480 Neb. Admin. Code, ch. 1, § 013

Current through September 17, 2024

Section 480-1-013 - SERVICES COORDINATION RECORDS

Service coordination contracting agencies are responsible for maintaining early intervention records as described in this section.

013.01CONFIDENTIALITY. Confidentiality must be maintained consistent with the following requirements:

(A) Written parent or guardian consent must be obtained before personally identifiable information is disclosed, verbally or in writing, to anyone other than service coordination staff;

(B) Each services coordination agency must protect the confidentiality of personally identifiable information at all stages including content of meetings, staff discussions, information collection, record storage, disclosure, and destruction. All information contained in the files or available to staff members is considered confidential;

(C) In order to protect information about persons requesting or receiving services, the services coordination agency must store and process information in secured areas so that such information can be accessed only by authorized personnel. Adequate supervision of the secured areas must be provided to prevent unauthorized removal or loss of information;

(D) One official at each services coordination agency must assume responsibility for insuring the confidentiality of any personally identifiable information. This official must maintain, for public inspection, a current listing of the names and positions of those employees within the agency who may have access to personally identifiable information;

(E) Each services coordination agency must keep a record of persons obtaining access to the early intervention records collected, maintained, or used, including the name of the person, the date access was given, and the purpose for which the person is authorized to use the records. This record keeping requirement does not apply to access by parents or authorized staff members of the agency;

(F) When a release is signed so that confidential records can be disclosed, the release must, in the parent's native language or other mode of communication:

(i) Fully inform parents of their rights to refuse to sign and the consequences of failure to sign;

(ii) List agencies and individuals who may receive information and specify the type of information for each and for what purpose;

(iii) Allow parents to limit both the information released and to whom it may be released;

(iv) Inform parents that they may revoke consent at any time; and

(v) Provide a time limit on consent;

(G) Parents must be given the opportunity to inspect and review records relating to screening, evaluations and assessments, eligibility determinations, development and implementation of Individualized Family Services Plans (IFSPs), provision of early intervention services, individual complaints dealing with the child, and any other aspect of the Early Intervention Program involving records about the child and the child's family with the exception of child protective services and foster care records. Parents have the right to have the information in records explained and interpreted by a professional staff person and in their primary mode of communication. Agencies must comply with a parent's request to inspect and review records without unnecessary delay and before any Individualized Family Service Plan (IFSP) meeting or hearing and in no case more than 10 days after the request has been made;

(H) Parents must be provided a list of the types and locations of early intervention services coordination records collected, maintained, or used by the services coordination agency, upon parental request;

(I) As a child transitions out of the Early Intervention Program, records having to do with family goals and not pertinent to the child's education and related services do not follow the child and do not become part of the educational record of the child. Rather, they are kept in confidential storage in the Early Intervention Program and destroyed after six years with other records or destroyed at the request of the parents;

(J) Parents have the right to copies of their child's records but there may be a reasonable copying charge for this;

(K) Parents have the right to have someone they choose inspect and review the records;

(L) Parents have the right to ask that early intervention records be changed if they believe that information in the records is inaccurate or misleading or violates the privacy or other rights of their child or family. The right to request a change in the records includes:

(i) The right to be informed if the agency refuses to change the information as requested;

(ii) The right to a hearing on the refusal to change the record; and

(iii) The right to include an explanation of the family's statement of disagreement if the agency refuses to change the record. This statement must be kept with the portion of the record the family disagrees with and included with any request to see the record; and

(M) Parents have the right to be informed when personally identifiable information is no longer needed to provide early intervention services to their child or family. They then have the right to ask that information in the early intervention record be destroyed; however, a permanent record of a child's name, date of birth, parent contact information (including address and phone number), names of services coordinator(s) and early intervention service provider(s), and exit data, including year and age upon exit and any programs entered into upon exiting, may be maintained without time limitation.

013.02RETENTION AND DESTRUCTION. The services coordination agency must:

(A) Retain the early intervention records for six years after the completion of the activities for which early intervention funds were used. If an audit or appeal is in progress, the Department of Health and Human Services or the Nebraska Department of Education may direct that records be retained beyond six years;

(B) Make reasonable effort to locate and notify parents before records are destroyed; and

(C) Destroy records using a method that ensures that no personally identifiable information remains accessible.

480 Neb. Admin. Code, ch. 1, § 013

Adopted effective 10/3/2021