Section 9000
Purpose and Statutory Authority
These rules have been established to provide guidance
regarding appropriate maintenance and access to records of the Department that
are created under the authority of 33 V.S.A. Chapter 49, subchapter 2. Nothing
in these rules is intended to permit or require sharing information which is
restricted or protected from such sharing by federal or state statute or
regulation, or to prevent disclosure when otherwise authorized by law.
The rules cover the following:
1. The maintenance of investigation,
assessment and administrative review conference records.
2. The use and release of information in
investigation records, assessment records and administrative review conference
records.
The statutory authority for these regulations can be found
at
33 V.S.A.
§
4921. More detailed guidance to staff
is also provided in division policy.
Section 9001 Definitions
1. "Administrative Review Conference" means a
meeting between the grievant, an administrative reviewer and whenever possible
a Department employee for the purpose of reviewing the contents of the redacted
investigation file, the positions of the grievant and the Department in order
to determine whether substantiation standards have been met under law and
policy. An administrative review conference may also be held to assess whether
the grievant has satisfied statutory expungement standards.
2. "Assessment" means a response to a report
of child abuse or neglect that focuses on the identification of the strengths
and support needs of the child and the family, and any services they may
require to improve or restore their well-being and to reduce risk of future
harm. The child and family assessment does not result in a formal determination
as to whether the reported abuse or neglect occurred
3. "Assessment Record" means a summary of
information gathered during the assessment phase which includes an evaluation
of safety of the subject child and other children living in the same
environment; identification of family strengths; resources; service needs; the
recommended plan of services.
4.
"Investigation" means a response to a report of child abuse or neglect that
begins with a systematic gathering of information to determine whether the
abuse or neglect has occurred and, if so, the appropriate response. An
investigation shall result in a formal determination as to whether the reported
abuse or neglect has occurred.
5.
"Investigation Record" means a summary of information gathered during the
investigation phase which includes the nature, extent and cause of any abuse or
neglect; the identity of the person alleged to be responsible for such abuse or
neglect; consideration of the physical and emotional condition of other
children living in the same environment and a formal determination as to
whether the reported abuse or neglect has occurred.
6. "Redacted Investigation File" means the
intake report, the investigation activities summary, and case determination
report or equivalent documents that are amended in accordance with
confidentiality requirements set forth in sub section 4913 of 33
V.S.A.
7. "Valid Allegation" means
a report of child abuse or neglect that has been accepted for either an
investigation or an assessment.
Section 9002 Maintenance of Records
DCF shall maintain records and responses concerning all
investigations, assessments and administrative review conferences, in
accordance to a records retention schedule approved by the Vermont State
Archives and Records Administration.
Section 9003 Use and Disclosure of
Information
DCF may use and disclose information from the investigation,
assessment or administrative review conference records in the usual course of
its business, including but not limited to assessing future risk to children,
or providing appropriate services to a child, members of the child's family or
to a person who was the subject of a report of child abuse or neglect, or for
other legal purposes.
9003.01
Disclosure of Information during the Investigation or Assessment
Unless the parent or guardian is the subject of the report,
DCF shall promptly inform the parents, if known, or the guardian of the child,
that a report has been accepted as a valid allegation, the Department 's
response to the report and the parent or guardian's rights to request
records.
Section
9004 Mandatory Disclosure of Information
9004.01 Redacted Investigation File
Upon request, the Department shall disclose the redacted
investigation file to:
1. the child's
parents, foster parents, or guardian, absent good cause shown by the
Department, provided that the person(s) requesting the information are not the
subject of the investigation. "Good cause" may include concerns regarding
safety, domestic violence, or coercive behavior. "Good cause" may also exist
when records are sought in connection with a legal proceeding. In this latter
case, the legal discovery process should be utilized for disclosure.
2. a grievant alleged to have abused or
neglected the child for purposes of an administrative review conference to
review a substantiation decision or a petition for expungement, as provided for
in 4916a(d) and 4916c of 33 V.S.A.
3. the attorney representing the child in a
child custody proceeding in the Family Division of the Superior Court.
The safety of the children, reporters, and other individuals
mentioned in these documents must be considered when redacting investigation
files. The following information shall be redacted:
-- Identifying information, including names, of children,
reporters, individuals who were interviewed or provided information,
etc.;
-- Social Security numbers;
-- Dates of birth;
-- Addresses;
-- Phone numbers;
-- Information about a child who is not the subject of the
report;
-- Any information protected by law, including protected
health information
-- Information from open law enforcement
investigations;
-- Risk assessment forms;
-- Any other information not specifically related to the
findings of abuse or neglect.
9004.02 Investigation, Assessment or
Administrative Review Conference Records
Upon request, investigation, assessment or administrative
review conference records shall be disclosed to:
1. The court, parties to the juvenile
proceeding and the child's guardian ad litem if there is a pending juvenile
proceeding or if the child is in DCF custody;
2. The commissioner or person designated by
the commissioner to receive such records;
3. Persons assigned by the commissioner to
conduct investigations;
4. Law
enforcement officers who are engaged in a joint investigation with the
Department;
5. Assistant attorneys
general or a state's attorney; and
6. Other state agencies conducting related
inquiries or proceedings.
9004.03 Disclosure of Relevant Records or
Information
Upon request, relevant Department records or information
created under this subchapter shall be disclosed to:
1. a person, agency, or organization,
including a multidisciplinary team empaneled under section 4917 of this title,
authorized to diagnose, care for, treat, or supervise a child or family who is
the subject of a report or record created under this subchapter, or who is
responsible for the child's health or welfare;
2. health and mental health care providers
working directly with the child or family who is the subject of the report or
record;
3. educators working
directly with the child or family who is the subject of the report or
record;
4. licensed or approved
foster caregivers for the child;
5.
mandated reporters who made a report on the child and who are engaged in an
ongoing working relationship with the child or family who is the subject of the
report;
6. a Family Division of the
Superior Court involved in any proceeding in which custody of a child or
parent-child contact is at issue;
7. a Probate Division of the Superior Court
involved in guardianship proceedings;
8. other governmental entities for purposes
of child protection.
The determination of relevancy shall be made by DCF.
The Department may withhold:
1. information that could compromise the
safety of the reporter or the child or family who is the subject of the report;
or
2. specific details that could
cause the child to experience significant mental or emotional stress.
Information may be provided verbally or in writing.
The Department may also provide other records related to its
child protection activities for the child.
Any persons or agencies authorized to receive confidential
information may share such information with other persons or agencies
authorized to receive confidential information under 33 VSA Chapter 49 for the
purposes of providing services and benefits to the children and families those
persons or agencies mutually serve.
9004.04 Disclosure of Information to Parents
of a Child
Upon request, relevant Department information may be
disclosed to a parent with a reasonable concern that an individual who is
residing at least part time with the parent requestor's child presents a risk
of abuse or neglect to the requestor's child. The Department shall determine
the reasonableness of the concern.
For this purpose, "relevant Department information" means
information regarding the individual that the Department determines could avert
the risk of harm presented by the individual to the requestor's child.
Section 9005 Effective
Date of Rule
This rule is effective March 1, 2019.
