Sec. 7140.5 - Collection of Information

ยง 7140.5. Collection of Information

(a) The case record shall contain only information which is relevant and necessary to carry out the programs of the Department.

(b) A Client Information Booklet which describes the kinds of information that may be requested from the applicant or client shall be provided and explained to all applicants at the initial interview and shall be annually reviewed with the client or his or her representative thereafter. The applicant's signature on the Application for Services (DR 222 dated January, 1991) acknowledges receipt of the booklet. The Client Information Booklet shall contain:

(1) The title, address, and telephone number of the Department employee who maintains the case record.

(2) The name of the Division or individual within the Department who is requesting the information.

(3) A statement as to whether the provision of each item of information requested is mandatory or voluntary.

(4) An explanation of the consequences of not providing all or part of the requested information.

(5) An explanation of the purpose or purposes for which the information is to be used.

(6) The legal authority which authorizes the maintenance of the information.

(7) A statement as to the applicant's or client's right to review the case record.

(8) Any known or foreseeable interagency or intergovernmental transfer of the information which may be made.

(c) To the greatest extent practicable, information shall be collected directly from the applicant or client who is the subject of the information rather than from another source.

(d) The applicant's or client's informed, written consent, using the DR 260 (REV. 01/18) Consent to Release and Obtain Information, incorporated by reference, to obtain personal information, shall, as appropriate, be required for each request to a third party to obtain personal information about an applicant or client, including, but not limited to:

(1) Benefits Planning Query.

(2) Benefits Summary and Analysis.

(3) Drug and Alcohol Information as explicitly described in the client's written authorization.

(4) Employment History.

(5) Financial Aid Award.

(6) HIV and AIDS Information.

(7) Individualized Education Program (IEP).

(8) Individualized Plan for Employment (IPE).

(9) Progress Reports.

(10) Psychological and Psychiatric Reports.

(11) Regional Center Records, including Individual Program Plan (IPP).

(12) Transcripts and Report Cards.

(13) Vocational Rehabilitation Records.

(14) Work Incentives Plan.

(e) During the initial interview and whenever necessary, the Counselor shall obtain the applicant's or client's written consent using the DR 260 (REV. 01/18) Consent to Release and Obtain Information, incorporated by reference, to contact each source of information about the applicant or client. Each release form shall:

(1) Specifically state the information requested and to whom the request for information is directed.

(2) Be signed and dated by the applicant or client or other individual legally allowed to sign on behalf of the applicant or client authorizing each release. The signed release is used to verify that consent was obtained to collect the applicant's or client's personal information. If the applicant or client is unable to sign the release, then the applicant or client can indicate with an "X" or other mark, and one witness will sign as verification.

(3) Be prepared in triplicate. The original of each signed release shall be attached to the appropriate request for information, a copy shall be given to the applicant or client, and a copy shall be filed in the case record with relevant correspondence.

(4) Expire thirty (30) days from the date signed by the applicant or client or other individual legally allowed to sign on behalf of the applicant or client, unless the release specifies another expiration date.

(f) In addition to the above, the DR 260 (REV. 01/18) Consent to Release and Obtain Information must include a specific authorization from the applicant or client to the provider of health care to allow the release of the information to the Department.

(g) Medical, psychological, and work evaluation examinations and information created by the provider at the request and expense of the Department do not require a consent signed by the applicant or client to release such information to the Department, except medical information relating to HIV or AIDS.

(h) The source of any information shall be identified in the case record unless the source is the applicant or client. If the source is an entity such as a governmental agency, a corporation, an association, or an individual, this requirement can be met by maintaining the name of the entity so long as the smallest responsible unit of that entity is reasonably identified.

(i) Except as provided in section 7141.5, information in the case file shall remain in the file until the case is destroyed. No information in the case record shall be removed, destroyed, or altered for purposes of avoiding compliance with these regulations. The following information may be purged from the case record and destroyed:

(1) Information in the case file that is irrelevant and unnecessary for carrying out the Rehabilitation program.

(2) Handwritten notes when the notes have been transcribed into the case record.

(3) Duplicative information.

(1. Renumbering of section 7281 to section 7140.5 filed 6-21-90; operative 7-21-90 (Register 90, No. 35). 2. Amendment of subsection (b), new subsections (d), (e), (f) and (g) and relettering of former subsections (d) and (e) to subsections (h) and (i) filed 5-2-91; operative 6-1-91 (Register 91, No. 25). 3. Change without regulatory effect amending subsections (b), (d), (e) and (f) filed 3-28-94 pursuant to title 1, section 100, California Code of Regulations (Register 94, No. 13). 4. Amendment of subsections (b) and (d)-(d)(8), new subsections (d)(9)-(d)(14), amendment of subsections (e), (e)(2)-(g) and amendment of Note filed 1-16-2018; operative 1-16-2018 pursuant to Government Code section 11343.4(b)(3) (Register 2018, No. 3). 5. Change without regulatory effect amending subsections (d), (e) and (f) filed 3-20-2018 pursuant to section 100, title 1, California Code of Regulations (Register 2018, No. 12).)

Note: Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; and Section 1798.30, Civil Code. Reference: 5 USC Section 552a; 42 USC Section 290 dd-2; 42 CFR Sections 2.33, 2.51, 2.52, 2.61 and 2.63; 34 CFR Section 361.38; Sections 56.10, 56.11, 56.13, 56.15 and 1798.14- 1798.23, Civil Code; and Sections 19005 and 19011, Welfare and Institutions Code.

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