5120:1-3-17 Records.

(A) The licensed agency shall maintain a written case record for each offender receiving services in which all decisions, activities and events shall be recorded. The case records shall include, at minimum, the following information:

(1) Initial intake assessment information;

(2) Individual program plans;

(3) Signed release of information forms;

(4) Evaluation and progress reports;

(5) Week-end and overnight passes;

(6) Current employment and education data;

(7) Verification of explanation of program rules and disciplinary policy to each offender, signed and dated by the offender and staff member;

(8) Grievance and disciplinary records;

(9) Itineraries;

(10) Discharge notice and narrative;

(11) Statistical termination reports;

(12) External progress reports;

(13) Audit sheet;

(14) Approved visitation list;

(15) Condition of release and applicable fee owed;

(16) Information from referral sources;

(17) Medical and psychological information and testing;

(18) Correspondence;

(19) Offender financial information;

(20) Referrals and attendance records;

(21) Offender acknowledgment of personal property/belonging disclosure; and

(22) Additional pertinent information.

(B) Each entry in the case record shall be dated and signed or initialed by the staff member making the entry.

(C) The licensed agency shall implement policies and procedures to safeguard and minimize the possibility of theft, loss or destruction of case records. All case records shall be marked confidential and kept in locked files.

(D) The licensed agency shall implement policies and procedures which provide for case record auditing by agency staff and, as requested, by the licensing agency to ensure that each case record is current, complete and accurate.

(E) The licensed agency shall implement policies and procedures regarding the confidentiality of offender case information which shall specifically discuss offender access, agency personnel access, outside agency access, and designate personnel responsible for the release of information.

(F) The licensed agency shall implement a policy requiring record retention for at least three years from the date of the offender’s termination.

(G) The policies and procedures regardin confidentiality and disclosure shall comply with applicable state and federal laws, rules and regulations. The licensed agency shall require that a “release of information consent form” be signed by the offender prior to the release of information about the offender. A copy of the consent form shall be maintained in the offender’s case record.

(H) The “Release of Information Consent Form” shall include:

(1) Name of person, agency or organization requesting information;

(2) Name of person, agency or organization releasing information;

(3) The specific information to be disclosed;

(4) The purpose or need for the information;

(5) Date consent form is signed;

(6) Signature of the offender;

(7) Signature of individual witnessing offender signature; and

(8) Date after which consent no longer is valid.

(I) A narrative report shall be prepared by the licensed agency and submitted to the supervising authority for all terminations. This report shall describe the offender’s performance in the program and be submitted to the supervising authority no later than three business days after termination.

(J) The licensed agency shall provide the supervising authoroty with offender placement plans, at minimum, thirty days prior to successful termination. The placement plans shall include, at minimum, the following:

(1) Address where offender plans to reside upon program completion;

(2) Name of person offender plans to reside with;

(3) Telephone number;

(4) Current employment information, and;

(5) Expected termination date.

R.C. 119.032 review dates: 01/12/2006 and 01/12/2011

Promulgated Under: 119.03

Statutory Authority: 2967.14, 2967.26

Rule Amplifies: 5120.031

Prior Effective Dates: 4/1/82, 4/17/93, 7/1/96, 7/1/2002