Conn. Agencies Regs. § 17a-451(c)-2

Current through December 27, 2024

Section 17a-451(c)-2 - General nature and purpose of personal data systems

The Department of Mental Health maintains the following personal data systems:

(a)Personnel Records

(1) Personnel records are maintained at the Department facility which employs the individual or which has the individual on its payroll for administrative purposes. A directory listing sites where personnel records are kept is located at the Department of Mental Health, Personnel Unit, 90 Washington Street, Hartford, Connecticut, 06106.

(2) Personnel records are maintained in both manual and automated forms.

(3) The purpose of the personnel records system is to provide data necessary for personnel and payroll management activities and/or to satisfy the requirements of state or federal laws.

(4) The title and business address of the Department official responsible for this system of records and to whom requests for disclosure or amendment of the records in the system should be directed may be obtained from the directory referred to in subsection (1) above.

(5) Routine sources of data in these records may include applicants for employment, employees, previous employers, references, and other state agencies.

(6) Personal data in these records are maintained under authority of Conn. Gen. Stat. Secs. 5-193 to 5-269, inclusive, and 54-142k (k), as may be amended from time to time.

(7) Categories of personal data maintained in this system may include birth date, sex, race, educational history, licensure/certification, employment history, financial information, medical or emotional condition or history, family or other relationships, administrative investigation material, disciplinary action, reputation or character information and conviction records.

(8) Categories of other data maintained in this system may include address, phone number and social security number.

(9) These records are maintained on applicants for employment and on current and former employees of the Department.

(10) These records are routinely used by employees of the Department who are assigned responsibility for personnel, payroll and employment-related activities.

(b)Fiscal Services Records

(1) Fiscal services records are maintained at the Department facility which provides fiscal services to the individual DMH site. A system directory listing the sites where fiscal records are kept is located in the Department of Mental Health, Fiscal Services Unit, 90 Washington Street, Hartford, Connecticut, 06106.

(2) Fiscal services records are maintained in both manual and automated forms.

(3) The purpose of the fiscal services records system is to maintain vendor payment records, personal services contracts, reimbursement records for employee travel expenses, records of private donations, patient accounts, activity fund, general welfare fund, and to reflect activities required to secure federal and state funding for programs of the Department and its grantees.

(4) The title and business address of the Department official responsible for this system of records and to whom requests for disclosure or amendment of the records in the system should be directed may be obtained from the system directory referred to in subsection (1) above.

(5) Routine sources of data in these records may include donors, vendors, employees, patients/clients, contractors, grantees and other state and federal agencies.

(6) Personal data in these records are maintained under authority of Conn. Gen. Stat. Secs. 17a-450, as may be amended from time to time.

(7) Categories of personal data maintained in this system may include birth date, educational history, licensure/certification, employment history, financial information, and medical condition.

(8) Categories of other data maintained in this system may include address, telephone number, social security number, employee number, provider information, fee amount, case number, patient/client account number, and information pertaining to Department application for and receipt of state and federal payments.

(9) These records are maintained on current and former donors, vendors, contractors, grantees, patients/clients and employees.

(10) These records are routinely used by employees of the Department who are assigned responsibility to manage the grants, contracts, vendor payments, donations and employee travel reimbursements for the Department.

(c)Affirmative Action Records

(1) Affirmative action records are maintained at the Department facility employing the individual or providing treatment or services to the individual. A directory listing sites where affirmative action records are kept is located in the Department of Mental Health, Affirmative Action and Patients' Rights Unit, 90 Washington Street, Hartford, Connecticut, 06106.

(2) Affirmative action records are maintained in both manual and automated forms.

(3) The purpose of the system is to provide data for monitoring and revising Department affirmative action plans and implementing affirmative action discrimination, patients' rights and sexual harassment complaint procedures.

(4) Affirmative action records are the responsibility of the Mental Health Chief of Affirmative Action and Patients' Rights, Department of Mental Health, 90 Washington Street, Hartford, Connecticut 06106, to whom all requests for disclosure or amendment of the records should be addressed.

(5) Routine sources of data in these records may include patients/clients, family members, friends, employees, health care or other service providers, grantee agencies and other state agencies.

(6) Personal data in these records are maintained under authority of Conn. Gen. Stat. Secs. 46a-51 to 46a-104, inclusive, as may be amended from time to time, and the appurtenant Regulations, as may be amended from time to time.

(7) Categories of personal data maintained in this system may include birth date, age, sex, race, educational history, employment history, medical or emotional condition or history, family or personal relationships, patient/client complaints, discrimination and/or sexual harassment complaints, and administrative investigation material.

(8) Categories of other data maintained in this system may include patient/client identification number, social security number, address and telephone number.

(9) These records are maintained on current and former patients/clients and employees of the Department.

(10) These records are routinely used by affirmative action staff in affirmative action/equal employment opportunity monitoring and complaint resolution and in investigation and resolution of patients' rights violations.

(d)Patient/Client Records

(1) Patient/client records are located at the Department facility which provides treatment or services to the particular individual. A directory listing sites where patient/client records are kept is located in the Office of the Commissioner, Department of Mental Health, 90 Washington Street, Hartford, Connecticut, 06106.

(2) Patient/client records are maintained in both manual and automated forms.

(3) The patient/client records system serves several purposes including: collecting preliminary demographic and clinical data to determine appropriateness and/or eligibility of an individual for treatment or services, as well as logging the episodes of service from initial request to final disposition; documenting admission, diagnosis, treatment planning, treatment process, care, service delivery, discharge, and case management of patient/client; documenting quality assurance monitoring of treatment planning and service delivery; providing complete demographic and clinical data on patient/client; and providing a baseline of information for billing purposes.

(4) The personal data records in this system are the responsibility of the Commissioner, Department of Mental Health, 90 Washington Street, Hartford, Connecticut 06106. The title and business address of the Department official to whom requests for disclosure or amendment of the records in the system should be directed may be obtained from the directory referred to in subsection (1) above.

(5) Routine sources of data in these records may include the patient/client, family members, friends, health care and other service providers, treatment staff, other state or federal agencies, and the judicial system.

(6) Personal data in this system are maintained under the authority of Conn. Gen. Stat. Secs. 17a-450, 52-146d through 52-146j, 17a-615 through 17a-618, 54-91a, 54-142k, and 17-134x; as may be amended from time to time; and Sec. 1919 of the Federal Social Security Act, as may be amended from time to time.

(7) Categories of personal data maintained in this system may include birth date, sex, social and family history; education; employment history; financial, medical and emotional condition or history; personal relationships; reputation or character information; treatment and discharge plans; legal status; and name of legal representative or conservator, if applicable; complaints, incident reports and investigation materials; criminal investigation records; and provider information.

(8) Categories of other data maintained in this system may include social security number, case number, patient/client identification number, correspondence, referral sources, demographic admissions data, and names of staff members authorized to access the records.

(9) These records are maintained on current and former patients/clients.

(10) These records are routinely used by staff who are assigned care and treatment planning and responsibilities for the patients/clients, by staff who have quality assurance monitoring responsibilities, and by staff who have responsibility for administrative reporting of census, diagnosis, demographic data and billing information.

Conn. Agencies Regs. § 17a-451(c)-2

Effective March 4, 1993