Ky.gov
Effective: 10/15/2024

G1.20 CPS Open Records Request and Disclosure of Information

Legal Authority

Introduction

​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​Any client shall have access to their case record, except for adoption and termination case records, which may only be shared upon receipt of a court order from the court of competent jurisdiction. Before a client can access their case record, staff must comply with confidentiality laws so that proper disclosure is made. A request for case records from anyone not expressly permitted by the Kentucky Revised Statue (KRS) will be subject to disclosure only upon order of a court of competent jurisdiction. If a client requests for someone other than themself to review their case record, they are required to provide the Division of Administration & Financial Management (DAFM) Records Management Section with 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 anyone comes to a local or regional office and makes a request for records, staff must not give them any case information. Staff must follow the procedures outlined below. The Division of 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

  • The only individuals who are permitted to view current case files at a field office are as follows: 
    • Attorneys representing the Office of the Commonwealth Attorney or Office of the County Attorney; 
    • Law enforcement officers assigned to the case; 
    • Guardians ad litem; 
    • Attorneys that are assigned to termination of parental rights (TPR) cases; 
    • Court-appointed special advocates (CASA); and 
    • Those with memorandums of understanding (MOU) or business associate agreements. 
  • ​A staff member must be present at all times while the individual is viewing the file; 
  • The commonwealth attorneys, county attorneys, and law enforcement officials assigned to the respective cases may obtain unredacted copies of documents for ongoing investigations and active court cases. For all other situations, the initial referral source must be redacted unless a court order states otherwise; 
  • If someone other than the above-referenced comes into a field office and requests to review the files, they must not be granted access. They must submit a written request following the procedures outlined below; 
  • Original case files must not be removed from field offices for any reason, other than by directive of the director of the Division of Service Regions or Protection and Permanency; 
  • ​If the staff has questions regarding which agencies have MOUs or business associate agreements with the Cabinet, contact the custodian of records at 502-564-3834. 
  • If a court order or subpoena is received that only requests the SSW to appear and does not ask the SSW to produce records, then the Records Management Section does not need to receive a copy of the court order or subpoena. 
  • The SSW must appear in court as stipulated by the court order or subpoena.​​

Procedure

​​When an applicant requests access and disclosure of the client’s case record, DPP and staff at the local or regional office will:
  1. Provide the applicant with the CHFS-305 Authorization for Disclosure of Protected Health Information to facilitate the request; 
  2. Notify the applicant that a request for a client’s information must be completed by submitting the CHFS-305 Authorization for Disclosure of Protected Health Information​​to the following link:

    ​Cabinet for Health and Family Services Open Records Center​ 

  3. Provide the applicant assistance in completing the form; 
  4. Advise the applicant that the Records Management Section will respond to their request; 
  5. Immediately email the request to the Records Management Section at CHFSDCBS.RMS@ky.gov​, if a local or regional office receives a written request for records; and 
  6. Contact the Records Management Section to confirm receipt of the email after the request has been sent.
The local or regional office, upon receiving a court order or subpoena, proceeds as follows:
  1. Immediately email 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 the worker to appear and is also requesting that records be produced; 
  2. Immediately email 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; 
  3. 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.​​​​​
    ​

Documents

Revisions