Sec. 17a-28. (Formerly Sec. 17-431). Definitions. Confidentiality of and access to records; exceptions. Procedure for aggrieved persons. Regulations.
Sec. 17a-28. (Formerly Sec. 17-431). Definitions. Confidentiality of and access
to records; exceptions. Procedure for aggrieved persons. Regulations. (a) As used
in this section:
(1) "Person" means (A) any individual named in a record, maintained by the department, who (i) is presently or at any prior time was a ward of or committed to the commissioner for any reason; (ii) otherwise received services, voluntarily or involuntarily, from
the department; or (iii) is presently or was at any prior time the subject of an investigation
by the department; (B) the parent of a person, as defined in subparagraph (A) of this
subdivision, if such person is a minor; or (C) the authorized representative of a person,
as defined in subparagraph (A) of this subdivision, if such person is deceased;
(2) "Attorney" means the licensed attorney authorized to assert the confidentiality
of or right of access to records of a person;
(3) "Authorized representative" means a parent, guardian, conservator or other individual authorized to assert the confidentiality of or right of access to records of a person;
(4) "Consent" means permission given in writing by a person, his attorney or his
authorized representative to disclose specified information, within a limited time period,
regarding the person to specifically identified individuals;
(5) "Records" means information created or obtained in connection with the department's child protection activities or activities related to a child while in the care or
custody of the department, including information in the registry of reports to be maintained by the commissioner pursuant to section 17a-101k, provided records which are
not created by the department are not subject to disclosure, except as provided pursuant
to subsection (f), (l) or (n) of this section;
(6) "Disclose" means (A) to provide an oral summary of records maintained by the
department to an individual, agency, corporation or organization or (B) to allow an
individual, agency, corporation or organization to review or obtain copies of such records in whole, part or summary form;
(7) "Near fatality" means an act, as certified by a physician, that places a child in
serious or critical condition.
(b) Notwithstanding the provisions of section 1-210, 1-211 or 1-213, records maintained by the department shall be confidential and shall not be disclosed. Such records
of any person may only be disclosed, in whole or in part, to any individual, agency,
corporation or organization with the consent of the person or as provided in this section.
Any unauthorized disclosure shall be punishable by a fine of not more than one thousand
dollars or imprisonment for not more than one year, or both.
(c) When information concerning an incident of abuse or neglect has been made
public or when the commissioner reasonably believes publication of such information
is likely, the commissioner or the commissioner's designee may disclose, with respect
to an investigation of such abuse or neglect: (1) Whether the department has received
a report in accordance with sections 17a-101a to 17a-101c, inclusive, or section 17a-103, and (2) in general terms, any action taken by the department, provided (A) the
names or other individually identifiable information of the minor victim or other family
member is not disclosed, and (B) the name or other individually identifiable information
of the person suspected to be responsible for the abuse or neglect is not disclosed unless
the person has been arrested for a crime due to such abuse or neglect.
(d) The commissioner shall make available to the public, without the consent of the
person, information in general terms or findings concerning an incident of abuse or
neglect which resulted in a child fatality or near fatality of a child, provided disclosure
of such information or findings does not jeopardize a pending investigation.
(e) The commissioner shall, upon written request, disclose the following information concerning agencies licensed by the Department of Children and Families, except
foster care parents, relatives of the child who are certified to provide foster care or
prospective adoptive families: (1) The name of the licensee; (2) the date the original
license was issued; (3) the current status of the license; (4) whether an agency investigation or review is pending or has been completed; and (5) any licensing action taken by
the department at any time during the period such license was issued and the reason
for such action, provided disclosure of such information will not jeopardize a pending
investigation.
(f) The commissioner or the commissioner's designee shall, upon request, promptly
provide copies of records, without the consent of a person, to (1) a law enforcement
agency, (2) the Chief State's Attorney, or the Chief State's Attorney's designee, or a
state's attorney for the judicial district in which the child resides or in which the alleged
abuse or neglect occurred, or the state's attorney's designee, for purposes of investigating or prosecuting an allegation of child abuse or neglect, (3) the attorney appointed to
represent a child in any court in litigation affecting the best interests of the child, (4) a
guardian ad litem appointed to represent a child in any court in litigation affecting the
best interests of the child, (5) the Department of Public Health, which licenses any
person to care for children for the purposes of determining suitability of such person
for licensure, subject to the provisions of sections 17a-101g and 17a-101k, (6) any state
agency which licenses such person to educate or care for children pursuant to section
10-145b or 17a-101j, subject to the provisions of sections 17a-101g and 17a-101k concerning nondisclosure of findings of responsibility for abuse and neglect, (7) the Governor, when requested in writing, in the course of the Governor's official functions or the
Legislative Program Review and Investigations Committee, the joint standing committee of the General Assembly having cognizance of matters relating to the judiciary and
the select committee of the General Assembly having cognizance of matters relating to
children when requested in the course of said committees' official functions in writing,
and upon a majority vote of said committee, provided no names or other identifying
information shall be disclosed unless it is essential to the legislative or gubernatorial
purpose, (8) a local or regional board of education, provided the records are limited
to educational records created or obtained by the state or Connecticut-Unified School
District #2, established pursuant to section 17a-37, (9) a party in a custody proceeding
under section 17a-112 or 46b-129, in the Superior Court where such records concern a
child who is the subject of the proceeding or the parent of such child, (10) the Chief
Child Protection Attorney, or his or her designee, for purposes of ensuring competent
representation by the attorneys whom the Chief Child Protection Attorney contracts
with to provide legal and guardian ad litem services to the subjects of such records and
to ensure accurate payments for services rendered by such contract attorneys, and (11)
the Department of Motor Vehicles, for purposes of checking the state's child abuse and
neglect registry pursuant to subsection (e) of section 14-44. A disclosure under this
section shall be made of any part of a record, whether or not created by the department,
provided no confidential record of the Superior Court shall be disclosed other than the
petition and any affidavits filed therewith in the superior court for juvenile matters,
except upon an order of a judge of the Superior Court for good cause shown. The commissioner shall also disclose the name of any individual who cooperates with an investigation of a report of child abuse or neglect to such law enforcement agency or state's
attorney for purposes of investigating or prosecuting an allegation of child abuse or
neglect. The commissioner or the commissioner's designee shall, upon request, subject
to the provisions of sections 17a-101g and 17a-101k, promptly provide copies of records,
without the consent of the person, to (A) the Department of Public Health for the purpose
of determining the suitability of a person to care for children in a facility licensed under
sections 19a-77 to 19a-80, inclusive, 19a-82 to 19a-87, inclusive, and 19a-87b, and (B)
the Department of Social Services for determining the suitability of a person for any
payment from the department for providing child care.
(g) When the commissioner or his designee determines it to be in a person's best
interest, the commissioner or his designee may disclose records, whether or not created
by the department and not otherwise privileged or confidential communications under
state or federal law, without the consent of a person to:
(1) Multidisciplinary teams which are formed to assist the department in investigation, evaluation or treatment of child abuse and neglect cases or a multidisciplinary
provider of professional treatment services under contract with the department for a
child referred to the provider;
(2) Any agency in another state which is responsible for investigating or protecting
against child abuse or neglect for the purpose of investigating a child abuse case;
(3) An individual, including a physician, authorized pursuant to section 17a-101f
to place a child in protective custody if such individual has before him a child whom
he reasonably suspects may be a victim of abuse or neglect and such individual requires
the information in a record in order to determine whether to place the child in protective
custody;
(4) An individual or public or private agency responsible for a person's care or
custody and authorized by the department to diagnose, care for, treat or supervise a child
who is the subject of a record of child abuse or neglect or a public or private agency
responsible for a person's education for a purpose related to the individual's or agency's
responsibilities;
(5) The Attorney General or any assistant attorney general providing legal counsel
for the department;
(6) Individuals or public or private agencies engaged in medical, psychological or
psychiatric diagnosis or treatment of a person perpetrating the abuse or who is unwilling
or unable to protect the child from abuse or neglect when the commissioner or his
designee determines that the disclosure is needed to accomplish the objectives of diagnosis or treatment;
(7) A person who reports child abuse pursuant to sections 17a-101a to 17a-101c,
inclusive, and section 17a-103, who made a report of abuse involving the subject child,
provided the information disclosed is limited to (A) the status of the investigation and
(B) in general terms, any action taken by the department;
(8) An individual conducting bona fide research, provided no information identifying the subjects of records shall be disclosed unless (A) such information is essential
to the purpose of the research; (B) each person identified in a record or his authorized
representative has authorized such disclosure in writing; and (C) the department has
given written approval;
(9) The Auditors of Public Accounts or their representative, provided no information identifying the subjects of the records shall be disclosed unless such information
is essential to an audit conducted pursuant to section 2-90;
(10) The Department of Social Services, provided the information disclosed is necessary to promote the health, safety and welfare of the child;
(11) A judge of the Superior Court for purposes of determining the appropriate
disposition of a child convicted as delinquent or a child who is a member of a family
with service needs; and
(12) The superintendents, or their designees, of state-operated facilities within the
department.
(h) The commissioner or his designee may disclose the name, address and fees for
services to a person, to individuals or agencies involved in the collection of fees for
such services, except as provided in section 17b-225. In cases where a dispute arises
over such fees or claims or where additional information is needed to substantiate the
fee or claim, such disclosure of further information shall be limited to the following:
(1) That the person was in fact committed to or otherwise served by the department; (2)
dates and duration of service; and (3) a general description of the service, which shall
include evidence that a service or treatment plan exists and has been carried out and
evidence to substantiate the necessity for admission and length of stay in any institution
or facility.
(i) Notwithstanding the provisions of subsections (f) and (l) of this section, the name
of an individual reporting child abuse or neglect shall not be disclosed without his written
consent except to (1) an employee of the department responsible for child protective
services or the abuse registry; (2) a law enforcement officer; (3) an appropriate state's
attorney; (4) an appropriate assistant attorney general; (5) a judge of the Superior Court
and all necessary parties in a court proceeding pursuant to section 46b-129, or a criminal
prosecution involving child abuse or neglect; or (6) a state child care licensing agency,
executive director of any institution, school or facility or superintendent of schools
pursuant to section 17a-101i.
(j) Notwithstanding the provisions of subsection (g) of this section, the name of any
individual who cooperates with an investigation of a report of child abuse or neglect
shall be kept confidential upon request or upon determination by the department that
disclosure of such information may be detrimental to the safety or interests of the individual, except the name of any such individual shall be disclosed to the persons listed in
subsection (i) of this section.
(k) Notwithstanding the confidentiality provisions of this section, the commissioner, upon request of an employee, shall disclose such records to such employee or
his authorized representative which would be applicable and necessary for the purposes
of an employee disciplinary hearing or appeal from a decision after such hearing.
(l) Information disclosed from a person's record shall not be disclosed further without the written consent of the person, except if disclosed to a party or his counsel pursuant
to an order of a court in which a criminal prosecution or an abuse, neglect, commitment
or termination proceeding against the party is pending. A state's attorney shall disclose
to the defendant or his counsel in a criminal prosecution, without the necessity of a court
order, exculpatory information and material contained in such record and may disclose,
without a court order, information and material contained in such record which could
be the subject of a disclosure order. All written records disclosed to another individual
or agency shall bear a stamp requiring confidentiality in accordance with the provisions
of this section. Such material shall not be disclosed to anyone without written consent
of the person or as provided by this section. A copy of the consent form specifying to
whom and for what specific use the record is disclosed or a statement setting forth any
other statutory authorization for disclosure and the limitations imposed thereon shall
accompany such record. In cases where the disclosure is made orally, the individual
disclosing the information shall inform the recipient that such information is governed
by the provisions of this section.
(m) In addition to the right of access provided in section 1-210, any person, regardless of age, his authorized representative or attorney shall have the right of access to
any records made, maintained or kept on file by the department, whether or not such
records are required by any law or by any rule or regulation, when those records pertain
to or contain information or materials concerning the person seeking access thereto,
including but not limited to records concerning investigations, reports, or medical, psychological or psychiatric examinations of the person seeking access thereto, provided
that (1) information identifying an individual who reported abuse or neglect of a person,
including any tape recording of an oral report pursuant to section 17a-103, shall not be
released unless, upon application to the Superior Court by such person and served on
the Commissioner of Children and Families, a judge determines, after in camera inspection of relevant records and a hearing, that there is reasonable cause to believe the
reporter knowingly made a false report or that other interests of justice require such
release; and (2) if the commissioner determines that it would be contrary to the best
interests of the person or his authorized representative or attorney to review the records,
he may refuse access by issuing to such person or representative or attorney a written
statement setting forth the reasons for such refusal, and advise the person, his authorized
representative or attorney of the right to seek judicial relief. When any person, attorney
or authorized representative, having obtained access to any record, believes there are
factually inaccurate entries or materials contained therein, he shall have the unqualified
right to add a statement to the record setting forth what he believes to be an accurate
statement of those facts, and said statement shall become a permanent part of said record.
(n) (1) Any person, attorney or authorized representative aggrieved by a violation
of subsection (b), (f), (g), (h), (i), (j) or (l) of this section or of subsection (m) of this
section, except subdivision (2) of said subsection (m), may seek judicial relief in the
same manner as provided in section 52-146j; (2) any person, attorney or authorized
representative denied access to records by the commissioner under subdivision (2) of
subsection (m) of this section may petition the superior court for the venue district
provided in section 46b-142 in which the person resides for an order requiring the commissioner to permit access to those records, and the court after hearing, and an in camera
review of the records in question, shall issue such an order unless it determines that to
permit such access would be contrary to the best interests of the person or authorized
representative.
(o) The commissioner shall promulgate regulations pursuant to chapter 54, within
one year of October 1, 1996, to establish procedures for access to and disclosure of
records consistent with the provisions of this section.
(P.A. 75-524, S. 20, 30; P.A. 77-246, S. 12; P.A. 78-280, S. 30, 127; P.A. 91-299, S. 1; P.A. 96-246, S. 17; P.A. 97-104; 97-259, S. 25, 41; 97-319, S. 8, 22; P.A. 98-70, S. 2; 98-239, S. 17, 35; P.A. 01-142, S. 1; P.A. 05-207, S. 3, 4; P.A.
06-187, S. 76; P.A. 07-217, S. 69; June Sp. Sess. P.A. 07-5, S. 21.)
History: P.A. 77-246 added Subsec. (c)(5); P.A. 78-280 replaced juvenile court with superior court and specified "venue"
districts in Subsec. (f); Sec. 17-431 transferred to Sec. 17a-28 in 1991; P.A. 91-299 in Subsec. (a) amended definitions of
"person", "attorney", "authorized representative", "consent", and "records" added definition of "disclose", in Subsec. (b)
added provisions re confidentiality and criminal penalty, added a new Subsec. (c) re disclosure of records to state's attorney
and relettered remaining Subsecs. accordingly, amended Subsec. (d) by adding Subdivs. (1) to (10), inclusive, re disclosure
of records without consent of a person and making existing Subdiv. (4) a new Subsec. and renumbering the Subparas. as
Subdivs., added a new Subsec. (f) re confidentiality of a person reporting child abuse or neglect, added a new Subsec. (g)
re confidentiality of name of person cooperating with investigation of child abuse or neglect, added a new Subsec. (h) re
disclosure of child abuse or neglect investigation, amended existing Subsec. (d) re disclosure without written consent of
a person, except in criminal cases with a court order, added new Subsec. (e)(1) and (2) re disclosure of information
concerning person reporting child abuse and neglect, amended existing Subsec. (f) by making technical changes and
amended existing Subsec. (g) requiring submittal of regulations re disclosure of records; P.A. 96-246 amended Subsec.
(a)(5) by changing reference to Sec. 17a-101(g) to Sec. 17a-101e, amended Subsecs. (b), (c) and (d) by adding provisions
re disclosure of records and disclosure of information by commissioner or designee when child abuse incident has been
made public or publication likely and disclosure of information re agencies licensed by department, amended Subsec. (e)
by adding law enforcement agency and provided disclosure of petitions and affidavits pled in superior court for juvenile
matters, amended Subsec. (f)(7) to provide disclosure to reporter of child abuse action taken by the department in general
terms, amended Subsec. (f)(8) permitting disclosure to Governor, committee on judiciary and committee having cognizance
of matters involving children, added Subsec. (j) permitting commissioner, upon request of employee, to disclose records
necessary for employee disciplinary hearing or appeal and amended Subsec. (n) by changing "1991" to "1996"; P.A. 97-104 added Subsec. (e)(3) and (4) re provision of copies of records to an attorney or guardian ad litem appointed to represent
a child in litigation affecting the best interests of the child; P.A. 97-259 amended Subsec. (e) to allow copies to be provided
to the Department of Public Health for the purpose of determining suitability of a person to care for children in conjuction
with the department's day care licensure function and to the Department of Social Services for the purpose of determining
the suitability of a person for any payment from the department for providing child care, effective July 1, 1997; P.A. 97-319 added Subsec. (e)(3) and (4) re provision of copies of records to state agencies and the Governor, amended Subsec.
(f) to expand disclosure of records to include all communications and made changes consistent with changes in Subsec.
(e), added Subsec. (h)(4) and (5) re disclosure to judges and child placing agencies and schools, amended Subsec. (l) to
prohibit the release of information identifying a person upon determination a reporter knowingly made a false report and
made technical changes, effective July 1, 1997; P.A. 98-70 added Subsec. (f)(10) and (11), (codified as Subsec. (g)(11)
and (12) due to the relettering of Subsecs. and other amendments in P.A. 98-239), providing for disclosure of records to
judge of Superior Court for determining appropriate disposition of child and to superintendents or designees of state-operated facilities within Department of Children and Families; P.A. 98-239 added Subsec. (a)(7) defining "near fatality",
added new provision as Subsec. (d) to require commissioner to make available to the public information re an incident of
abuse or neglect which resulted in a child fatality or near fatality, relettered former Subsecs. (d) to (n) as (e) to (o), amended
Subsec. (f)(6) to require commissioner to provide copies of records, upon request, to any state agency which licenses such
person to educate children pursuant to section 10-145b, added new Subsec. (f)(8), requiring commissioner to provide to
a local or regional board of education, upon request, copies of educational records created or obtained by the state or
Connecticut-Unified School District #2 and to expand disclosure of department or nondepartment records to all persons
or entities specified in Subsec. (f), eliminating reference to "such law enforcement agency or attorney", amended Subsec.
(g)(4) to allow commissioner, when he determines it to be in a child's best interest, to disclose department or nondepartment
records that are not privileged or confidential to public or private agencies responsible for a child's education, added new
Subsec. (g)(10), authorizing disclosure of records to the Department of Social Services, provided the information disclosed
is necessary to promote the health, safety and welfare of the child, and made technical changes throughout (Revisor's note:
The reference in Subsec. (n)(2) to "... subdivision (2) of subsection (l) of this section ..." was changed editorially by the
Revisors to "... subdivision (2) of subsection (m) of this section ..." to reflect the relettering of Subsecs. by P.A. 98-239);
P.A. 01-142 added Subsec. (f)(9) re disclosure of records to party in custody proceeding in Superior Court where records
concern child or parent, and made technical changes for the purposes of gender neutrality; P.A. 05-207 made technical
changes and required name or other individually identifiable information of suspected person not to be disclosed unless
person arrested for crime in Subsec. (c) and made disclosure of records to state agencies subject to provisions of Secs. 17a-101g and 17a-101k in Subsec. (f); P.A. 06-187 added Subsec. (f)(10) permitting copies of department records to be provided
without consent of a person to the Chief Child Protection Attorney, or designee, for purposes of providing competent
representation by contract attorneys and to ensure accurate payment for attorney services; P.A. 07-217 made technical
changes in Subsec. (f), effective July 12, 2007; June Sp. Sess. P.A. 07-5 added Subsec. (f)(11) re provision of records to
Department of Motor Vehicles for checking child abuse and neglect registry, effective October 6, 2007.
Annotations to former section 17-431:
Cited. 230 C. 43.
Subsec. (b):
Cited. 8 CA 216.
Annotations to present section:
Cited. 230 C. 43.
Cited. 40 CA 233.
Subsec. (f):
Does not impose confidentiality requirements on disclosure of those records obtained by an agency under the section.
261 C. 219.
Subsec. (m):
This exception does not allow for parents, acting as grandparents, whose son's parental rights have been terminated,
to gain access to the child's records. 47 CS 273.