Part 361 - CASE MANAGEMENT ACTIVITIES FOR PREGNANT AND PARENTING ADOLESCENTS

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Statutory Authority: 
Social Services Law, Sections 20, 34, 409-k

Section 361.0 Scope

Section 361.0 Scope. This Part requires social services districts, subject to the appropriation of funds therefor, to establish and implement a case management system for eligible pregnant, parenting and at-risk adolescent public assistance recipients, and specifies the case management activities the social services districts are to perform. The purpose of the case management system is to help eligible adolescents to maintain and strengthen their family life and to attain or retain the capability for maximum self support and personal independence by assessing the adolescents' needs, providing the adolescents with information about and referrals to services and assistance providers which can help the adolescents meet their needs, and monitoring such referrals. These regulations are required by the Teenage Services Act, chapter 975 of the Laws of 1984.

Effective Date: 
Friday, July 29, 2011

Section 361.1 - Definitions.

361.1 Definitions. (a) For the purposes of this Part, case management activities means those activities performed by case management staff, in consultation with an eligible adolescent and other individuals involved with the adolescent if appropriate, related to ensuring that the adolescent has full access to the comprehensive array of services and assistance available in the community which the adolescent needs to maintain and strengthen family life and to attain or retain the capability for maximum self-support and personal independence.

(b) For the purposes of this Part, public assistance recipient means an individual whose needs are included in a grant of aid to dependent children, veteran assistance or home relief, or an individual who is a payee of such benefits on behalf of his or her minor child(ren).

 

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Section 361.2 - Administrative requirements.

361.2 Administrative requirements. (a) Case management plans.

(1) Submission of plans. Each social services district must develop, in consultation with the director of its income maintenance program and staff of other divisions or agencies as appropriate, a plan for performing the case management activities described in this Part. A social services district must submit its case management plan to the department for approval in a format and at a time specified by the department.

(2) Amending plans. A social services district may propose amendments to those provisions of its approved case management plan which are within its discretion by submitting a consolidated services plan or annual implementation report amendment to the department for review and approval.

(b) Performing case management activities. A social services district may perform case management activities or may purchase such activities from other local public agencies and/or nonprofit agencies and organizations. If a social services district chooses to purchase case management activities, the district must designate in its case management plan the agency or agencies the district will authorize to perform case management activities. Irrespective of whether a social services district chooses to perform case management activities directly or to purchase such activities from an agency, the district is responsible for ensuring that potentially eligible adolescents are identified and referred to case management staff for case management activities and that the case management activities and recordkeeping required by this Part are performed satisfactorily.

(c) Staffing. Primary responsibility for performing case management activities must be given to case managers. Case managers must have the education, experience, training and/or knowledge in the areas necessary to assess the needs and capabilities of, and to assist, pregnant, parenting and at-risk adolescents to access the services and assistance needed to maintain and strengthen family life and to attain or retain the capability for maximum self-support and personal independence, including but not limited to the areas of adolescent development, adolescent sexuality, and effective interviewing techniques. A social services district must indicate in its case management plan the position specifications for case managers. Paraprofessional staff and volunteers may be used as case management staff to assist the case managers and may perform those activities which are appropriate based on their training and experience.

(d) Submission of information. Each social services district must submit to the department information regarding the performance of case management activities in such form and at such time as specified by the department.

 

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Section 361.3 - Prohibited activities.

361.3 Prohibited activities. Case managers and case management staff do not have the authority, with respect to any adolescent for whom case management activities are being performed and the child(ren) of such adolescent, to:

(a) provide, authorize or purchase services or assistance reimbursable under title XX of the Federal Social Security Act or otherwise administered or funded by the social services district;

(b) accept or deny any application for public assistance or for services or assistance reimbursable under title XX of the Federal Social Security Act or otherwise administered or funded by the social services district; or

(c) place the adolescent or his or her child(ren) in foster care, or remove the adolescent or his or her child(ren) from the home of his or her parent or guardian.

 

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Section 361.4 - Eligibility.

361.4 Eligibility. (a) Mandatory eligibility criteria. A social services district must offer to perform case management activities with respect to any male or female adolescent who meets all of the following mandatory eligibility criteria at the time the adolescent is referred to case management staff for case management activities:

(1) is under 18 years of age;

(2) is a public assistance recipient; and

(3) is a parent and resides in the same household with his or her child(ren), or is pregnant.

(b) Optional eligibility criteria. (1) At-risk of pregnancy or parenthood. A social services district may offer to perform case management activities with respect to any male or female adolescent who is over 18 but under 21 years of age, is a public assistance recipient and is deemed to be at risk of pregnancy or parenthood because he or she meets one or more of the following at-risk criteria at the time the adolescent is referred to case management staff for case management activities:

(i) receives public assistance in his or her own right;

(ii) is homeless or at imminent risk of becoming homeless;

(iii) has had an abortion or miscarriage;

(iv) has had a pregnancy test, even if the test outcome was negative;

(v) is sexually active;

(vi) is the non-custodial mother or father of a child;

(vii) is the younger sibling of an individual who was or is a teenage parent;

(viii) is a rape or incest victim;

(ix) has dropped out of high school without graduating;

(x) is having academic and/or disciplinary problems in school; or

(xi) requests case management activities, or his or her authorized representative requests such activities on behalf of the adolescent.

(2) Age. A social services district may offer to provide case management services to any male or female adolescent who is over 18 years of age but under 21 years at the time the adolescent is referred to case management staff for case management activities, is a public assistance recipient, and either is a parent who resides in the same household with his or her minor child(ren), or is pregnant.

(3) Each social services district has the option of deciding for which adolescents who meet the optional eligibility criteria, if any, it will perform case management activities. A social services district may decide that it will not perform case management activities for adolescents who meet the optional eligibility criteria; or the district may limit its performance of case management activities to those adolescents who meet only certain of the optional eligibility criteria listed in paragraphs (1) and (2) of this subdivision. A district may further limit its performance of case management activities to a subgroup of those at-risk adolescents having identified special needs or problems. Each district must indicate in its case management plan if it will perform case management activities for adolescents who meet the optional eligibility criteria. If a district chooses to perform case management activities for such adolescents, it must specifically designate in its case management plan which optional eligibility criteria those adolescents must meet in order to be eligible for case management activities. A social services district must perform case management activities for all the adolescents who meet the optional eligibility criteria the district designates in its case management plan.

(c) Continuing case management activities. (1) Mandatory. A social services district must continue to perform case management activities for adolescents who want to continue participating in such activities and whose cases are open as long as the adolescents continue to meet the mandatory eligibility criteria or the optional eligibility criteria designated in the district's case management plan.

(2) Optional. (i) A social services district may choose to continue to perform case management activities: for adolescent public assistance recipients who met the mandatory eligibility criteria when they were referred to case management staff for case management activities because they were parenting adolescents residing in the same household with their child(ren) at that time even if they no longer reside in the same household with their child(ren), and for adolescent public assistance recipients who met the mandatory eligibility criteria when they were referred to case management staff for case management activities because they were pregnant at that time even if they subsequently miscarry or abort their pregnancies.

(ii) A social services district may choose to continue to perform case management activities for adolescent public assistance recipients who are over 18 but under 21 years of age if the adolescents otherwise still meet the mandatory eligibility criteria or the optional eligibility criteria designated in the social services district's case management plan.

 

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Section 361.5 - Voluntary participation in case management activities.

361.5 Voluntary participation in case management activities. A social services district may not impose, or threaten to impose, fiscal or other sanctions on an adolescent who refuses to participate in case management activities or refuses to be referred to or receive the services or assistance identified in his or her personal plan as necessary to maintain and strengthen family life and/or to attain or retain the capability for maximum self-support and personal independence, except when the law otherwise requires participation in programs in order to receive public assistance.

 

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Section 361.6 - Intake and screening of cases.

361.6 Intake and screening of cases. (a) Referral. Each social services district must develop the means of identifying potentially eligible adolescents and for having those adolescents referred to a case manager for intake and initial assessment. The social services district must establish procedures for separating out of the public assistance rolls the cases involving potentially eligible pregnant, parenting and at-risk adolescents and for assigning case managers to those adolescents. Case managers and case management staff may also participate in or perform activities designed to inform other potentially eligible adolescents that case management activities are available, including but not limited to encouraging community organizations and services and assistance providers to refer potentially eligible adolescents to the social services district for case management activities. Special emphasis must be placed on encouraging medical and health care providers to refer potentially eligible pregnant adolescents to the social services district for case management activities as soon as possible after pregnancy is confirmed.

(b) Screening. Case managers and case management staff must screen each adolescent referred for case management activities to determine whether the adolescent meets the eligibility criteria. Whenever appropriate, an adolescent who is not eligible for case management activities must be referred to services within the social services district or the community.

 

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Section 361.7 - Initial contacts.

361.7 Initial contacts. (a) Method. Case management staff must contact each referred adolescent who potentially is eligible for case management activities in order to arrange an initial interview and needs assessment. The initial contact may be made by letter, telephone or personal visit.

(b) Scheduling the initial interview. The initial interview and assessment must occur within 30 calendar days from the date the adolescent is referred to case management staff for case management activities. Case management staff must make reasonable attempts to schedule the initial interview at a place and time convenient to the adolescent, taking into consideration that the adolescent's access to transportation and child care may be limited.

(c) Confirming the initial interview. Regardless of how the initial contact was made, the case manager must provide the adolescent with a written confirmation of the initial interview within a reasonable amount of time prior to the interview date so that the adolescent has sufficient notice of the scheduled interview. The confirmation must include information regarding: the purpose, time, date and location of the initial interview; the voluntary nature of the activities; any arrangements made for necessary child care and transportation; and the name and telephone number of the individual the adolescent should contact regarding any questions about the case management activities, any assistance needed in making child care or transportation arrangements, or rescheduling the interview.

(d) Recontact. Case management staff must recontact an adolescent who fails to respond to the initial contact, or who is unavailable for the initial interview, for the purpose of rescheduling the initial interview so the interview will occur within 30 calendar days from the date the adolescent was referred to case management staff for case management activities or as soon thereafter as possible.

(e) Refusal to participate. If the adolescent, without explanation or cause, again fails to contact the case manager or is unavailable for the rescheduled interview, then the case manager may, but is not mandated to, consider such failure as a refusal by the adolescent to participate in case management activities.

(f) Record of referred cases. Case management staff must maintain a log or other record containing information about the adolescents referred for case management activities. The social services district may use a format for this record which best meets the district's purposes. The record must include, but need not be limited to: the name of the referred adolescent; identifying information about the adolescent, such as his or her client identification number, public assistance case number, social security number and date of birth; the source and date of the referral to case management staff for case management activities; the method and date of the initial contact to arrange an initial interview and needs assessment; and the referral's disposition, including, as appropriate, whether the case was opened or the reasons for determining the adolescent was ineligible for case management activities or the reasons the adolescent gave for refusing to participate in such activities.

 

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Section 361.8 - Initial interviews and needs assessments; case openings; interim

361.8 Initial interviews and needs assessments; case openings; interim plans. (a) Initial interview and needs assessment. Within 30 calendar days from the date an adolescent is referred to case management staff for case management activities, the case manager must interview the adolescent and any other appropriate individual to determine the adolescent's willingness to participate in case management activities and to assess the adolescent's and his or her child(ren)'s immediate needs. During the initial needs assessment the case manager must determine, at a minimum:

(1) if the adolescent receives, or is eligible for, public assistance, food stamp, and medical assistance entitlements;

(2) if the adolescent's living arrangements are stable, including if there is a risk the adolescent will become homeless within the next 90 days;

(3) if the adolescent or his or her child(ren) have any health conditions or problems requiring immediate medical attention; and

(4) if the adolescent or his or her child(ren) have, or are substantially at risk of having, any other emergency needs which may endanger their health or welfare.

(b) Case opening. A case will be considered opened if the adolescent participates in the initial interview and needs assessment. The case manager must establish an individual case record for each open case pursuant to the requirements of section 361.12 of this Part. In the case of a pregnant adolescent, the need to obtain early and regular prenatal care must be considered an emergency medical need and the case manager immediately must attempt to refer the adolescent to an appropriate medical or health care provider to obtain such care.

(c) Interim plan. Based on the initial needs assessment, the case manager must develop, in consultation with the adolescent and any other appropriate individual, an interim plan to help the adolescent meet his or her and his or her child(ren)'s immediate needs. The case manager must inform the adolescent about the services and assistance providers available to meet the adolescent's needs and refer the adolescent to the providers of the adolescent's choice. The adolescent may choose which portions of the interim plan he or she will pursue. The case manager may not deem the adolescent's failure to complete any portion of the interim plan as a request by the adolescent to have the case closed.

 

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Section 361.9 - Comprehensive needs assessments; identifying goals, tasks and

361.9 Comprehensive needs assessments; identifying goals, tasks and providers; personal plans. (a) Timing. Within 90 calendar days from the date an eligible adolescent is referred to case management staff for case management activities, the case manager must provide the adolescent with the information and assistance necessary to ensure that the adolescent understands which services and assistance providers exist to help the adolescent to maintain and strengthen family life and to attain or retain the capability for maximum self-support and personal independence so the adolescent may make an informed choice regarding the services and assistance providers to which he or she would like to be referred. The case manager also must complete a comprehensive assessment of the adolescent's needs; identify the short- and long-range goals the adolescent needs to achieve and the tasks the adolescent needs to complete in order to maintain and strengthen family life and to attain or retain the capability for maximum self-support and personal independence, and the estimated time periods for achieving those goals and completing those tasks; identify and inform the adolescent about the services and assistance providers available to help the adolescent attain those goals and complete those tasks; and develop a personal plan for the adolescent to gain access to the services and assistance providers to which the adolescent chooses to be referred.

(b) Comprehensive needs assessment. (1) The case manager must complete a comprehensive assessment of the adolescent's strengths and short- and long-term needs in each of the primary assessment areas set out in paragraph (2) of this subdivision as they relate to the adolescent's ability to maintain and strengthen family life and to attain or retain the capability for maximum self-support and personal independence in order to ascertain what services and assistance providers are available in the community to help the adolescent meet his or her needs. The case manager must ask the adolescent to provide the information needed to complete the comprehensive needs assessment and, when and if appropriate considering the individual case circumstances, seek to obtain, with the adolescent's or his/her authorized representative's permission, needed information from other sources. The case manager may not deem an adolescent's refusal to provide information needed to complete any portion of the comprehensive needs assessment as a request by the adolescent to have the case closed. However, the case manager must indicate in the adolescent's case record the reasons such information was unavailable and must pursue whatever other areas of assessment and planning are possible based on the information provided by the adolescent or obtained from other sources. The findings of the comprehensive needs assessment must be documented in the adolescent's individual case record.

(2) Primary assessment areas. (i) Basic maintenance. The case manager must assess, at a minimum: the adolescent's progress in resolving the emergency needs identified in the initial needs assessment and the actions necessary to resolve the conditions which contributed to those emergency needs; the adolescent's understanding of basic public assistance, food stamp, medical assistance, child support, and housing assistance, as appropriate, and the actions necessary to obtain and maintain entitlement to such assistance; and any other factors relating to the adolescent's ability to obtain and maintain the basic necessities of daily living for himself or herself and his or her child(ren).

(ii) Basic educational competence. The case manager must determine the adolescent's current educational status, including the adolescent's current grade level or the last grade the adolescent completed and the extent to which the adolescent is performing at the expected grade level and if the adolescent has any special educational needs or problems. When necessary, the case manager must attempt to have the adolescent obtain, from appropriate educational professionals, a formal assessment of the adolescent's educational capacities and needs. Special emphasis must be placed on assessing how the adolescent's current educational status and attitudes may affect the adolescent's vocational aspirations.

(iii) Vocational orientation. The case manager must assess the adolescent's vocational aspirations and basic attitudes toward employment. Any special talents, capabilities and competencies which the adolescent still must achieve before his or her vocational aspirations can be fulfilled must be assessed. The case manager must determine the adolescent's employment history, past vocational experience, job-related training and vocational education.

(iv) Health maintenance. The case manager must assess the adolescent's knowledge of, and attitudes toward, family planning, parenting, sexual activities, and reproduction. The case manager also must determine if the adolescent and/or his or her child(ren) potentially are eligible for programs which may be needed to ensure the health of the adolescent and/or his or her child(ren). The case manager must attempt to have the adolescent obtain from a medical professional an assessment of the adolescent's and his or her child(ren)'s general health, medical history and any special health or medical needs relating to the adolescent's ability to accomplish his or her goals, including any need for specialized medical treatment of specific health problems. If the adolescent is pregnant, the case manager must assess the extent to which the adolescent has followed through on any initial referrals for needed medical services. The case manager also must explore the adolescent's knowledge of basic health maintenance, including personal health maintenance and nutrition; the prevention of sexually transmitted and other diseases; and the types and timing of professional preventive health care, such as immunizations and periodic checkups, needed to protect the adolescent's and his or her child(ren)'s health.

(v) Informal support network. The case manager must assess the extent to which the person with whom the adolescent has intimate and continuous social contact and/or the parent of the adolescent's child(ren) and the adolescent's family members and friends are capable of providing, or required to provide, assistance, guidance and emotional support to help the adolescent implement his or her personal plan. The case manager also must assess any needs or problems such other individuals have which may impede the adolescent's ability to attain his or her goals.

(vi) Personal capabilities. The case manager must assess the adolescent's knowledge, maturity, skills, abilities and weaknesses, and how these personal capabilities are likely to affect the adolescent's ability to establish realistic goals and to follow through on the tasks the adolescent needs to complete to maintain and strengthen family life and to attain or retain the capability for maximum self-support and personal independence. The case manager must determine the extent to which he or she needs to supervise and monitor the adolescent's personal plan activities, and determine if the adolescent needs any personal counseling services.

(c) Identifying goals, tasks and providers. Based on the adolescent's assessed needs, the case manager, in consultation with the adolescent and any other appropriate individual, must identify: the adolescent's short- and long-range goals within each of the primary assessment areas, the specific tasks which the adolescent and other appropriate individuals need to complete for the adolescent to attain those goals, and the estimated time periods necessary to attain those goals and complete those tasks. The case manager also must identify the service and assistance providers available to help the adolescent attain those goals and complete those tasks and provide the adolescent with information about those providers so the adolescent can make an informed choice regarding the providers to which the adolescent wants to be referred.

(d) Personal plan. The case manager, in consultation with the adolescent and any other appropriate individual, must develop a personal plan for the adolescent describing: the goals toward which the adolescent chooses to work, the tasks necessary to accomplish those goals, the service and assistance providers to which the adolescent chooses to be referred to receive help in attaining those goals, and the estimated time periods necessary to attain those goals. The personal plan does not have to include all the goals the adolescent needs to achieve in order to maintain and strengthen family life and to attain or retain the capa bility for maximum self-support and personal independence; however, the plan must include those goals toward which the adolescent chooses to work during the next six-month period and the services and assistance providers to which the adolescent chooses to be referred to receive help in attaining those goals. The personal plan should be written in such a manner that the adolescent will be able to understand the plan's provisions. The personal plan must include a statement explaining that the plan is flexible and that it can and will be revised if necessary. The adolescent must be given a copy of the personal plan, and a copy must be retained in the adolescent's individual case record.

(e) Failure to comply with the plan. The case manager may not deem the adolescent's failure to complete any portion of his or her personal plan as a request by the adolescent to have the case closed.

 

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Section 361.10 - Referrals to, and monitoring of, services and assistance.

361.10 Referrals to, and monitoring of, services and assistance. (a) Referrals. The case manager and case management staff must perform the activities necessary to ensure the adolescent is referred and has access to the services and assistance providers to which the adolescent chooses to be referred in order to receive help in maintaining and strengthening family life and attaining or retaining the capability for maximum selfsupport and personal independence. Such activities may include, as appropriate to the adolescent's needs, capabilities and desires:

(1) informing the adolescent of the name and location of available services and assistance providers, the nature and types of services or assistance available from the providers, the hours the providers operate, and the providers' application requirements;

(2) assisting the adolescent to apply for needed services and assistance, including obtaining necessary application forms and instructions, assisting the adolescent to complete required forms, assisting the adolescent to obtain required documentation and evaluations, scheduling appointments or other preapplication interviews, notifying services or assistance providers that the adolescent has been referred for services or assistance, making arrangements for the adolescent to obtain child care, and accompanying the adolescent on interviews. The case manager and case management staff also may assist any other appropriate individual in applying for needed services and assistance which will help the adolescent attain his or her goals;

(3) participating in case conferences with the services and assistance providers identified in the adolescent's personal plan to coordinate services and assistance delivery and to eliminate any scheduling or other problems; and

(4) arranging for such transportation as is necessary to ensure the adolescent's access to needed services and assistance, provided the transportation is not otherwise available to the adolescent and that its provision is necessary for the adolescent to attain a goal identified in his or her personal plan.

(b) Monitoring. The case manager must monitor referrals made on behalf of the adolescent in order to: ensure the adolescent receives the services and assistance which the adolescent needs as identified in his or her personal plan, help the adolescent resolve problems which prevent or reduce access to needed services or assistance, make alternative arrangements when needed services or assistance are denied or otherwise unavailable, and determine how effective the services and assistance providers are in helping the adolescent to maintain and strengthen family life and/or to attain or retain the capability for maximum self-support and personal independence. If the adolescent's personal plan incorporates the services and assistance needs of other individuals, such as the person with whom the adolescent has intimate and continuous social contact and/or the parent of the adolescent's child(ren) and/or the adolescent's family members, then the case manager also must monitor referrals made on behalf of such individuals.

(c) Denied or unavailable services or assistance. If an adolescent is denied the services or assistance for which he or she was referred, or such services or assistance are unavailable to the adolescent, the case manager must make

appropriate inquiries to determine the reasons for the denial or unavailability. The case manager also must take any action necessary, or document any unsuccessful attempt, to have the providers furnish such services or assistance to the adolescent or to find alternative providers who can meet the adolescent's needs. The case manager and case management staff may participate in meetings with services and assistance providers and adolescent pregnancy networks and consortia to obtain better overall coordination and availability of, and to identify and remove barriers to, the services and assistance needed by pregnant, parenting, and at-risk adolescent public assistance recipients.

 

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Section 361.11 - Amending and reevaluating personal plans.

361.11 Amending and reevaluating personal plans. (a) Amending the personal plan. The case manager, in consultation with the adolescent and any other appropriate individual, must amend the adolescent's personal plan whenever necessary because of changes in the adolescent's circumstances or information received through referrals or by monitoring services and assistance delivery.

(b) Reevaluating the personal plan. The case manager, in consultation with the adolescent and any other appropriate individual, must conduct a comprehensive reevaluation of the adolescent's personal plan no later than six calendar months following the initial needs assessment and every six months thereafter. The case manager may reevaluate the personal plan more frequently if appropriate. During a comprehensive reevaluation, the case manager must at least:

(1) review the goals the adolescent needs to achieve and the tasks the adolescent needs to complete in order to maintain and strengthen family life and to attain or retain the capability for maximum self-support and personal independence;

(2) assess the extent to which the adolescent achieved those goals and completed those tasks during the period since the personal plan was established or most recently reevaluated, and how effective the services and assistance providers to which the adolescent was referred were in helping the adolescent to achieve those goals;

(3) review the goals and tasks the adolescent will pursue until the next comprehensive reevaluation;

(4) revise the personal plan, if necessary, based on information obtained during the comprehensive reevaluation; and

(5) identify any new services and assistance needs and referrals to be made to services and assistance providers.

 

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Section 361.12 - Individual case records.

361.12 Individual case records. (a) When required. The case manager must maintain an individual case record for each eligible adolescent who participates in at least the initial interview and assessment.

(b) Contents. Each individual case record must include, but need not be limited to:

(1) summaries of the initial and comprehensive needs assessments findings;

(2) copies of any specialized needs assessments, such as medical, educational or vocational assessments, obtained by the case manager in order to complete the assessment, planning and monitoring activities;

(3) identification of the short- and long-range goals which the assessments indicate the adolescent needs to achieve in order to maintain and strengthen family life and to attain or retain the capability for maximum self-support and personal independence, and estimates of the time periods necessary to achieve those goals;

(4) identification of the services and assistance the adolescent needs in order to attain those short- and long-range goals and of the services and assistance providers available in the community to help the adolescent attain those goals and any unavailable service or assistance;

(5) the adolescent's personal plan;

(6) documentation of the referrals made on behalf of the adolescent to services or assistance providers, including the dates the referrals were made and the times the appointments were to occur;

(7) a list of all services or assistance rendered by the district and by other public and private agencies in the community;

(8) documentation of the follow-up actions taken to ensure the adolescent received needed services or assistance and any action taken to remove any barrier impeding the maximum efficiency of services or assistance delivery;

(9) a list of the types of, and whenever possible, the costs of and funding sources for the services and assistance the adolescent received. The case manager and case management staff may perform the activities necessary to determine such information; and

(10) documentation of oral communications with, and copies of written communications to or from, the adolescent and communications with any other individuals or agencies made on behalf of the adolescent.

(c) Confidentiality. Individual case records, whether developed by the social services district or by other agencies from which the district has purchased case management activities, are confidential and must be maintained in accordance with the provisions of section 136 of the Social Services Law and Part 357 of this Title.

(d) Case record activities. Case managers and case management staff may perform the activities necessary to maintain individual case records and to collect aggregate data about the adolescents participating in case management activities.

(e) Retaining records. The agency which maintains individual case records, whether the social services district or any other agency from which the district has purchased case management activities, must retain an adolescent's individual case record until the adolescent becomes 21 years old or for six years after the case management activities performed on behalf of the adolescent are terminated, whichever comes later.

(f) Department inspection. The agency which maintains individual case records, whether the social services district or any other agency from which the district has purchased case management activities, will make such records available for department representatives to inspect and will forward photostatic copies of such records to the department upon request.

(g) Records of services and assistance providers. When referrals for services and assistance are made by case management staff to providers receiving funds under other State programs or paid directly by the social services district, the district may ask the providers to obtain and transmit to case management staff the information necessary to perform the case management activities described in this Part. Whether case management staff may or may not redisclose such information depends on the statutory confidentiality requirements applicable to the particular type of information.

 

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Section 361.13 - Closing and reopening cases.

361.13 Closing and reopening cases. (a) Closing a case. The case manager must close a case and terminate case management activities when the adolescent:

(1) successfully accomplishes all the long-range goals identified in his or her case record;

(2) accomplishes, on schedule for one year, the short-range goals identified in his or her individual case record for all the primary assessment areas, and the adolescent and the case manager agree the adolescent should pursue the long-range goals without the performance of case management activities by the case manager;

(3) no longer is under the district's jurisdiction;

(4) no longer meets the eligibility requirements for case management activities; or

(5) requests that the case be closed. If the adolescent fails, without explanation or cause, to keep three consecutive appointments made by the case manager, and advance notice of the appointments was provided to the adolescent and the appointments are documented in the adolescent's individual case record, then the case manager may, but is not mandated to, deem such failure to constitute a request by the adolescent to have his or her case closed. However, the adolescent's failure to complete any portion of his or her personal plan will not be deemed a request by the adolescent to have his or her case closed.

(b) Reopening a closed case. (1) Mandatory. At the adolescent's request, the case manager must reopen a closed case if the adolescent continues to meet the mandatory eligibility criteria or the optional eligibility criteria designated in the social services district's case management plan.

(2) Optional. At the adolescent's request, the case manager may reopen a closed case within six calendar months of the month in which the case was closed if the adolescent still is a public assistance recipient and still would be eligible for case management activities if the case had not been closed.

 

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