The [ ] County Department of Human Services (DHS) is responsible for the confidentiality of early intervention records wherever those records are located. This policy is designed to meet the requirements of HFS 90 and those of the Family Educational Rights and Privacy Act (FERPA). The DHS and any service provider shall protect the confidentiality of personally identifiable information at the collection, storage, disclosure and destruction stages. The DHS will provide the service provider a copy of the record policy and will describe the service provider's responsibility for confidentiality of records. DHS will provide training to DHS and service provider staff concerning record maintenance and confidentiality.

I. Definitions

1. "Early intervention record" includes information regarding the screening, evaluation, assessment, eligibility determination, development and implementation of the IFSP, individual complaints dealing with the child or family, and any other area of the early intervention services being provided to child and the child's family.

Early intervention records may include records created and maintained by therapists, teachers, and other providers made in the course of providing services.

Early intervention records do not include the personal records made by service, supervisory, or administrative personnel that are made as a memory aid and kept in the sole possession of the individual who made it. If this information is revealed or made available to another person (except a temporary substitute for the maker of the record), it is no longer considered a personal record.

2. "Personally identifiable" means that information includes--
a. the name of the child, the child's parents, or other family member;
b. the address of the child, the child's parents, or other family member;
c. a personal identifier, such as the child's social security number;
d. a description of personal characteristics or other information that would make it possible to identify the child;
e. information that would make the identity of the child easily traceable.

I. Personally identifiable information concerning a child, the child's parents, or other family member is confidential.

III. The DHS will yearly notify parents about their rights in regards to records under HFS 90 and FERPA. The notice will inform parents about:
A. the types of information that will be collected about their child;
B. the methods the DHS intends to use in gathering the information, including the sources from whom information is gathered;
C. the uses to be made of the information;
D. how this information will be maintained and disclosed;
E. the locations where records are maintained, the type of records maintained, and the record custodian at that site;
F. the rights parents have to access records;
G. how parents may request that information be amended; and
H how parents may request a hearing if the agency refuses to amend the record.

The notice will be translated as necessary into the native language of non-English speaking parents.

ACCESS TO RECORDS

By Parents

1. The parents of a child eligible for early intervention services will be afforded the opportunity to inspect and review their child's early intervention records. The service coordinator will offer to collect copies of the record from locations other than the DHS offices.

2. Any parent has the right to review records unless the agency has been informed that the parent does not have the right under state law (such as in the case of guardianship, separation, and divorce).

3. When an early intervention record includes information on more than one child, the parents have a right to inspect and review only the information that relates to their child or to be informed of the contents of the record relating to their child.

4. Parents will have access to their child's early intervention records regardless of whether the records are maintained by the DHS, another public agency, or a service provider.

5. When the parents request to review an early intervention record, the DHS or the service provider maintaining the record shall comply with the request without unnecessary delay and in no event more than 15 working days after the request is made. When early intervention records are requested in connection with a meeting regarding the IFSP or a hearing to resolve a parental complaint, the DHS or service provider shall provide the records at least five working days prior to the meeting or hearing.

6. The parents' right to review an early intervention record includes:
a. the right to a response to reasonable requests for explanations and interpretations of the record;
b. the right to a search for or retrieval of an early intervention record without cost;
c. the right to obtain, free of charge, one copy of each early intervention record (the agency may charge a fee for additional copies); and
d. the right to have a representative of the parents' choosing review the early intervention record along with the parents or, with the parents' written consent, review the record instead of the parents.

7. Parents will be informed by the DHS, on request, of:
a. the types and locations of all early intervention records regarding their child or family;
b. the title and address of persons at each location to whom requests to review records should be made; and
c. the name and/or titles of persons within the DHS or service provider agencies who will have unrestricted access to the early intervention record and the procedure for restricted access by other employees.

By Others

1. Employees of the DHS and its contracted service providers who provide direct services to the child and family will have access to confidential information in the early intervention record. The DHS and service provider shall identify, by name and title, within each child's early intervention record, those employees of the DHS and service provider who have a legitimate need for access to such early intervention record and who will have unrestricted access to that early intervention record.

The DHS or service provider may disclose confidential information, without parental consent, to its employees who have a legitimate need for access to the information. An employee of the DHS or service provider, as the case may be, who wants access to an early intervention record must (1) request access from the designated record custodian; (2) demonstrate to the satisfaction of the record custodian that the employee has a legitimate need for access to the early intervention record, within the meaning of the criteria and procedures set forth by the DHS; and (3) sign the access log within the early intervention record.

2. Except as provided above, the parents' informed written consent will be required for disclosures of confidential information to agencies or individuals collecting or using the information for the purpose of early intervention services or for any other purposes.

3. However FERPA and state regulation authorize disclosure without consent for the following purposes:
a. to comply with a judicial order or lawfully issued subpoena
b. to DHFS or federal officials in order to complete an audit or evaluation or for the enforcement of, or compliance with, federal legal requirements
c. in a health or safety emergency that is a threat to the health or safety of the child or other persons and the disclosure is necessary to meet the emergency.

Any disclosures made in compliance with this section will be entered in the access log within the child's early intervention record.

The access log will record the name of party to whom the record was released or who had access to the record as in (1) above; the date the date the record was released or access was given; and the purpose of the release or access.

3. In order to share early intervention records with other agencies and individuals, the DHS must request that parents provide a release. When such a release is sought:
a. Parents will be informed of their right to refuse to sign the release.
b. The release form must list the agencies and providers to whom information will be given; the purpose for requesting the information, and specify the type of information that will be given to each;
c. Parents will be given the opportunity to limit the information provided under the release and to limit the agencies, providers, and persons with whom the information will be shared.
d. The release must be revocable at any time;
e. The release must be time-limited with the expiration date indicated on the consent form;
f. The DHS and each service provider must keep a log, accessible to the parents, of all disclosures of confidential information; and
g. The parents may request a copy of the records that are disclosed.

4. With the parents' informed written consent, confidential information regarding the child may be provided to the public schools.

5. The DHS or a service provider will not redisclose confidential information obtained from another agency or provider without the parents' prior informed consent, unless such redisclosure is permitted under the terms of the original disclosure made to the DHS or provider.

When the DHS or a service provider discloses contents of an early intervention record to another party, the disclosure is made on the condition that party to whom the information disclosed will not disclose the information to any other party without the prior consent of the parents.

MAINTENANCE OF RECORDS

1. Since federal regulations require different standards and protection for early intervention records, early intervention records will be maintained separate from other DHS or service provider records.

2. A master record will be kept at the Birth to 3 office at the DHS. Copies of the master record and a cumulative record may be kept at the office of the director of the service provider. Staff may keep a working copy of the IFSP and programming records in their offices.

3. Records will be kept under the care of the designated record custodian at each location. Any disclosures of the record will be through the record custodian.

4. When a child withdraws from the early intervention program, the records from each location will be forwarded to the master file. The master file will be purged to eliminate duplicate materials. In some cases, service providers may be required to keep parts of the record for billing purposes.

5. The DHS will notify parents when personally identifiable information contained in the early intervention record is no longer needed to provide early intervention services or for insurance billing and audit purposes. To assure records are available for billing purposes, early intervention records will be kept for at least five years after a child leaves the program. When the information is no longer needed to provide early intervention services or for insurance billing and audit purposes, the parents may request that the record be destroyed. If requested, the DHS will destroy the records.

When the child leaves the Birth to 3 program, the parents will be asked to complete a form indicating how they would like the record handled. If the parent does not request that the records be destroyed, records will be kept until the child reaches age [___]. [indicate county policy]

6. A permanent record of a child's name, address, phone number, and years enrolled may be maintained. This information will not be released without parental consent.

AMENDMENTS TO EARLY INTERVENTION RECORDS

1. Parents who believe that information in their child's early intervention record is inaccurate or misleading; or violates the privacy or other rights of the child, the child's parents, or other family members may request that the record be amended (including that it be deleted).

2. When the parents request that information in an early intervention record be amended or deleted, the DHS or service provider maintaining the record shall act on the request without unnecessary delay and in no event more than 30 days after the request is made.

3. If the DHS or provider refuses to amend or delete the information as requested, the DHS must inform the parents of the refusal and advise the parents of the right to appeal the refusal. The appeal must be made to DHS in writing within 14 days of the notification of the refusal.

4. If a hearing to appeal the refusal is to be held, the DHS must:
a. appoint a person to conduct the hearing;
b. hold the hearing within a reasonable time after the request;
c. give the parents notice of the date, time, and place of the hearing, reasonably in advance of the hearing; and
d. give the parents a full and fair opportunity to present evidence.

5. Any individual, including an official of the DHS, who does not have a direct interest in the outcome of the hearing, may conduct the hearing. The person conducting the hearing must make his or her decision in writing within a reasonable period after the hearing and base the decision solely on the evidence presented at the hearing. The decision must include a summary of the evidence and the reasons for the decision.

6. The parents may, at their own expense, be assisted or represented by one or more individuals of their choice, including an attorney.

7. If, as a result of the hearing, the DHS decides that the information is inaccurate, misleading, or otherwise violates the privacy or rights of the child, the DHS shall amend the record accordingly and inform the parents of the amendment in writing.

7. If the information is not amended or deleted as a result of the parents' appeal, the parents must be afforded the opportunity to place a statement in the record commenting on the contested information or to state in the record the reasons for disagreeing with the decision not to amend or delete the record. The statement shall be maintained along with the contested early intervention record. If the information about which the parents have complained is ever disclosed by the DHS or service provider to any party, the statement must also be disclosed.