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Oregon Bulletin

October 1, 2011

Department of Human Services,
Children, Adults and Families Division:
Child Welfare Programs
Chapter 413

Rule Caption: Changing OARs affecting Child Welfare programs

Adm. Order No.: CWP 17-2011(Temp)

Filed with Sec. of State: 9-1-2011

Certified to be Effective: 9-1-11 thru 2-28-12

Notice Publication Date:

Rules Amended: 413-200-0404, 413-200-0409, 413-200-0414, 413-200-0419, 413-200-0424

Subject: OAR 413-200-0404, 413-200-0409, 413-200-0414, 413-200-0419, and 413-200-0424 about Department responsibilities during screening and assessment of a child abuse or neglect report involving the home of a Department-certified foster parent or relative caregiver are being amended to reflect current Department practice under a new database system and a redesigned structure in which the written assessment is located and assigned to a family and a child. These amendments also extend the use of consistent definitions and terminology, and remove references to positions no longer in the Department.

Rules Coordinator: Annette Tesch—(503) 945-6067

413-200-0404

Purpose

(1) The purpose of these rules (OAR 413-200-0404 to 413-200-0424) is to describe Department responsibilities during the screening and assessment of a report of child abuse or neglect involving the home of a Department certified foster parent or relative caregiver. A report involves the home of a Department-certified foster parent or relative caregiver if the report alleges that someone in the home abused or neglected any child.

(2) When a report is received involving the home of a Department-certified foster parent or relative caregiver, these rules, Child Welfare Policies I-AB.1 to I-AB.7, “Child Protective Services” (OAR 413-015-0100 to 413-015-1230), II-B.1, “Certification Standards for Foster Parents, Relative Caregivers, and Pre-Adoptive Parents” (OAR 413-200-0301 to 413-200-0396), II-B.1.1, “Department Responsibilities for Certification and Supervision of Relative Caregivers, Foster Parents, and Pre-Adoptive Parents” (OAR 413-200-0270 to 413-200-0296), and I-B.1, “Monitoring Child Safety” (OAR 413-080-0040 to 413-080-0067) apply.

Stat. Auth.: ORS 409.050 & 418.005

Stats. Implemented: ORS 409.185, 418.005, 418.015, 419B.015 & 419B.020

Hist.: CWP 33-2007(Temp), f. 12-31-07, cert. ef. 1-1-08 thru 6-27-08; CWP 15-2008, f. 6-27-08, cert. ef. 6-28-08; CWP 17-2011(Temp), f. & cert. ef. 9-1-11 thru 2-28-12

413-200-0409

Definitions

The following definitions apply to OAR 413-200-0404 to 413-200-0424:

(1) “Certification supervisor” means an employee of the Department, designated as a supervisor, supervising staff responsible for certification, training, and monitoring homes certified by the Department.

(2) “Certified family” means an individual or individuals who hold a Certificate of Approval from the Department to operate a home to provide care, in the home in which they reside, to a child or young adult in the care or custody of the Department.

(3) “Certifier” means a Child Welfare employee who conducts assessments of applicants interested in providing relative or foster care to a child or young adult in the care or custody of the Department or an adoptive applicant, determines whether or not to recommend approval of the operation of a relative care or foster home or an adoptive applicant, and monitors the compliance of a relative care or foster care home with Child Welfare certification rules.

(4) “Child” means a person under 18 years of age.

(5) “Child protective services assessment (CPS assessment)” means activities and interventions that identify and analyze safety threats, determine if there is reasonable cause to believe child abuse or neglect occurred, and assure child safety through protective actions or ongoing safety planning.

(6) “Child protective services supervisor (CPS supervisor)” means an employee of Child Welfare trained in child protective services and designated as a supervisor.

(7) “Child protective services worker (CPS worker)” means an employee of Child Welfare who has completed the mandatory Department training for child protective service workers.

(8) “Consulting foster parent or relative caregiver” means an individual who maintains or has held a Certificate of Approval to operate a foster or relative caregiver home, received Department approved training on the role of a consulting foster parent or relative caregiver, and agrees to serve in this role.

(9) “Department” means the Department of Human Services, Child Welfare.

(10) “Foster parent” means an individual who operates a home that has been approved by the Department to provide care for an unrelated child or young adult placed in the home by the Department.

(11) “Inactive referral status” means a period of time, not to exceed 12 months, during which neither the Department nor any other agency will place an additional child or young adult with a certified family. The certified family or the Department may initiate the inactive referral status.

(12) “Initial contact” means the first face-to-face contact between a CPS worker and a family. The initial contact includes face-to-face contact with the alleged child victim, his or her siblings, parent or caregiver, and other children and adults living in the home; accessing the home environment; identifying safety threats; and determining if a protective action is needed.

(13) “Referral” means a report that has been assigned for the purpose of CPS assessment.

(14) “Relative caregiver” means an individual who operates a home that has been approved by the Department to provide care for a related child or young adult placed in the home by the Department.

(15) “Report” means an allegation of child abuse or neglect provided to Child Welfare that the screener evaluates to determine if it constitutes a report of child abuse or neglect as defined in ORS 419B.005.

(16) “Screener” means a Child Welfare employee with training required to provide screening services.

(17) “Young adult” means a person aged 18 through 20 years.

Stat. Auth.: ORS 409.050 & 418.005

Stats. Implemented: ORS 409.185, 418.005, 418.015, 419B.015 & 419B.020

Hist.: CWP 33-2007(Temp), f. 12-31-07, cert. ef. 1-1-08 thru 6-27-08; CWP 15-2008, f. 6-27-08, cert. ef. 6-28-08; CWP 17-2011(Temp), f. & cert. ef. 9-1-11 thru 2-28-12

413-200-0414

Department Actions During Screening

(1) Screener Actions.

(a) When a screener receives information involving the home of a certified family, the screener must:

(A) Refer to and follow Child Welfare Policy I-AB.2, “Screening”, OAR 413-015-0200 to 413-015-0225 to gather and share information;

(B) Consult with the CPS supervisor before determining the Department’s response;

(C) Notify the assigned caseworker of each child or young adult placed in the home, each assigned caseworker’s supervisor, the assigned certifier, and the certifier’s supervisor of all information received; and

(D) If the information is closed at screening as described in Child Welfare Policy I-AB.2, “Screening”, OAR 413-015-0210(4):

(i) Document the information in provider case notes in the Department’s information system; and

(ii) Notify the individuals listed in paragraph (C) of this subsection that the information was closed at screening.

(b) When a screener receives information alleging abuse or neglect of a young adult living in the home of a certified family, the screener must provide the information to the young adult’s caseworker; and

(A) Provide the information to the Department’s Seniors and People with Disabilities Division when the young adult is an individual with a diagnosed disability; or

(B) Provide the information to law enforcement.

(2) Certifier Actions. When the assigned certifier is notified by a screener that information involving the home of a certified family was closed at screening, the certifier must examine the information received and follow Child Welfare Policy II-B.1.1., “Department Responsibilities for Certification and Supervision of Relative Caregivers, Foster Parents, and Pre-Adoptive Parents” (OAR 413-200-0270 to 413-200-0296).

(3) Assigned Caseworker Actions.

(a) When a report of information alleging abuse or neglect of a young adult has been shared with Seniors and People with Disabilities Division because the young adult is an individual with a diagnosed disability, the young adult’s caseworker must coordinate the Department’s response with the Seniors and People with Disabilities Division.

(b) When a report of information alleging abuse or neglect of a young adult has been shared with law enforcement, the young adult’s caseworker must coordinate the Department’s response with law enforcement.

(c) When a report is received alleging that a child or young adult in substitute care in the home of a certified family may have been subjected to abuse or neglect, and the screener determines that the report constitutes a report of child abuse or neglect as defined in ORS 419B.005, within three business days of the Department’s receipt of the report, the caseworker of the child or young adult in substitute care who is the alleged victim must notify the following individuals that a report was received:

(A) The attorney for the child or young adult ;

(B) The court appointed special advocate (CASA) for the child or young adult ;

(D) Any attorney representing the parents of the child or young adult ; and

(E) If the disclosure is authorized by ORS 419B.035, others who are involved in the case plan as necessary.

(d) The notification of the parents of the child or young adult and any attorney representing the parents of the child or young adult in paragraphs (3)(c)(C) and (D) of this rule is not required if the notification may interfere with an investigation or assessment or jeopardize the safety of the child or young adult. The CPS supervisor, or the supervisor of a caseworker of the child or young adult may authorize an exception to the requirement to provide notification based on documentation that supports this conclusion.

Stat. Auth.: ORS 409.050 & 418.005

Stats. Implemented: ORS 409.185, 418.005, 418.015, 419B.015 & 419B.020

Hist.: CWP 33-2007(Temp), f. 12-31-07, cert. ef. 1-1-08 thru 6-27-08; CWP 15-2008, f. 6-27-08, cert. ef. 6-28-08; CWP 17-2011(Temp), f. & cert. ef. 9-1-11 thru 2-28-12

413-200-0419

Department Actions During the CPS Assessment

(1) CPS Worker and CPS Supervisor Actions.

(a) If the report involving the home of a certified family is referred for a CPS assessment, the assigned CPS worker must convene a staffing before making initial contact unless the timing of the staffing will compromise child safety. The purpose of the staffing is:

(A) To determine and coordinate the response to the referral;

(B) To notify the certifier assigned to the home, the caseworkers assigned to each child or young adult placed in the home, and their respective supervisors of the referral; and

(C) To share information known by the Department regarding the children or young adults placed in the home and the certified family.

(b) The CPS worker must ensure that the following people are invited to the staffing:

(A) The assigned certifier or the certification supervisor; and

(B) The assigned caseworker of each child or young adult in the home or each caseworker's supervisor.

(A) Ensure that the staffing discussed in subsection (a) of this section occurs prior to the initial contact unless the timing of the staffing will compromise child safety;

(B) Determine whether the Child Welfare Program Manager, CPS Consultant, and Foster Care Coordinator should be invited to the staffing; and

(C) If the staffing does not occur prior to the initial contact, ensure the staffing occurs the next business day and that all persons identified in subsection (b) of this section share information known by the Department regarding children or young adults placed in the home, the certified family, and any other individuals living in the home.

(d) The CPS worker must complete the following activities during the CPS assessment:

(A) At initial contact, in addition to the requirements in Child Welfare Policy I-AB.4, "CPS Assessment", OAR 413-015-0400 to 413-015-0485, provide the certified family with the appropriate "What you need to know about a Child Protective Service Assessment" pamphlet;

(B) Consult with a CPS supervisor before making the decision to remove any child or young adult from the home;

(C) Provide on-going information to the assigned certifier and to the caseworkers of each child or young adult placed in the home on the status of the CPS assessment; and

(D) Complete the CPS assessment.

(2) Certifier and Certification Supervisor Actions. When the assigned certifier is notified that information received by a screener involving the home of a certified family is referred for a CPS assessment:

(a) Within one business day after the CPS worker has made initial contact, the certifier must contact and notify the certified family and provide them with the following information:

(A) The certifier is available to answer questions related to certification but will not discuss the specifics of the CPS assessment;

(B) The certified family is immediately placed on inactive referral status pending the completion of the CPS assessment;

(C) The certified family has the option of having a consulting foster parent or relative caregiver available for support during the assessment; and

(D) The names of foster parents and relative caregivers who have agreed to serve as a consulting foster parent or relative caregiver.

(b) Within one business day, the certifier must document the initiation of a CPS assessment and the placement of the certified family on inactive referral status in FACIS provider notes.

(c) Within one business day, the certifier must notify Department staff responsible for placement that the certified family's home is on inactive referral status.

(d) Within 14 days of the notification required in paragraph (2)(a)(B) of this rule, the Department must provide written notification to the certified family that the home has been placed on inactive referral status and place a copy of the written notification in the certification file.

(e) The certifier must provide ongoing information regarding the certified family and any individuals living in the home to the assigned CPS worker and the caseworkers of each child or young adult placed in the home.

(f) The certification supervisor must ensure that the actions required in subsections (a) through (e) of this section are completed if the certifier is unavailable.

Stat. Auth.: ORS 409.050 & 418.005

Stats. Implemented: ORS 409.185, 418.005, 418.015, 419B.015 & 419B.020

Hist.: CWP 33-2007(Temp), f. 12-31-07, cert. ef. 1-1-08 thru 6-27-08; CWP 15-2008, f. 6-27-08, cert. ef. 6-28-08; CWP 17-2011(Temp), f. & cert. ef. 9-1-11 thru 2-28-12

413-200-0424

Department Actions at the Conclusion of the CPS Assessment

(1) CPS Worker and Supervisor Actions.

(a) In addition to the actions required in Child Welfare Policy I-AB.4, “CPS Assessment”, OAR 413-015-0400 to 413-015-0485, the CPS worker must convene a staffing within five business days of the completion of the CPS assessment to:

(A) Share information acquired during the CPS assessment, and the results of the CPS assessment;

(B) Discuss and determine whether any additional actions described in Child Welfare Policy I-AB.4, “CPS Assessment”, OAR 413-015-0400 to 413-015-0485 are appropriate;

(C) Determine who needs to be notified of the disposition of the CPS assessment and determine which staff will be responsible for providing notification;

(D) Discuss certification actions that have been taken and whether any additional actions described in Child Welfare Policy II-B.1.1, “Department Responsibilities for Certification and Supervision of Relative Caregivers, Foster Parents, and Pre-Adoptive Parents”, OAR 413-200-0270 to 413-200-0296 are appropriate.

(b) The CPS worker must ensure that the following staff members are invited to the staffing:

(A) The CPS supervisor;

(B) The assigned certifier or the certification supervisor; and

(C) The caseworkers assigned to each child or young adult placed in the home of the certified family or their respective supervisors.

(A) Ensure that the staffing, discussed in subsection (a) of this section occurs;

(B) Determine whether the Child Welfare Program Manager, CPS Consultant, and Foster Care Coordinator should be invited to the staffing; and

(i) The attorney for the child;

(ii) The court appointed special advocate (CASA) for the child;

(iii) The parents of the child;

(iv) Any attorney representing the parents of the child; and

(v) If the disclosure is authorized by ORS 419B.035, others who are involved in the case plan as necessary.

(D) The supervisor may authorize an exception to the notification of the parents of the child and any attorney representing the parents of the child required in paragraph (C) of this subsection if the notification may interfere with an investigation or assessment or jeopardize the safety of the child.

(d) At the conclusion of any CPS assessment, regardless of the disposition, the CPS supervisor must immediately notify the assigned caseworkers, the certifier, the CPS Consultant, and the Foster Care Coordinator that the CPS assessment has been completed and approved.

(2) Assigned Caseworker Actions.

(a) Within ten business days of the Department determining the disposition of a CPS assessment involving the alleged abuse of a child placed in the home of a certified family, the caseworker for the child must notify the individuals identified in paragraph (1)(c)(C) of this rule of the disposition unless an exception, described in paragraph (1)(c)(D) of this rule, is authorized by the CPS supervisor or his or her designee.

(b) Within ten business days of the conclusion of a law enforcement determination involving the alleged abuse of a young adult placed in the home of a certified family, the caseworker for the young adult must notify the individuals identified in paragraph (1)(c)(C) of this rule of the disposition, unless notification may interfere with an investigation or assessment or jeopardize the young adult’s safety as authorized by the caseworker’s supervisor.

(3) Certifier and Certification Supervisor Actions.

(a) At the conclusion of the CPS assessment, during or within five business days of the meeting required in subsection (1)(a) of this rule, the certifier and certification supervisor must:

(A) Staff the case and review all the information in the CPS assessment;

(B) Determine whether the information indicates certification actions described in Child Welfare Policy II-B.1.1, “Department Responsibilities for Certification and Supervision of Relative Caregivers, Foster Parents, and Pre-Adoptive Parents”, OAR 413-200-0270 to 413-200-0296 should be taken; and

(b) After completing the staffing required in subsection (1)(a) of this rule, if the Department determines:

(A) That the Certificate of Approval for the certified family should be revoked, the assigned certifier must initiate revocation of the Certificate of Approval as described in Child Welfare Policy II-B.1.1, “Department Responsibilities for Certification and Supervision of Relative Caregivers, Foster Parents, and Pre-Adoptive Parents”, OAR 413-200-0296.

(B) That inactive referral status should continue because one or more of the conditions in Child Welfare Policy II-B.1.1, “Department Responsibilities for Certification and Supervision of Relative Caregivers, Foster Parents, and Pre-Adoptive Parents”, OAR 413-200-0294 are present, the assigned certifier must summarize the outcome of the assessment and the reasons for continuing inactive referral status in a letter delivered to the certified family within 10 days of the completed CPS assessment. The certifier must retain a copy of the letter in the certification file.

(C) That the certificate will not be revoked after a founded or unable to determine disposition, the assigned certifier must:

(i) Submit written documentation supporting the continued certification of the certified family to the District Manager or Child Welfare Program Manager for approval;

(ii) Upon receiving approval for continued certification from the District Manager or Child Welfare Program Manager, remove the certified family from inactive referral status;

(iii) Within ten business days of receiving approval from the District Manager or Child Welfare Program Manager, send written notification to the certified family that the home is no longer on inactive referral status and retain a copy of the written notification in the certification file; and

(iv) Notify Department staff responsible for placement that the certified family is no longer on inactive referral status.

(4) The CPS worker or supervisor, and the certifier or supervisor must meet with the certified family within ten business days of the completion of the CPS assessment to explain the disposition and any certification actions that will be taken unless the certified family declines the opportunity for a meeting.

Stat. Auth.: ORS 409.050 & 418.005

Stats. Implemented: ORS 409.185, 418.005, 418.015, 419B.015 & 419B.020

Hist.: CWP 33-2007(Temp), f. 12-31-07, cert. ef. 1-1-08 thru 6-27-08; CWP 15-2008, f. 6-27-08, cert. ef. 6-28-08; CWP 17-2008(Temp), f. & cert. ef. 7-17-08 thru 1-13-09; CWP 26-2008, f. & cert. ef. 10-1-08; CWP 17-2011(Temp), f. & cert. ef. 9-1-11 thru 2-28-12

Rule Caption: Changing OARs affecting Child Welfare programs

Adm. Order No.: CWP 18-2011

Filed with Sec. of State: 9-2-2011

Certified to be Effective: 9-2-11

Notice Publication Date: 8-1-2011

Rules Amended: 413-010-0000, 413-010-0010, 413-010-0030, 413-010-0035, 413-010-0045, 413-010-0055, 413-010-0065, 413-010-0068, 413-010-0075

Subject: OAR 413-010-0000, 413-010-0010, 413-010-0030, 413-010-0035, 413-010-0045, 413-010-0055, 413-010-0065, 413-010-0068, and 413-010-0075 about the disclosure of client information without a court order in child welfare programs are being amended to update references to program names.

OAR 413-010-0010 defining certain terms used in rules about the disclosure of client information without a court order in child welfare programs is also being amended to add definitions related to program names.

OAR 413-010-0035 is also being amended to clarify its description of prohibited disclosures for child welfare programs.

OAR 413-010-0055 is also being amended to revise its requirements about when the Director must submit a written report of the findings and conclusions of the sensitive review committee to the President of the Senate and the Speaker of the House of Representatives.

Rules Coordinator: Annette Tesch—(503) 945-6067

413-010-0000

Purpose

The purpose of these rules is to describe the circumstances in which the Department may and may not disclose client information without a court order.

Stat. Auth.: ORS 418.005

Stats. Implemented: ORS 419A.255 & 409.225

Hist.: SCF 6-1995, f. 12-22-95, cert. ef. 12-29-95; SOSCF 9-1999, f. 5-24-99, cert. ef. 6-1-99; CWP 18-2011, f. & cert. ef. 9-2-11

413-010-0010

Definitions

(1) “Adult” means a person who is 18 years of age or older.

(2) “Child” means a person who is under 18 years of age.

(3) “Client” means a person to whom the Department provides services and includes children, parents, legal guardians, and legal custodians of unemancipated minor children who receive services. Individuals who apply for and individuals who are granted certifications to operate foster homes are not clients. Adoptive parents are clients when:

(a) The Department has placed a child with them on a designated adoption basis; or

(b) They have signed a legal risk adoption agreement.

(4) “Client File” means a file that the Department marks with the names of one or more clients, into which the Department places all of the named clients’ records. A client file may contain confidential information about other clients and persons who are not clients.

(5) “Client Information” means confidential information about a client or identified with a client.

(6) “Client Record” means any “record,” as defined in section (12) of this rule, which includes client information and is created by, requested by, or held by the Department. A client record does not include general information, policy statements, statistical reports or similar compilations of data, which are not identified with an individual child, family or other recipient of services.

(7) “Confidential Information” means information that is unavailable to the public by statute, rule, or court order.

(8) “Court Appointed Special Advocate (CASA)” means a volunteer who is appointed by the court, is a party to the juvenile proceeding, and advocates for the child pursuant to ORS 419A.170.

(9) “Department” means the Department of Human Services, Child Welfare.

(10) “Disclose” means reveal or provide client information to a person, agency, organization or other entity. Disclosing includes, but is not limited to:

(a) Showing or providing a client record or copy of a client record; and

(b) Orally transmitting client information.

(11) “Legally Emancipated” means a person under 18 years of age who is married or has been emancipated by the court in accordance with the requirements of ORS 419B.558.

(12) “Record” means a record, file, paper, or communication and includes but is not limited to any writing or recording of information including automated records and printouts, handwriting, typewriting, printing, photostating, photographing, magnetic tapes, videotapes or other documents.

(13) “Service” means assistance that the Department provides clients and includes, but is not limited to homemakers, intensive family service workers, foster parents, child care centers, private child care agencies treatment centers, mental health professionals, volunteers, student interns, child protection teams, physicians and other health care providers, and Indian social service and child welfare agencies.

(14) “Voluntary Services” means services that the Department provides at the request of a person or persons and there is no open and related juvenile court proceeding.

Stat. Auth.: ORS 418.005

Stats. Implemented: ORS 419A.255, 419A.170 & 409.225

Hist.: SCF 6-1995, f. 12-22-95, cert. ef. 12-29-95; SOSCF 9-1999, f. 5-24-99, cert. ef. 6-1-99; CWP 18-2011, f. & cert. ef. 9-2-11

413-010-0030

Protection of Information

In the interest of family privacy and to protect children, families and other recipients of services, except as provided by Oregon statutes and these rules:

(1) Client information is confidential.

(2) Client records are not available for public inspection.

(3) Oregon statutes and these rules regulate the Department’s disclosure of client information by prohibiting disclosure of some client information, mandating disclosure of some information, and giving the Department discretion to disclose some information, as summarized below:

(a) Summary of some “prohibited disclosures”, See OAR 413-010-0035, generally, which includes but is not limited to:

(A) Information compiled for criminal law enforcement purposes. See OAR 413-010-0035(3);

(B) Alcohol and drug abuse treatment records. See OAR 413-010-0035(6);

(D) Adoption records. See OAR 413-010-0035(8);

(E) Adoption assistance records. See OAR 413-010-0035(9);

(F) Information identifying a person who reported suspected child abuse. See OAR 413-010-0035(10);

(G) Records and reports of child abuse. See OAR 413-010-0035(11); and

(H) Juvenile court records. See OAR 413-010-0035(12).

(b) Summary of some “mandatory disclosures”, See OAR 413-010-0045 which includes but is not limited to:

(A) A client 18 years or older. See OAR 413-010-0045(2)(a);

(B) A parent or guardian of a child receiving voluntary services. See OAR 413-010-0045(2)(b);

(D) A child’s attorney in a juvenile proceeding. See OAR 413-010-0045(2)(e);

(E) A parent or guardian of a child provided services in certain circumstances. See OAR 413-010-0045(2)(b),(c); and

(F) A Court Appointed Special Advocate (CASA). See OAR 413-010-0045(4).

(c) Summary of some “mandatory disclosures if it is in the child’s best interest.” See OAR 413-010-0055, generally, which includes but is not limited to:

(A) Department employees as needed to perform their duties and provide services to the child or family. See OAR 413-010-0055(1)(a); and

(B) Persons providing services to the family to the extent necessary to provide those services described in OAR 413-010-055(1)(c).

(d) Summary of some “discretionary disclosures”. See OAR 413-010-0065 generally, which includes but is not limited to:

(A) The Department and other state employees for audits, program reviews, or quality control;

(B) Law enforcement or district attorney’s offices for child abuse assessments and investigations and proceedings connected with administering the child welfare laws. See OAR 413-010-0065(2)(b);

(C) The public if a child in the Department’s custody has been abducted or is believed abducted. See OAR 413-010-0065(2)(c);

(D) General information, policy statements, statistical reports or similar compilations not identified with a client. See OAR 413-010-0065(3);

(E) Adult’s presumed waiver of confidentiality. See OAR 413-010-0065(4);

(F) Review of the Department records for research purposes. See OAR 413-010-0065(5); and

(G) Investigation of Other Crime. See OAR 413-010-0065(6).

Stat. Auth.: ORS 418.005 & 418.340

Stats. Implemented: ORS 7.211, 409.225, 419A.255, 419A.260, 419B.035, 430.763 & 432.420

Hist.: SCF 6-1995, f. 12-22-95, cert. ef. 12-29-95; SOSCF 9-1999, f. 5-24-99, cert. ef. 6-1-99; CWP 18-2011, f. & cert. ef. 9-2-11

413-010-0035

Prohibited Disclosures

(1) If a court order or a specific statute requires the Department to disclose information that this rule protects, the Department shall disclose the information.

(2) The Department shall not disclose client information:

(a) For purposes not directly connected with the administration of child welfare laws; or

(b) When disclosure is neither required nor authorized by:

(A) ORS 419B.035 (governing confidentiality of child abuse records), set out below in OAR 413-010-0035(11);

(B) ORS 419A.255 (governing confidentiality of juvenile court records) set out below in OAR 413-010-0035(12); or

(3) The Department shall not disclose investigatory information compiled for criminal law purposes, including the record of an arrest or a report of a crime, unless law enforcement explicitly authorizes the Department to disclose such information.

(4) Department employees shall not disclose the information described in section (3) of this rule unless authorized to do so by the branch manager or designee.

(5) A person authorized to review client records may not review the complete case file if the complete file contains confidential information about other persons, including, but not limited to other client’s, ex-spouses, battering partners, housemates, and half-siblings unless the other person provides written consent that meets the requirements of OAR 413-010-0045(2)(a).

(6) The Department shall not disclose the records of a patient at a drug and alcohol abuse treatment facility to any person without the consent of the patient.

(7) The Department shall not disclose client information contained in a record sealed by a court order of expunction or any part of the expunged record.

(8) Disclosure of Adoption Records:

(a) The Department shall neither disclose nor release identifying information to anyone regarding the birth parents of a child who is placed for adoption. It is the intent of this rule to protect from release any information about a child placed for adoption that will link the child to the birth family or the birth family to the child. The whereabouts and new identity of a child shall not be revealed to anyone seeking information about the child by his or her birth name, except as otherwise provided by law;

(b) Identifying information from adoption files may be given to an adult adoptee or adult genetic sibling (age 21 or older) and to a birth parent when they have met the legal requirements of the Voluntary Adoption Registry as specified in ORS 109.425 to 109.507 and OAR 413-130-0300 to 413-130-0360;

(c) When an adoption is finalized, the records must be sealed and may be opened only pursuant to a court order. Only the Department central office adoption staff shall have access to the files. The adoption manager or designee may approve the release of non-identifying information from the files to the child or to the adoptive parents or their designee to provide information about the child’s early history or familial history;

(d) The Department shall not disclose information about adoptive placements.

(9) Disclosure of Adoption Assistance Records:

(a) Records and information obtained or created by the Department for the purposes of determining eligibility or making payment for adoption assistance are confidential. Only the Department central office adoption staff shall have access to the files. The Department shall not use or disclose the information except for purposes directly connected with the administration of the adoption assistance program (42 USC 671(a)(8));

(b) Notwithstanding section (1) of this rule, use and disclosure of adoption records are governed by ORS 7.211, 432.420.

(10) Reporter of Abuse. The identity of the person(s) making a report of suspected child abuse, and any identifying information about the reporting person(s), shall be removed from the records or shielded from view before records are viewed or copied. The name, address or other identifying information shall only be disclosed to a law enforcement officer or district attorney in order to complete an investigation report of child abuse.

(11) Reports and Records Compiled Pursuant to the Child Abuse Reporting Law:

(a) Each report of suspected child abuse shall be immediately reported to a law enforcement agency;

(b) The Department shall assist in the protection of a child who is believed to have been abused or neglected by providing information as needed to:

(A) The juvenile court;

(B) The district attorney;

(D) Members of a child protection team or consultants involved in assessing whether or not abuse occurred and determining appropriate treatment for the child and family;

(E) A physician who is examining a child or providing care or treatment, and needs information about the child’s history of abuse; and

(F) A non-abusing parent, foster parent or other non-abusing person responsible for the care of the child.

(c) A report, record, or findings of an assessment of child abuse shall not be disclosed until the assessment is completed, except for the reasons stated in subsections (e)(A) and (B) of this rule. An assessment will not be considered completed while either a protective service assessment or a related criminal investigation is in process. The Department is responsible for determining when the protective service assessment is completed. The district attorney determines when a criminal investigation is completed.

(d) Records or findings of completed child abuse assessments shall be released upon request to the following:

(A) Attorneys of record for the child or child’s parent or guardian in a juvenile court proceeding for use in that proceeding; and

(B) A citizen review board established by the Department or by a juvenile court to review the status of children under the jurisdiction of the court for the purpose of completing a case review. Before providing information to a citizen review board, the Department shall assure that the board has informed participants of their statutory responsibility to keep the information confidential, and will maintain records in an official, confidential file.

(e) Records or information from records of abuse and neglect assessments may be disclosed to other interested parties if the Department determines that disclosure to a person or organization is necessary to:

(A) Administer child welfare services and is in the best interests of the affected child. When disclosure is made for the administration of child welfare services, the Department will release only the information necessary to serve its purpose; and

(B) Prevent abuse and neglect, to assess reports of abuse and neglect or to protect children from further abuse or neglect.

(12) Juvenile Court Records in the Department files:

(a) The juvenile court’s “record of the case” is the “legal file”, which includes the summons, other process, the petition, all papers in the nature of pleadings, motions, orders of the court and other papers filed with the court;

(b) The legal file is confidential and unavailable for public inspection, but is open to inspection by the child’s parent, guardian, court appointed special advocate, surrogate, intervenor under ORS 109.119(1) and their attorneys;

(d) The social file shall, except at the request of the child, not be disclosed directly or indirectly to anyone other than the juvenile judge and staff acting under the judge’s direction, service providers in the case, and the attorneys of record for the child or the child’s parent, guardian, court appointed special advocate, surrogate or intervenor under ORS 109.119(1);

(e) No information in the legal and social files may be disclosed to any other person not described in subsections(2) and (4) of this rule without the consent of the court, except:

(A) For evaluating the child’s eligibility for special education under ORS Chapter 343; or

(B) In connection with a proceeding in another juvenile court concerning the child.

(f) The following information in the juvenile court’s file is not confidential and must be disclosed upon request:

(A) The name and date of birth of the child;

(B) The basis for the juvenile court’s jurisdiction over the child;

Stat. Auth.: ORS 418.005 & 418.340

Stats Implemented: ORS 7.211, 409.194, 409.225, 419A.102, 419A.255, 419A.2623, 419B.035, 430.763 & 432.420

Hist.: SOSCF 9-1999, f. 5-24-99, cert. ef. 6-1-99; CWP 18-2011, f. & cert. ef. 9-2-11

413-010-0045

Mandatory Disclosure

(1) The Department shall disclose client information if disclosure is required by ORS 419A.255 or ORS 419B.035.

(2) Unless a client record is exempt from disclosure under the Public Records Law, ORS Chapter 192, the Department shall disclose the client record in the circumstances described below:

(a) If the client is 18 years or older or legally emancipated, the Department shall disclose, upon request:

(A) The client’s records to the client if no court order prohibits the disclosure; or

(B) The client’s records to a third party if no court order prohibits the disclosure and the client has authorized the Department in writing to disclose the records to the third party.

(b) Upon the request of a child’s parent or legal guardian, the Department shall disclose a child’s client records to the parent or legal guardian if the child is receiving voluntary Department services;

(c) Upon the request of a child’s parent or legal guardian, the Department shall disclose a child’s client records to the parent or legal guardian if the child is or has been in the Department’s custody except:

(A) If the child objects;

(B) Disclosure would be contrary to the best interests of any child; or

(C) Disclosure could be harmful to the person caring for the child, which includes, but is not limited to, foster parents, treatment providers and relatives other than the child’s parent or legal guardian.

(d) The Department shall disclose a child’s client record to the juvenile court in juvenile proceedings, including tribal proceedings regarding the child;

(e) The Department shall disclose a child’s client records to an attorney who identifies himself or herself as the child’s attorney if the juvenile court confirms that he or she is the attorney of record in a juvenile proceeding.

(3) Information related to the Department’s activities and responsibilities in child abuse or neglect cases. Upon request, the Director or the Director’s designee shall review the information related to the Department’s activities and responsibilities:

(a) When child abuse or neglect causes the death or near death of a child or an adult is charged with a crime related to child abuse or neglect; and

(b) Unless the information is exempt from disclosure under other law, the Director or the Director’s designee shall determine an appropriate time for disclosing the information and that determination shall depend on, among other things, the status of any child abuse or criminal investigations and the privacy interests of the victims.

(4) Disclosure to Court Appointed Special Advocate (CASA):

(a) Access to information. Upon presentation of the order of appointment by the court, a CASA, without the consent of the child or children or parents, may inspect and copy any records relating to the child or children involved in the case held by the following entities:

(A) The Department, the state courts, and any other agency, office or department of the state; and

(B) Hospital, school organization, division, doctor, nurse or other health care provider, psychologist, psychiatrist, police department or mental health clinic.

(b) All records and information acquired or reviewed by a CASA during the course of official duties are confidential;

(c) When a CASA is also the guardian ad litem pursuant to federal law, this rule governs the guardian ad litem’s access to information.

(5) If, in the professional judgment of the caseworker, information about a child indicates that the child presents a clear and immediate danger to another person or entity, the Department shall disclose the information to the appropriate authority and to the person or entity in danger. The decision to release information in these circumstances will be made in consultation with a supervisor.

Stat. Auth.: ORS 418.005

Stats. Implemented: ORS 192, 409.225, 419A.170 & 419B.035

Hist.: SOSCF 9-1999, f. 5-24-99, cert. ef. 6-1-99; CWP 18-2011, f. & cert. ef. 9-2-11

413-010-0055

Mandatory Disclosure if in the Child’s Best Interest

(1) Unless client information is exempt from disclosure under another provision of law, and if disclosure is in the child’s best interest, the Department shall disclose the client information records to the following persons:

(a) Employees of the Department of Human Services to the extent necessary to perform their official duties, determine the child’s or family’s eligibility for services, or provide services to the child or family;

(b) The Division of Child Support of the Department of Justice, when information is needed in order to locate children or absent parents, and to establish support for children in substitute care; and

(c) Treatment providers, foster parents, adoptive parents, school officials or other persons providing services to the child or family to the extent that such disclosure is necessary to provide services to the child or family. Such services include, but are not limited to, those provided by homemakers, intensive family service workers, foster parents, child care centers, private child caring agencies, treatment centers, Indian social service or child welfare agencies, physicians and other health care providers, mental health professionals, volunteers, student interns, child protection teams.

(2) Sensitive Review Committee.

(a) The Director of the Department of Human Services (Director) may choose to convene, either on the Director’s own motion or upon a request of the President of the Senate or the Speaker of the House, a sensitive review committee for the purpose of reviewing the actions of the Department, in order to improve the quality of and strengthen child welfare practice in future cases. If the Director convenes a committee at the request of the President or the Speaker, then the Director shall submit the final written report containing the findings, conclusions, and recommendations of the committee to the President and the Speaker no more than 180 days after receiving the request from the President or the Speaker.

(b) Unless client information is exempt from disclosure under ORS Chapter 192 or another provision of law, and if disclosure is in the child’s best interest, the Director or the Director’s designee shall direct disclosure of relevant client information to persons appointed to a sensitive review committee convened by the Director.

(A) Any record disclosed to the committee members shall be kept confidential by the members of the committee and shall be used only for the purpose for which the record was disclosed.

(B) Any records disclosed to the committee members shall be returned to the Department upon completion of the review.

Stat. Auth.: ORS 409.050, 409.194 & 418.005

Stats. Implemented: ORS 409.010, 409.194, 409.225 & 418.005

Hist.: SOSCF 9-1999, f. 5-24-99, cert. ef. 6-1-99; CWP 17-2010(Temp), f. & cert. ef. 7-19-10 thru 1-15-11; CWP 24-2010, f. & cert. ef. 12-29-10; CWP 18-2011, f. & cert. ef. 9-2-11

413-010-0065

Discretionary Disclosure

(1) The Department may disclose client information when disclosure is required or authorized by:

(a) ORS 491B.035 (governing confidentiality of child abuse reports and records), set out in OAR 413-010-0035(11); or

(b) ORS 419A.255 (governing confidentiality of juvenile court records) set out in OAR 413-010-0035(12).

(2) The Department may disclose client information for purposes directly connected with the administration of child welfare laws including, but not limited to:

(a) Disclosure to employees of the Secretary of State’s Office, the Department of Administrative Services, the Department of Health and Human Services, and the Department who require information to complete audits, program reviews and quality control;

(b) Disclosure to law enforcement officers and district attorneys’ offices needing information for child abuse assessments, criminal investigations, civil and criminal proceedings connected with administering the agency’s child welfare programs; and

(c) Disclosure to the public if a child in the Department’s legal custody has been abducted or is missing and believed to be abducted, and is in danger of harm or a threat to the welfare of others. The Department may disclose limited information to the extent necessary to identify, locate, or apprehend the child, including the child’s name, description, and that the child may pose a threat to the public or himself or herself.

(3) The Department may disclose general information including, but not limited to policy statements, statistical reports or similar compilations of data which are not identified with an individual child, family or other recipient of services, unless protected by other provisions of law.

(4) Presumed waiver of protection of ORS 409.225(1). The Department may disclose the information described in section (4)(f) of this rule if the Director or the Director’s designee determines that all of the following circumstances are present:

(a) An adult client is the subject of client information made confidential by ORS 409.225(1);

(b) The Public Records Law does not exempt the information from disclosure;

(c) The adult client has publicly revealed or caused to be revealed any significant part of the confidential information and thus is presumed to have voluntarily waived the confidentiality protection of ORS 409.225(1);

(d) Disclosure is in the best interest of the child; and

(e) Disclosure is necessary to the administration of the child welfare laws;

(f) If disclosure is authorized, the Department may disclose the following: information about the person making or causing the public disclosure, not already disclosed, but related to the information made public.

(5) Review of the Department records for research purposes. The Director or the Director’s designee may authorize a person or organization to review the Department records for research purposes. The Department may not approve the request until the researcher has agreed, in writing, to maintain the confidentiality of individual clients, not to copy the Department records, and not to include identifying information about any client in the report(s) of the research.

(6) Investigation of Other Crime:

(a) Except as authorized by OAR 413-010-0065(2)(b), and ORS 409.225, Department employees shall not disclose to law enforcement client information obtained from client records, conversations with clients or other sources if the employee(s) acquired the information because a person is or has been a client of the Department;

(b) A manager or the manager’s designee may disclose to law enforcement a client’s current address when:

(A) The law enforcement officer provides the name and social security number of the client; and

(B) The officer satisfactorily demonstrates that the client is a fugitive felon (as defined by the state), the location or apprehension of such felon is within the law officer’s official duties, and the request is made in the proper exercise of those duties.

Stat. Auth.: ORS 418.005 & 419B.035

Stats. Implemented: ORS 409.225, 409B.230, 419A.225 & 419B.035

Hist.: SOSCF 9-1999, f. 5-24-99, cert. ef. 6-1-99; CWP 18-2011, f. & cert. ef. 9-2-11

413-010-0068

Disclosure of Information Exempt Under the Public Records Law

Unless required by court order or specific statute, the Department shall not disclose information in a client file if the information is exempt under the Public Records Law.

Stat. Auth.: ORS 418.005

Stats. Implemented: ORS 418.005

Hist.: SOSCF 9-1999, f. 5-24-99, cert. ef. 6-1-99; CWP 18-2011, f. & cert. ef. 9-2-11

413-010-0075

Disclosure Procedures

(1) The manager or the manager’s designee shall supervise access to records.

(2) The manager or manager’s designee must approve in writing to the disclosure or redisclosure of client information in the following circumstances:

(a) The Department currently is the child’s legal custodian or guardian or the Department was the child’s legal custodian or guardian when the Department authorized services;

(b) The Department currently is serving the child pursuant to an Interstate Compact or other interstate agreement; and

(c) The child is or was evaluated or provided services in conjunction with the Department assessment following a protective service report, regardless of the child’s legal status at the time.

(3) The Department may require a reasonable period of time to prepare a client’s record for review at the branch or disclosure by mail.

(4) The Department may require that a person who seeks to review client records, review the records at an appointed time.

(5) Except as provided in OAR 413-010-0065(5), (access to records for research purposes), a person authorized to review the Department record may copy the record.

(6) Any record disclosed shall be kept confidential by the person to whom the record is disclosed and shall be used only for the purpose for which disclosure was made.

(7) To redisclose lawfully, the person must obtain, before the redisclosure, the written consent of the branch manager or the branch manager’s designee.

(8) All social service agencies, courts, foster parents, service providers (including medical providers), or agents of the Department providing services to the Department’s client at the request of the agency are subject to the Oregon statutes and the Department rules governing disclosure of client information.

(9) The Department shall not permit a person authorized to review a particular client’s file to review the complete file if the file includes information about any other client. The Department shall permit review of the particular client’s records.

(10) When copies of confidential information are released, the material must be stamped: “Confidential not to be redisclosed”.

(11) When confidential records and information are part of the record in an administrative hearing before the Department, the Department and all participants in the hearing shall take all reasonable measures to maintain the confidentiality of the information.

Stat. Auth.: ORS 418.005 & 419B.035

Stats. Implemented: ORS 418.005 & 419A.255

Hist.: SOSCF 9-1999, f. 5-24-99, cert. ef. 6-1-99; CWP 18-2011, f. & cert. ef. 9-2-11

Notes
1.) This online version of the OREGON BULLETIN is provided for convenience of reference and enhanced access. The official, record copy of this publication is contained in the original Administrative Orders and Rulemaking Notices filed with the Secretary of State, Archives Division. Discrepancies, if any, are satisfied in favor of the original versions. Use the OAR Revision Cumulative Index found in the Oregon Bulletin to access a numerical list of rulemaking actions after November 15, 2010.