N.Y. Comp. Codes R. & Regs. tit. 18 § 357.3 - Basis for Disclosure of Information in Case Records

This regulation governs the disclosure of information in the case records maintained by the department of social security.

Safeguards in Disclosing Information

The regulation allows public welfare officials to disclose information to another agency or person only as long as they can be assured that the information will be maintained confidentially, and that the information will be used only for the purposes that it is released for.  The regulation limits the use of information to purposes related to the public welfare program and functioning of the inquiring agency, and expressly prohibits use of the information for commercial or political purposes.

Disclosure of Medical Information

This section specifically deals with the disclosure of the "comprehensive health history" of children who are either in foster care or up for adoption.  The regulation goes into detail to explain what information is to be in

• The regulation requires that when a foster child is transferred to the care of another authorized agency, the former agency provide the child’s comprehensive health history to the receiving agency. 
• The regulation further requires that the authorized agency provide the foster parents with the child’s comprehensive health history, and that of his/her biological parents, to the extent available.  However, the regulation requires that identifying information of biological parents be removed from the history. 
• The regulation also requires that the authorized agency provide prospective adoptive parents with the comprehensive medical history of a child legally freed for adoption and his/her biological parents, to the extent available.  However, the regulation requires that identifying information of biological parents be removed from the history.
• The regulation requires that the authorized agency provide a child in foster care with his/her comprehensive medical history and that of his/her biological parents, to the extent available, when the child is released into his/her own care. 
• When a child is released into the care of his/her parents of guardian, the authorized agency is required to provide them with the comprehensive medical history of the child, except for HIV-related information, which cannot be released without the child’s written consent. 
• When requested by an adopted former foster child, the authorized agency is required to release the child’s comprehensive medical history and that of his/her biological parents, to the extent available.  However, the regulation requires that identifying information of biological parents be removed from the history.

Disclosure to the Applicant/Recipient

The regulation generally allows the applicant or recipient to access his/her own case record with a few exceptions:  materials to which access is governed by other statutes or records maintained for purposes of Child Care Review Service; materials maintained separately from public assistance files for criminal prosecution and referral to the district attorney’s office; files belonging to the county attorney or welfare attorney.  The regulation further allows release of relevant information to a person/public official/agency from whom the applicant/recipient has requested a particular service.

Disclosure to Relatives and Other Legally Responsible Persons

The regulation requires when a child is released to the care of a relative or other legally responsible person by the family court, the authorized agency provide them with all the same background information as they would to a foster parent.  Given that a social services district is required to assess the ability and willingness of a relative to contribute to the support of a child who is an applicant/recipient of public assistance, the regulation allows the district to disclose information about applicant’s or recipient's basic needs and circumstances.  However, The only exception in both cases is HIV-related information, for which the authorized agency requires a written consent from the child (if capable of consent) or a person authorized to consent to child’s health care (if child is not capable of consent).

The regulation further requires that the social services district or authorized agency to inform the relative or other legally responsible person receiving this information that it is confidential and about any restrictions on redisclosure.  Disclosure of HIV-related information is governed by Section 360-8.1 of this Title and Article 27-F of the Public Health Law.

Disclosure to Federal, State or Local Officials

The regulation generally allows disclosure to any government authority with the authority to access this information – legislative body with legislative order, administrative board charged with investigating the operation of public welfare, law enforcement officers, grand juries, etc.  The regulation goes into detail with respect to what information a social services official must disclose to a federal, state or local law enforcement officer.  The regulation states that social service officials are always allowed to report issues of abuse, maltreatment and negligent treatment of a child, and to communicate with federal immigration and naturalization service about the immigration status of any individual.

Disclosure Upon Subpoena by Court

The regulation requires that when the public welfare agency receives a subpoena from court, it immediately consult its legal counsel before producing any information or giving testimony.  If the subpoena is directly related to the administration of public assistance or protection of the child, the regulation requires that the agency try and get in touch with the client whose record is involved to secure permission to reveal the contents to the extent necessary.  If the subpoena is not directly related to that purpose, the agency is required to plead in support of its request to withhold information that law and regulations prohibit disclosure of confidential information contained in records, including names of clients.  The agency is then required to do whatever the court orders in response to the plea.

Disclosure of Bona Fide News Disseminating Firm

The regulation requires that the public welfare obtain written assurance as required by N.Y. Soc. Serv. Law § 136 stating that names and addresses of applicants and recipients of public assistance shall not be published before allowing examination of records of disbursement by a bona fide news disseminating firm.

Disclosure of Confidential HIV-Related Information

The regulation states that confidential HIV-relating information of persons claiming disability benefits may be disclosed to employee's of the department’s office of disability determinations who are processing such claims on the basis of a general medical release.  Employees and agents will be held harmless and indemnified by the department for any liability for disclosure or redisclosure of any HIV-related information when such information is solicited by or provided to the office of disability determination, as long as they comply with department procedures and rules.  The regulation states that all such medical information, including HIV-related information, solicited by and provided to the office of disability determinations will be treated as confidential.