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This entry was published on 2014-09-22
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Uniform case recording
Social Services (SOS) CHAPTER 55, ARTICLE 6, TITLE 4-A
§ 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

(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.