N.Y. Comp. Codes R. & Regs. tit. 10 § 69-4.26 - Content and Retention of Child Records Collected Under the Early Intervention Program

Municipalities are required to maintain a record for each child referred to the early intervention program, which is to be kept confidential as per the requirements stated in § 69-4.17.  This regulation gives a list of 16 items to be included in this record including but not limited to referral document, Medicaid information, copies of informed consent forms signed by parents, correspondence between the municipality and the child’s family, etc.
 
Agency and individual providers of Early Intervention services are further required to maintain records for each eligible child as well.  The regulation provides a list of 13 items that they should include in the record, including but not limited to correspondence regarding the child, parental consents, periodic progress notes summarizing effectiveness of service, written orders or recommendations from specific medical professionals when required for the services being provided to the child, etc.
 
Individual providers who directly render services to a child are required to maintain signed and dated session notes including the child’s name, date of service, type of service, brief description of progress made during session, information of person rendering service, signatures from person rendering service and the parent, etc.
 
The regulation requires that municipalities and agency and individual providers retain early intervention records for a minimum of six years from the date that care or services were provided to the child.  The regulation further requires that all municipalities, except for New York City, maintain individual case records until the child reaches the age of 21, and maintain other records not found in individual case records for 7 years.