Chapter 7 : Section 02

Safeguarding Records & Records Requests

Procedures

When responding to requests for DCS information, consult with the DCS Program Supervisor prior to agreeing to the release of any confidential information.

Release confidential information only when certain the request can be completed within legal requirements. Refer any questions to the Attorney General's Office.

Examples of information that generally cannot be released include:

• source information;

• original or copies of birth and death certificates;

• original or copies of social security cards and numbers;

• criminal history record information obtained from the Arizona Department of Public Safety (DPS), Federal Bureau of Investigation (FBI), or National Criminal Justice Information System (NCJIS);

• original or copies of fingerprints; and

• attorney-client privileged communications.

When a person requests their own DCS information, release that person’s DCS information to the person or designated agent, unless an exception applies. Information may be released to the parent, guardian, or custodian of the child if the information is reasonably necessary to promote the safety, permanency and well-being of the child. After a parent, guardian, or custodian has submitted a completed DCS Records Request, the information will be redacted according to the DCS Procedures for Redacting.

Responding to Requests for DCS Information for Non-Dependency Matters

When a court order or subpoena for records on a non-dependency matter, or request for public records including request from the media is received, immediately scan the information and email the subpoena/request to the DCS Public Records Coordinator at DCSRecordsRequest@AZDCS.GOV. The DCS Specialist is not to manage this request.

The Centralized Records Coordination Unit (CRCU) oversees all records requests outside of regular Dependency Action disclosures for all field offices throughout the state. CRCU is responsible for making the redactions to records and disclosures in response to requests, court orders and subpoenas for non-dependency matters.

Contact the Office of Correspondence at CorrespondenceControl@azdcs.gov regarding orders to destroy juvenile records pursuant to A.R.S § 8-349.

Refer requests for information from a state legislator, standing committee member, legislative staffer or Joint Legislative Council, or from the Governor's Office to the Department's Legislative Services Office at 602-255-2500.

Requests for information to conduct bona fide research that may be beneficial in improving child safety shall be coordinated with the Office of Correspondence through the Department's Research Review Committee. See Research Review Request in Administrative Policy.

Refer the following requests to the DCS Public Records Coordinator:

• Requests for information regarding a child fatality, near fatality, or high profile DCS case;

• Request for information via a subpoena, court order, or minute entry regarding a non-dependency matter;

• Request for DCS information by a county medical examiner or an alternate medical examiner directing an investigation into the circumstances surrounding a death pursuant to section A.R.S. § 11-593; and

• Requests for information from any individual not entitled to access to confidential information under A.R.S. § 8-807.

The DCS Public Records Coordinator is responsible for providing the response to the requester.

Refer any requests for information from individuals who are appealing a proposed substantiated finding to the PSRT.

An individual who believes he/she may be the subject of a DCS report, or an individual who is seeking a copy of the DCS report shall submit the DCS Records Request to CRCU at DCSRecordsRequest@AZDCS.GOV.

Responding to Request for DCS Information in a Dependency Action

When responding to requests for information regarding an open dependency, the disclosure must occur within five days of the receipt of the request. If a hearing is scheduled prior to the expiration of the five days, the DCS Specialist shall make the disclosure prior to the hearing.

The DCS Specialist shall consult their supervisor and, if necessary, an Assistant Attorney General (AAG) if questions arise concerning requests for information or requirements for redaction of Guardian records.

Upon receipt of a subpoena, immediately provide the request to the assigned Assistant Attorney General (AAG). The DCS Specialist is not to manage this request independently and shall follow guidance from the AAG and DCS Program Supervisor. The DCS Specialist is to work with the AAG to ensure all disclosures are being done effectively and appropriately.

Preparing Information to Confirm, Clarify or Correct

The following are parameters under which the Department may invoke confirm, clarify or correct under A.R.S. § 8-807:

• The Department shall only disclose information that is not contrary to the best interests of the child to whom the information relates, the child’s siblings or other children living in the household.

• The public disclosure of information shall promote the public trust and shall not harm the child or violate the child’s confidentiality and privacy rights as determined by the Department.

• In order to invoke confirm, clarify or correct, the Department must have documentation from the requestor of the public disclosure, either in a news media article, or a copy of the law enforcement documents.

The Department may wish to disclose to confirm, clarify or correct information concerning an allegation or actual instance of child abuse or neglect in the following situations, and if all of the above parameters apply:

• confirmation of a current or past involvement with the family;

• confirmation of actions taken by DCS in response to an allegation of abuse/neglect;

• confirmation that a child or children have been taken into custody by DCS and placed in out-of-home care;

• confirmation that DCS will coordinate or is coordinating the investigation with law enforcement;

• confirmation that DCS has a current or past involvement involving the child and current alleged abusive/neglectful parent, guardian or custodian;

• confirmation or correction of prior reports of child abuse/neglect involving a child or the current alleged abusive/neglectful parent, guardian or custodian;

• confirmation or correction of the investigation findings of prior reports of child abuse/neglect involving a child and the current alleged abusive/neglectful parent, guardian or custodian;

• correction of information about the actions or involvement of DCS with an individual or family;

• clarification of the circumstances surrounding DCS’ involvement with the family; or

• information available about what types of services have been or were being provided to the child, his/her siblings and the alleged abusive/neglectful parent, guardian or custodian.

The disclosure of information may not include any of the following:

• the identity of the child, any member of the child's family, any member of the child's household who is a child, or any caregiver of the child;

• the identity of the person suspected of the abuse or neglect;

• the identity of a reporting source;

• any information in the disclosure which would not be in the best interests of the child, any member of the child's family, any member of the child's household who is a child, or any caregiver of the child; or

• any disclosure that is not authorized by State or Federal law or regulation.

The decision whether to invoke confirm, clarify or correct is made by the Department's Director's Office, and final responses are provided by the Department's Public Information Office.

Preparing Fatality and Near Fatality Public Information

In accordance with the Critical Incidents policy, once a determination has been made that a child fatality or near fatality due to abuse, abandonment or neglect has occurred, the DCS SART is responsible for preparing a posting for public information in accordance with the Child Abuse Prevention and Treatment Act (CAPTA) and A.R.S. § 8-807.01 to notify the public of the incident.

Notification

In accordance with A.R.S. § 8-807.01, the Department's posting shall include the following information:

• the age and city, town or general location of residence of the child who has suffered a near fatality or fatality;

  • for a fatality, the name of the child who has died;

• the fact that a child suffered a near fatality or fatality as the result of abuse, abandonment or neglect;

• the name, age and city, town or general location of residence of the alleged perpetrator, if available;

• whether there have been reports, or any current or past records, of abuse, abandonment or neglect involving the child and the current alleged abusive or neglectful parent, guardian or custodian; and

• actions taken by child protective services in response to the fatality or near fatality of the child.

As soon as practicable, but within five business days of receipt of the required information for posting a fatality or near fatality, SART will provide a draft posting for review.

SART will finalize the posting and send it to the Assistant Director for the Office of Accountability or designee for final approval. The Assistant Director for the Office of Accountability, or designee, will provide final approval within the same business day of receiving the posting for approval, and SART will immediately forward the approved posting to the Public Information Office via email for posting on the DCS website.

Prior Reports

The DCS Specialist shall provide a detailed synopsis of prior reports of any current or past records of abuse, abandonment, or neglect involving the child and the current alleged abusive or neglectful parent, guardian or custodian. The detailed synopsis includes the:

• date the prior abuse or neglect occurred;

• the allegations of the abuse or neglect; and

• actions taken or determinations made by DCS in response to the reports, when available.

Documentation

Document all requests for confidential information in Guardian.

If information is provided in response to a written request:

• record who asked for the information;

• the type of information provided;

• who provided the information; and

• the date on which the information was provided.

If the request is referred to the Department's Legislative Services Office, the Public Information Office or the Public Records coordinator for the release of information, note the referral and date in the record using the Notes designated as Collateral Contact type.

Document all conversations involving request to and advice from and contacts with the AG's Office using Notes designated as AG Contact type. Do not release this information to anyone as the information is protected by attorney-client privilege.

Effective Date: February 1, 2021

Revision History: November 30, 2012, September 13, 2013, October 16, 2013