Ky.gov
Effective: 10/15/2024

G1.21 APS Open Records and Confidentiality

Legal Authority

Introduction

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Under Kentucky law, individuals have the right to request or access their case records. However, the agency must also comply with laws requiring confidentiality. Therefore, it is important that proper procedures are followed any time there is a request for case information. If a client requests for someone other than themself to review their case record, they are required to provide a signed authorization to allow access and disclosure of the case record. A copy of the notice outlining regulations governing the access and disclosure of public records of the Cabinet for Health and Family Services (CHFS/Cabinet), Department for Community Based Services (DCBS) will be displayed in a prominent location in every office to which the public has access.

If a request for records is made to a staff or received in a local office, the staff must not provide any case information. Staff must follow the procedures outlined below. The Division of Administrative and Financial  Management (DAFM) Records Management Section will generate all correspondence regarding open records requests. The local DCBS office does not generate any correspondence regarding open records requests.

Practice Guidance

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  • Information obtained through an adult protective services (APS) investigation cannot be shared with anyone except:
    • The alleged victim; 
    • The adult victim's legally appointed guardian; 
    • Cabinet staff that have a legitimate interest or responsibility for the case; 
    • Medical, psychological, social services, law enforcement, or other authorized agencies having a legitimate interest in the case as outlined in SOP 19.4 Completion of the DPP-115 Reporting Form; or 
    • Through court order. 
  • If staff receive requests for records or case information from persons who do not have legal access to APS records, the only information that may be shared is that which is deemed necessary to carry out statutory responsibilities to protect the adult and complete the investigation. If the reporting source or other interested parties are not permitted by statute to request follow-up information on an APS investigation, the SSW may: 
    • Offer an explanation of services that may be offered in these situations; and 
    • Explain Cabinet policy as it relates to the client’s right to accept or refuse services. 
  • Requests for written information are routed through the open records process except for: 
  • Court orders, subpoenas, and all other requests for records are immediately sent by email to CHFSDCBS.RMS@ky.gov to the Records Management Section in central office. This office can also be reached by phone at 502-564-3834. 
  • If a court order or subpoena is received that only requests the SSW to appear and is not asking the SSW to produce records, then the Records Management Section does not need to receive a copy of the court order or subpoena. 

Procedure

​​The SSW:
  1. Determines the legitimacy of the individual's or agency’s interest in a case, prior to releasing verbal information. Information may be released verbally only to those specifically allowed by statute and outlined in SOP 19.4 Completion of the DPP-115 Reporting Form, provided that the name or address of the informant(s) is not released;
  2. Provides all others who are requesting information or access to case records with the CHFS-305 Authorization for Disclosure of Protected Health Information to facilitate the request; 
  3. Notifies the applicant that a request for a client’s information must be directed to the following link to submit the CHFS-305 Authorization for Disclosure of Protected Health Information or CHFS-305A Authorization for Disclosure of Psychotherapy Information:​
    Cabinet for Health and Family Services Open Records Center​​
  4. Provides the applicant assistance in completing the form if needed; 
  5. Advises the applicant that the Records Management Section will respond to their request; 
  6. Advises that documentation of executor/administrator role is needed for records requests involving a client who is deceased.

Documents

Revisions

​10/2024

Under Kentucky law, individuals have the right to request or access their case records. However, the agency must also comply with laws requiring confidentiality. Therefore, it is important that proper procedures are followed any time there is a request for case information. If a client requests for someone other than themself to review their case record, they are required to provide a signed authorization to allow access and disclosure of the case record. A copy of the notice outlining regulations governing the access and disclosure of public records of the Cabinet for Health and Family Services (CHFS/Cabinet), Department for Community Based Services (DCBS) will be displayed in a prominent location in every office to which the public has access.

If a request for records is made to a staff or received in a local office, the staff must not provide any case information. Staff must follow the procedures outlined below. The Division of Administrative and Financial  Management (DAFM) Records Management Section will generate all correspondence regarding open records requests. The local DCBS office does not generate any correspondence regarding open records requests.


  • If staff receive requests for records or case information from is in contact with persons who do not have legal access to APS records, the only information that may be shared is that which is deemed necessary to carry out statutory responsibilities to protect the adult and complete the investigation. If the reporting source or other interested parties are not permitted by statute to request follow-up information on an APS investigation, the SSW may: 

Requests for open records as outlined in SOP 30.11 Open Records Request and Disclosure of Information made by someone other than those listed in KRS 209.140 must be accompanied by a signed CHFS-305 Authorization for Disclosure of PHI.​​

  • If a court order or subpoena is received that only requests the SSW to appear and is not asking the SSW to produce records, then the Records Management Section does not need to receive a copy of the court order or subpoena. ​

  1. Determines the legitimacy of the individual's or agency’s interest in a case, prior to releasing verbal information. Information may be released verbally only to those specifically allowed by statute and outlined in SOP 19.4 Completion of the DPP-115 Reporting Form, provided that the name or address of the informant(s) is not released.


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