Early Intervention Program (EIP) records are defined in EIP regulation, Section 69-4.1 (ak). A child’s early intervention clinical record is considered an educational, not medical, record and by the Federal Family Educational Rights and Privacy ACT (FERPA). EIP billing/claiming records must also meet the requirements of the Federal Health Insurance Portability and Accountability ACT (HIPAA). EI providers who are licensed, registered, or certified under NYS Education Law must retain their records in accordance with the laws and regulations that apply to their professions.
Confidentiality
Policies and procedures for confidentiality should apply throughout the stages of collection, storage, disclosure and destruction of records; including electronic records. All providers delivering early intervention services must meet the following confidentiality requirements:
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An individual responsible for ensuring the confidentiality of personally identifiable information in records, including electronic records, must designated.
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All records containing personally identifiable information must be maintained in secure locations, including when record are disposed of, stored off-sit and during the retrieval. Records transported are secured and confidentiality is maintained when not with the provider.
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When information about a child/family is contained in records that include information about multiple children, only information pertaining to that child/family can be released. Personally identifiable information about others must be protected.
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Only individuals who collect or use information for the express purpose of facilitating the child/family’s participation in the EI program should be authorized to routinely access a child’s record. These individuals must be identified within a provider agency.
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If record review for quality assurance (or other purposes such as a fiscal audit, etc.) is performed by individuals not in the direct provision of early intervention services, the provider must provide the parent/guardian of such need and obtain written parental consent. Names of the individuals, the purpose for the record access must be provided. If consent is given, those individuals must be informed about, and required to adhere to,all confidentiality policy and procedures of the EIP and must adhere to all legal requirements that protect EIP records containing sensitive information (such as sexual or physical abuse , HIV status, treatment for mental illness, treatment of mental illness, the child’s parentage, etc.).
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A record must be kept of any individuals, other than authorized individuals, who access a child’s record, along with the date and purpose for which the record was accessed.
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Only information appropriate to a request should be released. Extraneous or sensitive information about the child and family should be protected.
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Written parent consent must be obtained before personally identifiable information is disclosed to anyone other than authorize individuals. Written parental consent for release of or obtaining information must include the name of the entity; which records will be obtained or released, (e.g. record review for quality, parent must be informed of the names of the individuals that request access and purpose for the access and provide written consent for such access. If consent is given, those individuals must also be informed about, and required to adhere to, the confidentiality policies and procedures of the EIP and must adhere to all legal requirements that protect EIP records containing sensitive information (such as sexual or physical abuse, HIV status, treatment for mental illness, the child’s parentage, etc.)
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If record review for quality assurance (or other purposes such as a fiscal audit, etc.) is performed by individuals not in the direct provision of early intervention services, the provider must provide the parent/guardian of such need and obtain written parental consent. Names of the individuals, the purpose for the record access must be provided. If Consent is given, those individuals must be informed about, and required to adhere to, all confidentiality requirements applicable to personally identifiable information within the Early Intervention Program.
Access to and Amending Records
Access to records includes a review of the record by the parent or a representative on behalf of the parent (unless such access is prohibited under state or federal law); and explanation and interpretation of material included in any EI record upon request; and, a copy of any record within 10 working days of the request (if the request is made as part of a mediation or impartial hearing, a copy must be provided within 5 days).
The parent has the right to request an amendment to their child’s record when the parent believes the information contained in the record is inaccurate, misleading, or violates the privacy or any other rights of their child.
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Notify parents of the process that they must follow to inspect and review all records pertaining to their child
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A fee not exceeding 10 cents per page for the first copy and 25 cents per page for additional copies may be charged to copy EI records, unless the fee prevents the parent from inspection and reviewing the record.
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No fee may be charged for records related to evaluation and assessments or for the search and retrieval of records. If the provider decides not to amend the record as requested, inform the parent of this decision and that the parent has the right to a hearing.
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Amend information in the record if found to be inaccurate, etc. and inform the parent, in writing.
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Little Angels has an open door policy for parents/guardians of children that receive services to review their child’s records at any time. The parents will be informed of this procedure at the onset of services at the initial IFSP meeting or upon the start of services.
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All documents received by Little Angels Center can only be obtained via faxed (using confidential cover sheet), mailed or handed in enclosed sealed envelope. Documentation is not permitted via email.
Maintenance and Retention of Records
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At a minimum, records must be retained for six years from the date that care, services or supplies were provided to the child and family.
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Providers who are licensed, registered, or certified under the state education law must retain records in accordance with the laws and regulations that apply to their profession.
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Because the Medicaid status of children is unknown to providers, all Medicaid requirements must be adhered to, including preparing and maintaining contemporaneous records.
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Electronic documentation must be maintained in a manner that demonstrates the provider’s right to receive payment under the Medicaid program.
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All electronic storage of documentation including CD’s, DVD’s and diskettes must be maintained in a fireproof, locked filing cabinet.
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Storage of electronic records on a computer is maintained and protected by a secure password have limited access by authorized staff within the agency. This also includes, but is not limited to, password protection and secure storage of discs, CD’s, DVD’s and/or removable storage devices.
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No email transmission of reports and related documents will be allowed to transpire.
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Faxed information must be accompanied by a fax coversheet including a confidentiality statement.
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Faxed information is maintained individually and there will be one coversheet per client. Combining information on two or more clients per fax is prohibited. The fax sheet is maintained in the private business office of the agency near authorized personnel only and will not be accessible to unauthorized personnel or the general public.
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Personnel Authorized Routine Access to Children’s’ files; Laura Rogacki is the individual who is responsible for maintaining the confidentiality of the children’s records. She is granted routine access to the children’s’ files for the purpose of review and maintaining files as per IEP guidelines. Other individuals granted routine access to the files would be the ongoing service coordinator as well as the providers of service as indicated on the IFSP. All individual accessing files must record their name, title, date, time in an out of, as well as the reason for reviewing file on the access sheet maintained in the folder.
On-Site Storage
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All storage of child/family records is secure. All records containing personally identifiable information are maintained in secure locations (e.g. file cabinet) that are locked when unattended. Shredding is the method of disposal of all family/child records.
Off-Site Storage (In the event that Little Angels Center requires off-site storage of records)
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Storage of child/family records will be maintained in a secured fire proof location and will be locked when unattended. The disposal of records, on-site and off-site, is performed by way of shredding.
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All off-site storage of child records is secure. Little Angel’s records will be maintained in a secure storage unit that is locked at all times. Confidentiality requirements must be followed by off-site storage company that housed Little Angel’s files. The provider’s contract with the storage company must meet all confidentiality requirements of FERPA and Title 34 CFR applicable to child/family records within the EIP including: the storage, retrieval, and disposal of records. The contract must be available for inspection by oversight agencies
Faxed Information
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Confidentiality of faced information is maintained by way of fax cover that includes at least a fax sheet. Little Angels Center utilizes a fax cover sheet that contains a confidentiality clause that allows the receiver the sent information is private.
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Little Angels Center ensures that the fax recipient maintains a secure site where faced information would not be accessible to unauthorized personnel of the general public.
Parent Notification to Review all Pertinent Child Records
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Parents/guardians of children receiving services are permitted to inspect and review all records pertaining to their child. Upon the initial IFSP meeting, the parents will be provided with information on how the parents would make the request to view the file upon the time of review. The parent shall also be informed that if they are unable to submit a request to review the request in writing a verbal request shall be accepted.
Parent’s Right to Amend the Child’s Records
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If the parent believes the information contained in the child’s record is inaccurate, misleading, or violates the privacy or other rights of their child, they have the right to request an amendment to their child’s records.
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The Early Intervention Official (EIO) will be notified if the provider does not agree to amend the record. It is the responsibility of the EIO to inform the parent in writing of the provider’s decision not to amend the record. The parent will also be informed that they have the right to a hearing by an impartial party. The hearing will be conducted by an individual designated by the municipality who does not have a direct interest in the outcome of the hearing. In an event that the information in the record is found to be accurate, misleading, or to violate the privacy of the child/family, the provider must amend the information and will inform the family’s service coordinator. It is the responsibility that the service coordinator ensures the contents of the record are amended and notifies the parent of the amendment in writing.