SUBCHAPTER 05J ‑ CONFIDENTIALITY OF CLIENT DATA
SECTION .0100 ‑ DEFINITIONS FOR CONFIDENTIALITY OF CLIENT DATA
10A NCAC 05J .0101 DEFINITIONS FOR CONFIDENTIALITY OF CLIENT DATA
Unless the context clearly specifies otherwise, the following terms are defined as follows:
(1) "Agency" means Division of Aging, Area Agencies on Aging, or service provider.
(2) "Client" means any applicant for, or recipient of, services administered under the auspices of the Division of Aging.
(3) "Client information" or "client record" means any information, whether recorded or not, including information stored in computer data banks or files, relating to a client which was received in connection with the performance of any function of the agency.
(4) "Court order" means any written order from a judge which directs explicitly the release of client information.
(5) "Service provider" means any public or private agency from whom Division of Aging funded services are purchased or authorized.
History Note: Authority G.S. 143B‑181.1(c); 143B‑181.10;
Eff. December 1, 1991;
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.
10A NCAC 05J .0201 CONFIDENTIALITY OF CLIENT DATA
(a) Client information obtained by the Division of Aging, Area Agencies on Aging or service providers from an older person or their designated representative shall not be disclosed in a form that identifies the person without the informed consent of the person or legal representative unless the disclosure is required by court order, or for program monitoring by authorized federal, state, or other designated monitoring agencies.
(b) The agency shall assure that all authorized individuals are informed of the confidential nature of client information and shall disseminate written policy to and provide training for all persons with access to client information.
History Note: Authority G.S. 143B‑181.1(c); 143B‑181.10;
Eff. November 1, 1991;
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.
10A NCAC 05J .0202 INFORMATION FROM OTHER COMMUNITY SERVICE ORGANIZATIONS
If the agency receives information from another community service organization or individual, then such information shall be treated as any other information generated by the State Division of Aging, Area Agency on Aging or service provider and disclosure thereof will be governed by any condition imposed by the furnishing community service organization or individual.
History Note: Authority G.S. 143B‑181.1(c); 143B‑181.10;
Eff. November 1, 1991;
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.
10A NCAC 05J .0203 DISCLOSURE PURSUANT TO OTHER LAWS
Whenever federal or state statutes or regulations specifically address confidentiality issues, the agency shall disclose or keep confidential client information in accordance with those federal or state statutes or regulations.
History Note: Authority G.S. 143B‑181.1(c); 143B‑181.10;
Eff. November 1, 1991;
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.
10A NCAC 05J .0204 OWNERSHIP OF RECORDS
All client information contained in any records of the agency is the property of the agency. Employees of the agency shall protect and preserve such information from dissemination except as indicated by the policies established.
History Note: Authority G.S. 143B‑181.1(c); 143B‑181.10;
Eff. November 1, 1991;
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.
10A NCAC 05J .0205 SECURITY OF RECORDS
(a) The agency shall provide a secure place with controlled access for the storage of client records or reports, or both, which contain client specific information.
(b) Only employees, students, volunteers or other individuals who must access client information in order to carry out duties assigned or approved by the agency shall be authorized to have access to such information.
(c) Only authorized individuals may remove a record or report, or both, from the storage area and that individual shall be responsible for the security of the record until it is returned to the storage area.
(d) The agency shall be allowed to destroy records in accordance with Record Retention Schedules promulgated by the Division of Archives and History, and state and federal statutes and regulations.
(e) Area Agencies on Aging and service providers shall establish written procedures to prevent accidental disclosure of client information from automated data processing systems.
History Note: Authority G.S. 143B‑181.1(c); 143B‑181.10;
Eff. December 1, 1991;
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.
10A NCAC 05J .0206 RELEASE OF CLIENT INFORMATION
(a) No client identifying information, except as referenced in Rule .0205 of this Section, which is maintained by the Division of Aging, Area Agency on Aging or service provider shall be released to other individuals or community service organizations without obtaining a signed consent for release of information from the client or legal guardian.
(b) The consent for release of information shall include, at a minimum, the following items:
(1) Name of the provider and recipient of the information;
(2) The extent of information to be released;
(3) The name and dated signature of the client or client representative;
(4) A statement that the consent is subject to revocation at any time except to the extent that action has been taken in reliance on the consent;
(5) Length of time the consent is valid.
(c) The client may alter the form to contain other information which may include but is not limited to:
(1) A statement specifying the date, event or condition upon which the consent may expire even if the client does not expressly revoke the consent;
(2) Specific purpose for the release.
(d) A copy of the signed consent for release of information shall be maintained in the client record.
History Note: Authority G.S. 143B‑181.1(c); 143B‑181.10;
Eff. November 1, 1991;
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.
10A NCAC 05J .0207 INFORMED CONSENT
Prior to obtaining a consent for release of information, the delegated representative shall explain the meaning of informed consent. The client shall be told the following:
(1) Contents to be released;
(2) That there is a definite need for the information;
(3) That the client can give or withhold the consent and the consent is voluntary;
(4) That there are statutes and regulations protecting the confidentiality of the information.
History Note: Authority G.S. 143B‑181.1(c); 143B‑181.10;
Eff. November 1, 1991;
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.
10A NCAC 05J .0208 CLIENT ACCESS TO RECORDS
(a) Access to information about himself is the right of the client. Upon written or verbal request, the client shall have access to review or obtain without charge a copy of the information in his records with the following exceptions:
(1) Information that the agency is required to keep confidential by state or federal statutes or regulations;
(2) Confidential information originating from another community service organization;
(3) Information that would breach another individual's right to confidentiality.
(b) Client's requesting access to the information contained in his record as promptly as feasible but no more than five working days after receipt of the request.
(c) The Director or his delegated representative shall be present when the client reviews the record.
(d) The Director or his delegated representative must document in the client record the review of the record by the client.
History Note: Authority G.S. 143B‑181.1(c); 143B‑181.10;
Eff. December 1, 1991;
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.
10A NCAC 05J .0209 CONTESTED INFORMATION
(a) A client may contest the accuracy, completeness or relevancy of the information in his record.
(b) A correction of the contested information, but not the deletion of the original information if it is required to support receipt of state or federal financial participation, shall be inserted in the record when the Director or his designee concurs that such correction is justified.
(c) When the Director or his delegated representative does not concur, the client shall be allowed to enter a statement in the record.
(d) Such corrections and statements shall be made permanent part of the record and shall be disclosed to any recipient of the disputed information.
(e) If a delegated representative decides not to correct contested information, the decision not to correct shall be reviewed by the supervisor of the person making the initial decision.
History Note: Authority G.S. 143B‑181.1(c); 143B‑181.10;
Eff. November 1, 1991;
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.
10A NCAC 05J .0210 WITHHOLDING OF INFORMATION FROM THE CLIENT
(a) When the Director or delegated representative determines on the basis of the exceptions outlined in Rule .0208 of this Section to withhold information from the client record, this reason shall be documented in the client record.
(b) The Director or delegated representative must inform the client that information is being withheld, and upon which of the exceptions specified in Rule .0208 of this Section the decision to withhold the information is based.
(c) If confidential information originating from another community service organization is being withheld, the client shall be referred to that community service organization for access to the information.
History Note: Authority G.S. 143B‑181.1(c); 143B‑181.10;
Eff. November 1, 1991;
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.
10A NCAC 05J .0211 DISCLOSURE OF CLIENT INFORMATION WITHOUT CLIENT CONSENT
Client information included in the client record may be disclosed without the consent of the client under the following circumstances:
(1) To other employees of the agency for the purpose of making referrals, supervision, consultation or determination of eligibility.
(2) Between the service provider, Area Agency on Aging and Division of Aging for the purposes of reporting.
History Note: Authority G.S. 143B‑181.1(c); 143B‑181.10;
Eff. November 1, 1991;
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.
10A NCAC 05J .0212 INFORMATION NEEDS OF SERVICE PROVIDERS
(a) Client information may be disseminated to service providers in accordance with the release of information statement included on the client registration form.
(b) Any further disclosure will require a signed release of information form from the client.
History Note: Authority G.S. 143B‑181.1(c); 143B‑181.10;
Eff. November 1, 1991;
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.