N.Y. Comp. Codes R. & Regs. tit. 18 § 428.10

Current through Register Vol. 46, No. 45, November 2, 2024

Section 428.10 - General social services district requirements

(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.

N.Y. Comp. Codes R. & Regs. Tit. 18 § 428.10

Amended, New York State Register October 22, 2014/Volume XXXVI, Issue 42, eff. 10/22/2014