
a folder from the office for the purpose of making copies of file
material.
(e) Release of
Information to Persons Other Than the Recipient or Someone Acting on His/Her
Behalf. Except as specified below, no information from case records in the
possession of this Department is to be released to anyone outside this
Department other than the Applicant/Recipient or his/her representative. The
exceptions to this policy:
1. Food Stamps
Only. Use or disclosure of information obtained from Food Stamp applicant
households exclusively for the Food Stamp Program is restricted to the
following persons:
(i) Persons directly
connected with the administration or enforcement of the provisions of the Food
Stamp Act or regulations, other federal assistance programs, or federally
assisted state programs which provide assistance on a means-tested basis to low
income individuals;
(ii) Employees
of the Comptroller General's office of the United States for audit examination
authorized by any other provision of law; and
(iii) Local, state, or federal law
enforcement officials, upon their written request, for the purpose of
investigating an alleged violation of the Food Stamp Act or regulations. The
written request must include the identity of the individual requesting the
information, his authority to do so, the violation being investigated, and the
identity of the person on whom the information is sought.
(iv) Local, state, or federal law enforcement
officials may receive the address, Social Security Number, and (if available)
photograph of a Food Stamp recipient if the officer furnishes the recipient's
name and notifies the Department that the individual:
(I) is fleeing to avoid prosecution, custody,
or confinement for a felony; or
(II) is violation a condition of parole or
probation; or
(III) has information
necessary for the officer to conduct an official duty related to items (I) and
(II); and
I. locating or apprehending the
household member must be an official duty of the officer making the request;
and
II. the request is being made
in the proper exercise of an official duty.
2. AFDC Only - Sharing of
Information with Other Agencies. In the administration of the Family Assistance
program and in connection with the individual case situations, information may
be given as operates to the welfare of the individual, if the disclosure of
such information does not operate to his/her embarrassment or possible
exploitation. Information may be shared in these situations, when the following
safeguards are observed:
(i) The inquiring
agency or individual has given assurance that the confidential nature of the
information will be preserved.
(ii)
The agency or individual has given assurance that the information will be used
only for the purposes for which it is made available, such purposes being
reasonably related to the purposes of the Family Assistance Program, and the
function of the inquiring party.
(iii) The standards of protection established
by the agency or individual are equal to those established by the
Department.
3. Release
to Law Enforcement Officials - AFDC Only. Information may be released to
appropriate law enforcement officials as may be needed by them in the
apprehension and/or conviction of felons. This exception does not authorize
release of information to assist process servers or others needing it for civil
reasons.
4. Release Pursuant To
Valid Subpoena Or Court Order - Food Stamps/AFDC. The Department will comply
with a valid subpoena or court order for the release of information. If the
subpoena would allow unrestricted access to the records, however, the court
will be asked to limit the scope of discovery.
5. Disbursement Records Available To The
Public In County Offices - AFDC Only.
(i)
Disbursement records shall be placed in a binder provided for this purpose in a
convenient place in the office so they will be available to the public.
(I) A copy of House Bill No. 322 (March,
1953) shall be pasted on the inside of the front cover of the binder.
(II) A register for the signatures of
individuals who inspect the disbursement records shall be maintained as a
permanent record. The date of inspection shall be included on the
register.
(ii) It is
unlawful for an individual to copy disbursement records. If such an attempt is
made, the staff present shall call the individual's attention to the law. If
the individual should persist in his/her effort, a law enforcement officer
shall be called and asked to stop the illegal act.
(iii) Reserved for future use.
Authority: T.C.A. §§ 14-1-105(12); 14-8-106; 14-8-119, and 14-27-104(2); 7 CFR 272.1 (as amended 49 Federal Register 48680) and 45 CFR 205.50.
Disclaimer: These regulations may not be the most recent version. Tennessee may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.
