2023 New York Laws › SOS - Social Services › Article 6 - Children › Title 4-A - Child Welfare Services Planning and Administration › 409-F - Uniform Case Recording.

§  409-f.  Uniform  case  recording.    1.  With respect to each child
described in subdivision one of section  four  hundred  nine-e  of  this
title,  the  social  services  district  shall  establish and maintain a
uniform case record, consisting of the assessment,  the  family  service
plan,  descriptions  of  care,  maintenance or services provided to such
child and family and the dates provided, essential data relating to  the
identification  and  history  of  such  child  and  family, all official
documents and records of  any  judicial  or  administrative  proceedings
relating  to  the district's contact with the child and family, and such
other records as the department may by regulation require to  adequately
review  case  management  by  the  districts.  The  department  shall by
regulation specify the format and contents of the uniform  case  record.
Such  regulation  shall  be  developed  in  consultation with public and
voluntary  authorized   agencies,   citizens'   groups   and   concerned
individuals  and  organizations, including the state council on children
and families. The  uniform  case  record  shall  be  maintained  by  the
district  in  a  manner  consistent with the confidential nature of such
records and shall  be  made  available  in  accordance  with  applicable
provisions  of law. When a hearing has been requested in accordance with
section twenty-two of this chapter, a copy of the portions of the record
relevant to the hearing shall also be  made  available  to  the  child's
parent  or  guardian,  counsel  for  the  parent  or  guardian,  and, if
participating in the hearing, the child's attorney.
2. Notwithstanding any other provision of  law,  uniform  case  record
information  governed by this section may be released by the department,
social services district or other provider of child welfare services  to
a  person,  agency  or organization for purposes of a bona fide research
project. Identifying information shall not be made  available,  however,
unless  it  is  absolutely  essential  to  the  research purpose and the
department gives prior approval. Information released pursuant  to  this
subdivision  shall  not be re-disclosed except as otherwise permitted by
law and upon the approval of the department.
3. (a) Notwithstanding  any  inconsistent  provision  of  law  to  the
contrary, records relating to children pursuant to this section shall be
made  available to officers and employees of the state comptroller or of
the city comptroller of the city of New York, or of the  county  officer
designated  bylaw  or  charter  to  perform the auditing function in any
county not wholly contained within  a  city,  for  purposes  of  a  duly
authorized  performance  audit; provided, however, that such comptroller
or officer shall have certified to the keeper of such records that he or
she  has  instituted  procedures  developed  in  consultation  with  the
department to limit access to client-identifiable information to persons
requiring  such information for purposes of the audit, that such persons
shall not use such information in any way except  for  purposes  of  the
audit  and that appropriate controls and prohibitions are imposed on the
dissemination of client-identifiable information obtained in the conduct
of the audit. Information pertaining to the substance or content of  any
psychological,  psychiatric,  therapeutic,  clinical or medical reports,
evaluations or like materials or information pertaining to such child or
the child's family shall not be made  available  to  such  officers  and
employees  unless disclosure of such information is absolutely essential
to the specific audit activity and the department  gives  prior  written
approval.
(b) Any failure to maintain the confidentiality of client-identifiable
information  shall  subject such comptroller or officer to denial of any
further access to records until  such  time  as  the  audit  agency  has
reviewed  its procedures concerning controls and prohibitions imposed on
the dissemination of such information and has taken all  reasonable  and

appropriate    steps   to   eliminate   such   lapses   in   maintaining
confidentiality to the satisfaction of the  department.  The  department
shall  establish  the  grounds for denial of access to records contained
under   this  section  and  shall  recommend  as  necessary  a  plan  of
remediation to the audit agency. Except as  provided  in  this  section,
nothing in this subdivision shall be construed as limiting the powers of
such  comptroller  or  officer  to  access records which he is otherwise
authorized to audit or obtain under any other  applicable  provision  of
law. Any person given access to information pursuant to this subdivision
who  releases  data or information to persons or agencies not authorized
to receive such information shall be guilty of a class A misdemeanor.