SUBCHAPTER 05J ‑ CONFIDENTIALITY OF CLIENT DATA
SECTION .0100 ‑ DEFINITIONS FOR CONFIDENTIALITY OF
CLIENT DATA
10A NCAC 05J .0101 DEFINITIONS FOR CONFIDENTIALITY OF
CLIENT DATA
Unless the context clearly specifies otherwise, the
following terms are defined as follows:
(1) "Agency" means Division of Aging, Area
Agencies on Aging, or service provider.
(2) "Client" means any applicant for, or
recipient of, services administered under the auspices of the Division of
Aging.
(3) "Client information" or "client
record" means any information, whether recorded or not, including
information stored in computer data banks or files, relating to a client which
was received in connection with the performance of any function of the agency.
(4) "Court order" means any written order
from a judge which directs explicitly the release of client information.
(5) "Service provider" means any public or
private agency from whom Division of Aging funded services are purchased or
authorized.
History Note: Authority G.S. 143B‑181.1(c); 143B‑181.10;
Eff. December 1, 1991;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. May 23, 2015.
SECTION .0200 ‑ REQUIREMENTS
10A NCAC 05J .0201 CONFIDENTIALITY OF CLIENT DATA
(a) Client information obtained by the Division of Aging,
Area Agencies on Aging or service providers from an older person or their
designated representative shall not be disclosed in a form that identifies the
person without the informed consent of the person or legal representative
unless the disclosure is required by court order, or for program monitoring by
authorized federal, state, or other designated monitoring agencies.
(b) The agency shall assure that all authorized individuals
are informed of the confidential nature of client information and shall
disseminate written policy to and provide training for all persons with access
to client information.
History Note: Authority G.S. 143B‑181.1(c); 143B‑181.10;
Eff. November 1, 1991;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. May 23, 2015.
10A NCAC 05J .0202 INFORMATION FROM OTHER COMMUNITY
SERVICE ORGANIZATIONS
If the agency receives information from another community
service organization or individual, then such information shall be treated as
any other information generated by the State Division of Aging, Area Agency on
Aging or service provider and disclosure thereof will be governed by any
condition imposed by the furnishing community service organization or
individual.
History Note: Authority G.S. 143B‑181.1(c); 143B‑181.10;
Eff. November 1, 1991;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. May 23, 2015.
10A NCAC 05J .0203 DISCLOSURE PURSUANT TO OTHER LAWS
Whenever federal or state statutes or regulations
specifically address confidentiality issues, the agency shall disclose or keep
confidential client information in accordance with those federal or state
statutes or regulations.
History Note: Authority G.S. 143B‑181.1(c); 143B‑181.10;
Eff. November 1, 1991;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. May 23, 2015.
10A NCAC 05J .0204 OWNERSHIP OF RECORDS
All client information contained in any records of the
agency is the property of the agency. Employees of the agency shall protect
and preserve such information from dissemination except as indicated by the policies
established.
History Note: Authority G.S. 143B‑181.1(c); 143B‑181.10;
Eff. November 1, 1991;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. May 23, 2015.
10A NCAC 05J .0205 SECURITY OF RECORDS
(a) The agency shall provide a secure place with controlled
access for the storage of client records or reports, or both, which contain
client specific information.
(b) Only employees, students, volunteers or other
individuals who must access client information in order to carry out duties
assigned or approved by the agency shall be authorized to have access to such
information.
(c) Only authorized individuals may remove a record or
report, or both, from the storage area and that individual shall be responsible
for the security of the record until it is returned to the storage area.
(d) The agency shall be allowed to destroy records in
accordance with Record Retention Schedules promulgated by the Division of
Archives and History, and state and federal statutes and regulations.
(e) Area Agencies on Aging and service providers shall
establish written procedures to prevent accidental disclosure of client
information from automated data processing systems.
History Note: Authority G.S. 143B‑181.1(c); 143B‑181.10;
Eff. December 1, 1991;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. May 23, 2015.
10A NCAC 05J .0206 RELEASE OF CLIENT INFORMATION
(a) No client identifying information, except as referenced
in Rule .0205 of this Section, which is maintained by the Division of Aging,
Area Agency on Aging or service provider shall be released to other individuals
or community service organizations without obtaining a signed consent for
release of information from the client or legal guardian.
(b) The consent for release of information shall include,
at a minimum, the following items:
(1) Name of the provider and recipient of the
information;
(2) The extent of information to be released;
(3) The name and dated signature of the client
or client representative;
(4) A statement that the consent is subject to
revocation at any time except to the extent that action has been taken in
reliance on the consent;
(5) Length of time the consent is valid.
(c) The client may alter the form to contain other
information which may include but is not limited to:
(1) A statement specifying the date, event or
condition upon which the consent may expire even if the client does not
expressly revoke the consent;
(2) Specific purpose for the release.
(d) A copy of the signed consent for release of information
shall be maintained in the client record.
History Note: Authority G.S. 143B‑181.1(c); 143B‑181.10;
Eff. November 1, 1991;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. May 23, 2015.
10A NCAC 05J .0207 INFORMED CONSENT
Prior to obtaining a consent for release of information, the
delegated representative shall explain the meaning of informed consent. The
client shall be told the following:
(1) Contents to be released;
(2) That there is a definite need for the information;
(3) That the client can give or withhold the consent
and the consent is voluntary;
(4) That there are statutes and regulations protecting
the confidentiality of the information.
History Note: Authority G.S. 143B‑181.1(c); 143B‑181.10;
Eff. November 1, 1991;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. May 23, 2015.
10A NCAC 05J .0208 CLIENT ACCESS TO RECORDS
(a) Access to information about himself is the right of the
client. Upon written or verbal request, the client shall have access to review
or obtain without charge a copy of the information in his records with the
following exceptions:
(1) Information that the agency is required to
keep confidential by state or federal statutes or regulations;
(2) Confidential information originating from
another community service organization;
(3) Information that would breach another
individual's right to confidentiality.
(b) Client's requesting access to the information contained
in his record as promptly as feasible but no more than five working days after
receipt of the request.
(c) The Director or his delegated representative shall be
present when the client reviews the record.
(d) The Director or his delegated representative must
document in the client record the review of the record by the client.
History Note: Authority G.S. 143B‑181.1(c); 143B‑181.10;
Eff. December 1, 1991;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. May 23, 2015.
10A NCAC 05J .0209 CONTESTED INFORMATION
(a) A client may contest the accuracy, completeness or
relevancy of the information in his record.
(b) A correction of the contested information, but not the
deletion of the original information if it is required to support receipt of
state or federal financial participation, shall be inserted in the record when
the Director or his designee concurs that such correction is justified.
(c) When the Director or his delegated representative does
not concur, the client shall be allowed to enter a statement in the record.
(d) Such corrections and statements shall be made permanent
part of the record and shall be disclosed to any recipient of the disputed
information.
(e) If a delegated representative decides not to correct
contested information, the decision not to correct shall be reviewed by the
supervisor of the person making the initial decision.
History Note: Authority G.S. 143B‑181.1(c); 143B‑181.10;
Eff. November 1, 1991;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. May 23, 2015.
10A NCAC 05J .0210 WITHHOLDING OF INFORMATION FROM THE
CLIENT
(a) When the Director or delegated representative
determines on the basis of the exceptions outlined in Rule .0208 of this
Section to withhold information from the client record, this reason shall be
documented in the client record.
(b) The Director or delegated representative must inform
the client that information is being withheld, and upon which of the exceptions
specified in Rule .0208 of this Section the decision to withhold the information
is based.
(c) If confidential information originating from another
community service organization is being withheld, the client shall be referred
to that community service organization for access to the information.
History Note: Authority G.S. 143B‑181.1(c); 143B‑181.10;
Eff. November 1, 1991;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. May 23, 2015.
10A NCAC 05J .0211 DISCLOSURE OF CLIENT INFORMATION
WITHOUT CLIENT CONSENT
Client information included in the client record may be
disclosed without the consent of the client under the following circumstances:
(1) To other employees of the agency for the purpose of
making referrals, supervision, consultation or determination of eligibility.
(2) Between the service provider, Area Agency on Aging
and Division of Aging for the purposes of reporting.
History Note: Authority G.S. 143B‑181.1(c); 143B‑181.10;
Eff. November 1, 1991;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. May 23, 2015.
10A NCAC 05J .0212 INFORMATION NEEDS OF SERVICE PROVIDERS
(a) Client information may be disseminated to service
providers in accordance with the release of information statement included on
the client registration form.
(b) Any further disclosure will require a signed release of
information form from the client.
History Note: Authority G.S. 143B‑181.1(c); 143B‑181.10;
Eff. November 1, 1991;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. May 23, 2015.
