Section .0100 ‑ Definitions For Confidentiality Of Client Data

Link to law: http://reports.oah.state.nc.us/ncac/title 10a - health and human services/chapter 05 - aging - general provisions/subchapter j/subchapter j rules.html
Published: 2015

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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.