Ky.gov
Effective: 7/6/2026

G1.21 APS Open Records and Confidentiality

Legal Authority

Introduction

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. 

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 A1.4 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. 
  • 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. Ensures that a copy of the notice outlining regulations governing the access and disclosure of public records of the Department for Community Based Services is displayed in a prominent location in the DCBS office; 
  2. 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 A1.4 Completion of the DPP-115 Reporting Form​, provided that the name or address of the informant(s) is not released;
  3. May provide a written copy of the adult assessment or investigation documentation to law enforcement or other investigative agencies with a legitimate interest in the case, as outlined in SOP A1.4 Completion of the DPP 115 Reporting Form;
  4. 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; 
  5. Notifies the requestor 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​​
  6. Provides the requestor assistance in completing the form if needed; 
  7. Advises the requestor that the Records Management Section will respond to their request;
  8. Advises that a signed authorization to allow access and disclosure of the case record must also be included if the client is requesting someone other than themselves to review their case record; 
  9. Advises that documentation of executor/administrator role is needed for records requests involving a client who is deceased;
  10. Does not generate any correspondence regarding open records requests, but defers to the Records Management Section to do so; 
  11. Immediately emails a copy of the court order or subpoena, upon service or receipt, to the Records Management Section at CHFSDCBS.RMS@ky.gov, if the court order or subpoena is requesting the worker to appear and is also requesting that records be produced; ​
  12. Immediately emails a copy of the court order or subpoena to the Records Management Section at CHFSDCBS.RMS@ky.gov, if the court order or subpoena is requesting records only; 
  13. Calls the Records Management Section at 502-564-3834 to verify that the email was received and to receive instructions from the custodian of records regarding the court order or subpoena to receive copies of documentation from case files; and
  14. Appears in court at the designated time if the court order or subpoena requests appearance by the staff. 

Documents

Revisions