Adult Protective Services Policy Manual
Case Record Requests
1706.40
The Department of Health and Senior Services, Division of Senior and Disability Services (DSDS) may receive a request for a copy of the Adult Protective Services (APS) case record (see Policy 1706.00). A record request will be processed through the designated Adult Protective and Community Services Supervisor (APCS).
Records regarding ongoing investigations by the Department are not releasable until conclusion of the investigation. However, appropriate law enforcement agencies can have access to ongoing records with OGC approval.
No request will be processed without a written request from the requestor. A Reported Adult (RA) may request his/her record by submitting a request in writing or by completing an Authorization for Disclosure of Consumer Medical Health Information Form (see Policy 1706.40, Exhibit A). A personal representative submitting a record request for a competent RA must include a signed Authorization form with the written request. An electronic mail (e-mail) request may be accepted as a written request. The designated APCS will review the e-mail request and determine if it is necessary to contact the RA to verify the legitimacy of the request.
Any written request from an agency must be on a document containing the agency’s letterhead.
NOTE: Any request for general DSDS information (administrative policies and procedures), complex cases and cases that include public involvement will be processed by the Central Office (CO) Custodian of Records.
Any requestor other than the RA will be required to provide written documentation of his/her authority to make a record request for the RA. Proof of authority can be provided with the following written documentation, which must be reviewed by OGC:
· Guardianship letters with a request signed by the guardian; or
· A durable power of attorney for health care appointment form with a request signed by the attorney in fact.
If the RA is deceased:
· Letters testamentary and a request signed by the personal representative;
· Letters of administration and a request signed by the personal representative;
· Probate Court order refusing letters and a request signed by the appropriate individual pursuant to Section 473.090.3, RSMo; or,
· Court order appointing requestor the plaintiff ad litem pursuant to Section 537.021.1(1), RSMo and a request signed by the plaintiff ad litem.
It should be noted that Guardians and Durable Power Of Attorney’s are no longer in effect after the death of the ward or principal.
Questions regarding the documents received and/or the authority of the requestor shall be directed to the CO Custodian of Records or the Office of General Council (OGC).
Notification of Receipt
If the written request is from the RA, the APCS will complete and mail the Notification Letter (see 1706.40, Exhibit B) within three (3) working days of the receipt of the request for records.
If the requestor has submitted the appropriate authorization documents along with the written request, the APCS will complete and mail the Notification Letter Including Authorization (see Policy 1706.40, Exhibit C) within three (3) working days of the receipt of the request for records. The APCS shall send the submitted authorization documents to OGC for review. OGC will determine if the submitted documents are sufficient to allow DSDS to disclose the requested records.
Upon receipt of a request that does not include an Authorization and/or other documents required to establish authority to make a request, the APCS will complete and mail the Notification Letter Needing Authorization (see Policy 1706.40, Exhibit D) and send a copy of the Authorization for Disclosure of Consumer Medical/Health Information Form (see Policy 1706.40, Exhibit A) to the requestor within three (3) working days of the receipt of the request for records.
Processing Request
Once appropriate authorization documents have been received, the APCS shall consult with OGC to make final determination to release a record. A determination to release records to the following agencies can be made by the APCS without prior consultation with OGC:
· An RA requesting his/her own record unless the RA has a court appointed guardian;
· Attorney General’s Office; or,
· Missouri Medicaid Audit and Compliance Unit (MMAC).
NOTE: The APCS shall contact OGC should there be any questions regarding the release of records to the above entities.
The APCS shall confer with OGC regarding the processing of a written request from all other requestors.
Once it is determined that a record is to be released, the APCS will perform a thorough review of the record and redact any confidential information as set forth in Policy 1706.50.
The APCS will complete and mail the Follow Up Letter (see Policy 1706.40, Exhibit E) and mark the appropriate action within forty-five (45) days of sending the appropriate Notification Letter. Access to a record will be denied only after the APCS has consulted with OGC who will direct the APCS on completion of the Follow Up Letter. OGC may direct the selection of Category Four (4) as the basis for denial if the record contains documentation that the personal representative may be the alleged perpetrator and release of the records could further the risk to the RA or a licensed medical professional has determined that releasing the records could place the RA at risk. In situations in which Category Four (4) is selected, the APCS will send a copy of the letter to the Division’s Privacy Officer in Central Office.
When an APCS or Manager feels that it may be necessary to charge for a record requested, the APCS or Manager shall contact the CO Custodian of Records to discuss process.
A record request for an individual that has both an APS and HCBS record will be sent to the CO Custodian of Record when the request is for both records.
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Effective: 07/12