Pa. Code 711.72

Client records

This section establishes client record requirements for drug and alcohol projects (outpatient SUD treatment programs) operating under Chapter 711, which governs certificates of compliance issued by Pennsylvania's DDAP/OMHSAS. Operators must maintain complete client records including drug and alcohol consent forms, referral contacts, and activity notes. The section also requires procedures for client access to records and written confidentiality policies, including informed written consent for disclosure of client information.

28 Pa. Code § 711.72 - Client records 

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(a)

Record requirements.
 There shall be a complete client record on an individual which includes information relative to the client's involvement with the project. In addition to the requirements in §
 
115.32
 (relating to contents), the client record shall include the following: 
(1)
 Drug and alcohol consent forms.

(2)
 Drug and alcohol referral contact.

(3)
 Activity notes.

(b)

Client access to records.
 A client has the right to inspect his own records. The project director may temporarily remove portions of the record, prior to the inspection by the client, if the director determines that the information may be detrimental if presented to the client. Reasons for removing sections shall be documented and kept on file.

(c)

Confidentiality.

(1)
 A written procedure shall be developed by the project director which shall comply with 4 Pa. Code §
255.5
 (relating to projects and coordinating bodies: disclosure of client-oriented information). The procedure shall include, but not be limited to: 
(i)
 Confidentiality of client identity and records.

(ii)
 Staff access to client records.

(2)
 The project shall obtain an informed and voluntary consent from the client for the disclosure of information contained in the client record. The consent shall be in writing and include, but not be limited to: 
(i)
 The name of the person, agency, or organization to whom disclosure is made.

(ii)
 The specific information disclosed.

(iii)
 The purpose of disclosure.

(iv)
 The dated signature of the client or guardian.

(v)
 The dated signature of a witness.

(vi)
 The expiration date of the consent.

(3)
 A copy of a client consent shall be offered to the client and a copy maintained in the client records.

(4)
 Where consent is not required, the project personnel shall: 
(i)
 Fully document the disclosure in the client records.

(ii)
 Inform the client, as readily as possible, that the information was disclosed, for what purposes and to whom.

Notes

28
 Pa. Code §
 
711.72

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