2023 Vermont Statutes › Title 33 - Human Services › Chapter 69 - Reports of Abuse, Neglect, and Exploitation of Vulnerable Adults › § 6911. Records of abuse, neglect, and exploitation

§ 6911. Records of abuse, neglect, and exploitation
(a) Access to records.
(1) Subject to confidentiality or privilege protections, except those provided by the Health Insurance Portability and Accountability Act of 1996, its corresponding regulations, and 18 V.S.A. § 1881, the Department’s Adult Protective Services shall have access to any records or documents, including client-identifying information, financial records, and medical and psychological records, necessary to the performance of the Department’s duties under this chapter. The duties include the investigation of abuse, neglect, or exploitation or the provision of protective services to a vulnerable adult. A person, agency, or institution that has a record or document that the Department needs to perform its duties under this chapter shall, without unnecessary delay, make the record or document available to the Department. For the purposes of this subsection, “financial records” does not include records developed or maintained by the Department of Financial Regulation.
(2) The Department is exempt from the payment of a fee otherwise required or authorized by law to obtain a financial record from a person, agency, or institution or a medical record, including a mental health record, from a hospital or health care provider if the request for a record is made in the course of an investigation by the Department.
(3) If the Department cannot obtain access to a record or document that is necessary to properly investigate or to perform another duty under this chapter, the Department may petition the Superior Court for access to the record or document.
(4) On good cause shown, the court shall order the person, agency, or institution in possession or control of a record or document to allow the Department to have access to that record or document under the terms and conditions prescribed by the court.
(5) A person, agency, or institution in possession or control of a requested record or document is entitled to notice and a hearing on a petition filed under this section.
(6) Access to a confidential record under this section does not constitute a waiver of confidentiality.
(7) A person who in good faith makes an alleged victim’s information or a copy of the information available to an investigator in accordance with this section shall be immune from civil or criminal liability for disclosure of the information unless the person’s actions constitute negligence, recklessness, or intentional misconduct. Nothing in this section shall be construed to provide civil or criminal immunity to a person suspected of having abused, neglected, or exploited a vulnerable adult.
(b) Confidentiality of reports and documents.
(1)(A) Information obtained through reports to and assessments and investigations conducted by the Department, including the identity of the reporter, shall be confidential and shall not be released absent a court order, except the final investigative summary report shall be disclosed only to:
(i) the Commissioner or person designated to receive such records;
(ii) persons assigned by the Commissioner to investigate reports;
(iii) the alleged perpetrator;
(iv) the vulnerable adult or the vulnerable adult’s representative;
(v) the Office of Professional Regulation when deemed appropriate by the Commissioner;
(vi) the Secretary of Education when deemed appropriate by the Commissioner;
(vii) the Commissioner for Children and Families or designee for purposes of review of expungement petitions filed pursuant to section 4916c of this title;
(viii) the Commissioner of Financial Regulation when deemed appropriate by the Commissioner for an investigation related to financial exploitation;
(ix) a law enforcement agency; and
(x) the State’s Attorney, or the Office of the Attorney General, when the Department believes there may be grounds for criminal prosecution or civil enforcement action, or in the course of a criminal or a civil investigation.
(B) When disclosing information pursuant to this subdivision (1), reasonable efforts shall be made to limit the information to the minimum necessary to accomplish the intended purpose of the disclosure, and no other information, including the identity of the reporter, shall be released absent a court order.
(2) Relevant information may be disclosed to the Secretary of Human Services, or the Secretary’s designee, for the purpose of remediating or preventing abuse, neglect, or exploitation; to assist the Agency in its monitoring and oversight responsibilities; and in the course of a relief from abuse proceeding, guardianship proceeding, or any other court proceeding when the Commissioner deems it necessary to protect the victim, and the victim or the victim’s representative consents to the disclosure. When disclosing information pursuant to this subdivision, reasonable efforts shall be made to limit the information to the minimum necessary to accomplish the intended purpose of the disclosure, and no other information, including the identity of the reporter, shall be released absent a court order. Disclosures necessary to conduct Adult Protective Services investigations or to make referrals to law enforcement agencies, or to divisions or grantees of the Department, shall be permitted, but reasonable efforts shall be made to limit the information to the minimum necessary to accomplish the intended purpose of the disclosure.
(3) Notwithstanding subdivision (a)(1) of this section, financial information made available to an adult protective services investigator pursuant to this section may be used only in a judicial or administrative proceeding or investigation directly related to a report required or authorized under this chapter. Relevant information may be disclosed to the Secretary of Human Services, pursuant to subdivision (2) of this subsection.
(c) The Department shall maintain a registry of substantiated caregivers that shall contain the following information:
(1) the date and nature of the finding;
(2) the names of individuals convicted of a crime pursuant to 13 V.S.A. § 1383; and
(3) in addition, aside from a caregiver’s name, at least one other personal identifier to prevent the possibility of misidentification.
(d) Disclosure of Registry information.
(1) The Commissioner or designee may disclose Registry information only to:
(A) The State’s Attorney or the Attorney General.
(B) The public as required by the Nursing Home Reform Act of 1986 and regulations promulgated under the Act.
(C) An employer if such information is used to determine whether to hire or retain a specific individual providing care, custody, treatment, transportation, or supervision of children or vulnerable adults. Notwithstanding section 6902 of this chapter, “employer,” as used in this section, means a person or organization who employs or contracts with one or more individuals to care for or provide transportation services to children or vulnerable adults, on either a paid or volunteer basis. The employer may submit a request concerning a current employee, volunteer, grantee, or contractor or an individual to whom the employer has given a conditional offer of a contract, volunteer position, or employment. If that individual has a record of a substantiated report, the Department shall provide the Registry information to the employer.
(D) An individual seeking to determine if the individual’s own name is on the Registry.
(E) A person or organization serving vulnerable adults by assisting with employer functions; offering, providing, or arranging for home sharing; or providing personal care services, developmental services, or mental health services for vulnerable adults. The person or organization may submit a request concerning an individual who has applied to provide such services or an individual who is already so engaged. If the person has a record of a substantiated report, the Commissioner shall provide the Registry information.
(F) The Commissioner for Children and Families or designee for purposes related to:
(i) the licensing or registration of facilities and individuals regulated by the Department for Children and Families; and
(ii) the Department’s child protection obligations under chapters 49–59 of this title.
(G) The Commissioner of Health or the Commissioner’s designee for purposes related to oversight and monitoring of persons who are served by or compensated with funds provided by the Department of Health, including persons to whom a conditional offer of employment has been made.
(H) Upon request or when relevant to other states’ adult protective services offices.
(I) The Board of Medical Practice for the purpose of evaluating an applicant, licensee, or holder of certification pursuant to 26 V.S.A. § 1353.
(J) The Secretary of Education or the Secretary’s designee, for purposes related to the licensing of professional educators pursuant to 16 V.S.A. chapter 5, subchapter 4 and chapter 51.
(K) The Office of Professional Regulation for the purpose of evaluating an applicant, licensee, holder of a certification, or registrant for possible unprofessional conduct, where appropriate.
(L) A Family Division of the Superior Court upon request of that court if it is involved in any proceeding in which:
(i) a parent of a child challenges a presumption of parentage under 15C V.S.A. § 402(b)(3); or
(ii) a parent of a child contests an allegation that the parent fostered or supported a bonded and dependent relationship between the child and a person seeking to be adjudicated a de facto parent under 15C V.S.A. § 501(a)(2).
(M) The Cannabis Control Board for the purpose of evaluating an individual’s suitability to be a registered caregiver under 7 V.S.A. § 954.
(2) The request for disclosure of Registry information pursuant to subdivisions (1)(C), (1)(E)–(G), and (1)(I)–(K) of this subsection shall be in writing and accompanied by a release from the person applying for or already providing services to children or vulnerable adults.
(e) An employer providing transportation services to children or vulnerable adults may disclose Registry records obtained pursuant to subdivision (d)(1)(C) of this section to the Agency of Human Services or its designee for the sole purpose of auditing the records to ensure compliance with this chapter. An employer shall provide such records at the request of the Agency or its designee. Only Registry records regarding individuals who provide direct transportation services or otherwise have direct contact with children or vulnerable adults may be disclosed.
(f) A person may, at any time, apply to the Human Services Board for relief if the person has reasonable cause to believe that the contents of the Registry or investigative records are being misused.
(g) A person may at any time apply to the Department for expungement of the person’s name from the Registry. The person shall have the burden of showing why the person’s name should be expunged from the Registry. The Department shall consider the person’s completion of reparation and rehabilitation in determining whether the person’s name should be expunged from the Registry. (Added 1979, No. 150 (Adj. Sess.); amended 1985, No. 78, § 11; 1989, No. 76, § 3; 1993, No. 100, § 6; 1995, No. 51, § 1; 1995, No. 138 (Adj. Sess.), § 14, eff. May 1, 1996; 1995, No. 171 (Adj. Sess.), § 10, eff. May 15, 1996; 2001, No. 135 (Adj. Sess.), § 7, eff. June 13, 2002; 2003, No. 66, § 136c; 2005, No. 174 (Adj. Sess.), § 132; 2007, No. 77, § 2, eff. June 7, 2007; 2011, No. 61, § 8, June 2, 2011; 2011, No. 141 (Adj. Sess.), § 3; 2013, No. 56, §§ 7a, 7b; 2015, No. 38, § 43, eff. May 28, 2015; 2015, No. 60, § 13; 2015, No. 91 (Adj. Sess.), § 1, eff. May 10, 2016; 2017, No. 162 (Adj. Sess.), § 4; 2021, No. 20, § 345; 2023, No. 65, § 19, eff. June 14, 2023; 2023, No. 81, § 1, eff. July 1, 2023.)