[Federal Register Volume 59, Number 95 (Wednesday, May 18, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-12087]


[[Page Unknown]]

[Federal Register: May 18, 1994]


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Part IV





Department of Health and Human Services





_______________________________________________________________________



Administration for Children and Families



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45 CFR Part 1340




Child Abuse and Neglect State Grant Program; Proposed Rule
DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families

45 CFR Part 1340

RIN 0970-AB23

 
Child Abuse and Neglect State Grant Program

AGENCY: Administration on Children, Youth and Families (ACYF), 
Administration for Children and Families (ACF), HHS.

ACTION: Notice of proposed rulemaking.

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SUMMARY: The Administration on Children, Youth and Families, National 
Center on Child Abuse and Neglect, is proposing to amend existing 
regulations pertaining to the Child Abuse Prevention and Treatment Act, 
on the confidentiality of child abuse and neglect records. These 
regulations are proposed in response to an amendment, contained within 
the Juvenile Justice Delinquency and Prevention Amendments, to the 
Child Abuse Prevention and Treatment Act (CAPTA). The amendment directs 
States to ensure that child protective services (CPA) records are 
confidential and that disclosure and redisclosure are limited only to 
those persons and entities who have a need for the records that is 
directly related to the purposes of CAPTA, or to their responsibilities 
under law to protect children from abuse and neglect. The amendment 
requires States to provide for interagency sharing of child abuse and 
neglect records to facilitate a more comprehensive, coordinated 
approach in protecting children. The following proposed regulations are 
intended to clarify the balance between protecting the privacy rights 
of children and families and ensuring the disclosure of case records 
when necessary for the protection of children. These regulations will 
supersede the current confidentiality provisions under 45 CFR 
1350.14(i).

DATES: In order to be considered, comments on this notice of proposed 
rulemaking (NPRM) must be received on or before July 18, 1994.

ADDRESSES: Please address comments to Olivia A. Golden, Commissioner, 
Administration on Children, Youth and Families, P.O. Box 1182, 
Washington, DC 20013, Attention: David W. Lloyd, Director, National 
Center on Child Abuse and Neglect.

FOR FURTHER INFORMATION CONTACT: David W. Lloyd, (202) 205-8586.

SUPPLEMENTARY INFORMATION:

Part I: Background and Authorization

    This proposed rule sets forth the requirements for establishing and 
maintaining confidentiality of child protective services records. 
Maintaining confidentiality is important to protect the privacy and 
rights of children and families in cases of suspected and actual child 
abuse and neglect.
    The Juvenile Justice Delinquency and Prevention Amendments, Public 
Law 102-586, section 9, amended the Child Abuse Prevention and 
Treatment Act (CAPTA), section 107(b)(4), as most recently reauthorized 
by Public Law 102-295. The regulations in this NPRM implement the new 
provisions of section 107(b)(4) of CAPTA, which directs the States to 
provide for the confidentiality of CPS records, by revising 45 CFR 
1340.14(i). The impetus behind this legislation was Congress' finding 
that an undue burden was placed on the State process for investigating 
child abuse and neglect under existing Federal regulations. The 
legislative intent is to ensure protection against wholesale public 
disclosure while enabling Federal, State and local government entities, 
or their agents, to coordinate interagency communication needed to 
assist in the protection of abused and neglected children (House 
Education and Labor Committee Report 102-756).

Part II: Program Description and Intent of the Regulations

    The National Center on Child Abuse and Neglect (NCCAN), within the 
Administration on Children, Youth and Families, is the primary Federal 
agency responsible for assisting States and communities with activities 
related to the prevention, identification and treatment of child abuse 
and neglect. NCCAN, as authorized by CAPTA, provides both discretionary 
and formula grants to States, public agencies and nonprofit private 
organizations. CAPTA section 107(b)(4), as amended by Public Law 102-
586, section 9, applies to the formula grants to States for child abuse 
and neglect prevention and treatment programs. States and, by their 
direction, local governments, administer CPS programs to protect and 
assist children who are abused and neglected. In order to avoid further 
harm to these children and to protect their privacy and the privacy of 
their parents or guardians, it is important that their records and 
identities be kept confidential except as to those persons or entities 
with a need for the information that is directly related to achieving 
the purposes of CAPTA, which are the investigation, prevention and 
treatment of child abuse and neglect.
    The existing regulations require that States provide for the 
confidentiality of child abuse and neglect reports and CPS records. 
They also give States the option of authorizing disclosure to selected 
persons and agencies in order to carry out their activities. However, 
in its findings, Congress noted that, while confidentiality of records 
is important, there should not be absolute confidentiality to the 
extent that communication among persons and entities working on 
investigation, prosecution and service provision is obstructed. The 
Congress noted that comprehensive and coordinated interagency 
communication is needed to adequately provide protection for abused and 
neglected children. Accordingly, the amendment was passed and these 
proposed regulations were developed.

Proposed Regulation

    The proposed regulations identify persons and entities that must be 
able to obtain access to CPS records in order to effectively carry out 
their responsibilities on behalf of children. The rationale for their 
inclusion is provided in Part III below.
    In addition to the required disclosures specified in the proposed 
regulation, there are other persons and entities to which a State may 
choose to provide access to confidential CPS records, under such 
limitations and procedures as the State determines.
    Allowing appropriate persons and entities to receive information 
from the CPS records and communicate about these records with the CPS 
workers helps serve children's needs. The Administration on Children, 
Youth and Families, therefore, recommends that the States consider 
authorizing the agencies and entities described below to have access to 
the records in child abuse and neglect cases, in addition to those 
which are explicitly enumerated as required disclosures in the proposed 
regulation itself. States also may provide access to confidential CPS 
records to other persons and entities that the States determine have a 
need for such information directly related to achieving the purposes of 
CAPTA, so long as such access does not conflict with restrictions set 
forth in Federal statute or regulation. Please note that the persons 
and entities identified in numbers (1) through (5) in the recommended 
permissive disclosure section below are not in the mandatory disclosure 
section of the proposed regulation only because such persons and 
entities do not have a responsibility under law to protect children, 
which is a requirement set forth in section 107(b)(4)(B) of CAPTA. 
However, the Department strongly recommends that States permit 
disclosure of CPS information to these persons and entities. All 
persons and entities authorized by a State to have access to 
confidential information must adhere to the conditions regarding 
redisclosure. The Department particularly would like to invite public 
comment about whether the recommended permissive disclosure list should 
be included in the regulation.
    There are two groups, namely, the news media and those conducting 
research, as to whom we propose to permit limited disclosure. In each 
instance, the State must determine, as the amended statute requires, 
that disclosure would be ``directly related to the purposes of CAPTA.'' 
Because the statute requires that States provide for methods to protect 
the rights of the child and the child's parents or guardians and 
because of the substantial potential for harm to individuals, we 
propose the restrictions discussed below.
    With respect to the news media, disclosure must be limited to 
confirmation of factual information regarding how the case was handled 
that does not violate the privacy rights of the child's parent or 
guardian. Examples of disclosable information include: confirmation 
that a report was made; confirmation that an investigation has begun; 
information with respect to the amount of time between the report and 
the investigation; confirmation as to whether previous reports have 
been made; and information on the outcome of the investigation. In 
drafting these regulations, we considered whether disclosure of 
additional information, such as the details of the alleged abuse or 
neglect, should also be subject to disclosure. Since the proposed 
regulation would permit broad disclosure to the organizations and 
agencies responsible for oversight of the CPS agency as well as 
investigation and care of the child, we concluded that further public 
dissemination through the news media would not serve the purposes of 
CAPTA.
    With respect to research, we propose to authorize broad State 
disclosure of all information, other than that identifying named 
individuals, to any person, agency or organization that has been 
authorized to conduct research as an agent of the State. However, 
identification of individuals will not be permitted without the consent 
of the child and parent, or representative, as well as the appropriate 
State official. In drafting these proposed regulations, we have 
considerd whether it is necessary to continue the requirement of 
consent that is in current regulations. Although we recognize that the 
identification of individuals can be important to longitudinal 
research, or where in-depth interviews are required, and that the 
consent requirement may preclude some research, the potential for harm 
to the individual is significant. Accordingly, we propose to continue 
to the requirement of consent.
    The Department particularly would like to invite public comments on 
these issues.

Recommended Permissive Disclosures

    (1) In many States, entities other than a CPS agency are 
authorized, but not mandated, to investigate reports of child abuse or 
neglect. These entities need access to the records to determine how to 
proceed. In addition, agencies recommending or determining a 
disposition or course of treatment for an abused or neglected child or 
to a person who is the subject of the report of child abuse or neglect 
need to know what happened to that child in order to provide 
appropriate services. Therefore, a properly constituted authority 
(including multidisciplinary case consultation teams multidisciplinary 
child protection teams and child advocacy centers) investigating a 
report of known or suspected child abuse or neglect, or determining a 
course of treatment and disposition for the child and family may be 
allowed access to the records for these purposes.
    (2) In order for a physician, mental health professional or 
substance abuse program services provider, or an agency authorized by a 
properly constituted authority to diagnose, care for, treat or 
supervise (a) a child whom such service provider reasonably suspects 
may be abused or neglected, or (b) a member of the child's family, or 
(c) a person who allegedly abused or neglected the child, such service 
provider may have access to the records and history of the case. Such 
information facilitates coordination between the service provider and 
the CPS agency. The existing regulations, at Sec. 1340.14(i)(2)(V), 
include physicians as individuals that the State may authorize to 
receive disclosures of child abuse and neglect. However, physicians are 
not the only professionals who come in contact with abused and 
neglected children, their families and the alleged abuser. Recognizing 
the important role of mental health and substance abuse program service 
providers in serving these groups, NCCAN recommends that these 
professionals be afforded the same access to case records as 
physicians.
    (3) There have been a number of cases where alleged or convicted 
perpetrators of child abuse/neglect have been released from custody 
prior to adjudication or sentencing, or have been released on probation 
or parole. At times, officials responsible for determining pre-trial or 
pre-sentencing release status or for making sentencing decisions or 
recommendations have known of the individual's past history regarding 
child abuse or neglect allegations. Such information may be relevant in 
setting pre-trial release, sentencing, and in determining the 
conditions of probation or parole. Therefore, States may authorize 
disclosure of CPS information to a properly constituted agency 
responsible for the supervision of an alleged perpetrator of child 
abuse and neglect.
    (4) Research involving data in CPS records can provide important 
information that will help government officials plan programs for 
abused and neglected children and develop future policy directions. 
Therefore, States may authorize disclosure to a person, agency or 
organization engaged in a bona fide research or evaluation project who 
has been authorized to conduct such research or evaluation as an agent 
of the State. On the other hand, when a person, agency or organization 
conducting research has not been so authorized, information identifying 
the individuals named in a report or record shall be omitted. If such a 
person or entity wishes to conduct in-depth examination of specific 
individuals, or longitudinal investigations which require identifying 
information is essential to the research or evaluation, the State must 
then require that prior written permission be obtained from the child 
or child's representative for release of information pertaining to him 
or her, and prior written consent of the parents or guardian for 
release of information pertaining to them. The appropriate State 
official must also give prior written approval.
    (5) In order to prepare a defense against charges of child abuse or 
neglect, and as part of the individual's due process rights, a person 
about whom a report has been made and/or his or her attorney, should 
have access to relevant CPS records. Disclosure of the identify of the 
reporter or any other person whose life or safety may be endangered, 
however, is prohibited.
    (6) In order to plan budgets and maintain oversight of CPS agency 
functions, the CPS records might be helpful. Therefore, a State may 
authorize the release of child abuse and neglect records to State or 
local officials responsible for administration of the child protective 
services system, or for oversight of the enabling or appropriating 
legislation, or for compilation of statistical information on abused 
and neglected children, their families or those who commit, or 
allegedly commit, child abuse and neglect, who need such information in 
the course of carrying out their official functions.

Part III: Discussion of Proposed Revisions to 45 CFR 1340.14(i)

Subparagraph (i)

    This subparagraph reflects the Congressional amendment highlighting 
its emphasis on the need for States to maintain the confidentiality of 
CPS information, while providing for disclosure of information when 
necessary. The existing regulations list discretionary disclosures, 
some of which are incorporated into the proposed regulations as 
required disclosures in subparagraph (2) below. The required 
disclosures involve those persons and entities that are authorized to 
receive the information by virtue of their roles and responsibilities 
under law to protect children and whose ability to meet their 
responsibilities would be impaired without receipt of the disclosed 
information. The remaining persons and agencies listed in the existing 
regulations are covered in the permissive disclosure section of this 
preamble and remain in the category of persons and entities permitted 
to receive the information. Subparagraph (1) allows States flexibility 
in: (a) Authorizing agencies and entities to receive CPS information; 
and (b) implementing the new requirements by either State statute or 
administrative rule.
Records
    The existing regulations interpret the statutory requirement of 
``confidentiality of all records'' as providing for confidentiality of 
``records concerning reports and reports of child abuse and neglect.'' 
Those agencies and entities authorized by the State to have access to 
CPS records and those agencies and entities that must promptly receive 
all relevant information in order to carry out their responsibilities 
under law to protect children from abuse and neglect frequently require 
access to a greater portion of the CPS record than the report. 
Accordingly, the proposed regulation interprets the statutory reference 
to ``records'' as including reports of child abuse and neglect, whether 
or not such reports are determined to be substantiated or indicated and 
the information pertaining to such reports, including the evidence upon 
which the determination was made, and any information pertaining to the 
child and other family members which is within the custody or control 
of the CPS agency.
Redisclosure
    Authorized recipients of confidential CPS information are bound by 
the same confidentiality restrictions as the CPS agency. Thus, they 
must respect the privacy rights of the children and families who are 
the subjects of CPS reports and the persons who report suspected abuse 
and neglect, and must use the information only for activities related 
to the prevention and treatment of child abuse and neglect. Recipients 
of such information are compelled by the proposed regulation to 
maintain confidentiality and prevent redisclosure of the information to 
other persons or entities, unless express authorization is given on a 
case-by-case basis by the same authority that first disclosed the 
information.
State Authorization
    Under the existing regulations, States must enact statutes 
requiring confidentiality of CPS records and reports of child abuse and 
neglect and disclosure made to designated persons and agencies. Many 
States have encountered difficulties in developing legislation 
authorizing appropriate disclosures. State and local agencies have 
repeatedly indicated that they are more effective and efficient when 
they are able to invoke administrative rules. The proposed regulation 
provides States with flexibility with respect to the policy-making 
mechanisms for developing and implementing the authorized disclosure 
provisions.

Subparagraph (2)

    The statutory amendment explicitly requires States to provide for 
disclosure to persons and entities that need the information to 
effectively carry out their responsibilities under law to protect 
children from abuse and neglect. The proposed regulations therefore 
direct States to provide for disclosure of the records to persons and 
entities with responsibilities under law to protect children from abuse 
and neglect. Those persons and entities are described below in 
subparagraphs (2)(i)-(2)(xi).

Subparagraph (2)(i)

    In order to pursue cases for possible arrests, prosecution, and for 
taking the child into custody for protective placement, persons who 
review and investigate child abuse and neglect cases need the specific 
information contained in the records. Some cases involve parties 
previously reported as suspected perpetrators or victims of child abuse 
or neglect. Child abuse and neglect records can significantly assist 
the professionals in pursuing cases and promptly determining if an 
arrest, placement of the child, or other action should be taken. 
Without this information each report would be treated as a new case, 
family histories of violence would not be addressed, and children might 
not be adequately protected.

Subparagraph (2)(ii)

    The Developmental Disabilities Assistance and Bill of Rights Act 
(Act), 42 U.S.C. 6042(a)(2)(B), mandates that in order for a State to 
receive assistance under the Act it must develop a ``Protection and 
Advocacy'' (P&A) system to protect and advocate for the rights of 
persons with developmental disabilities that has the authority to 
investigate incidents of abuse and neglect for this population. In 
order to allow for the implementation of that provision, the P&A 
authority is included on the mandatory disclosure list of the NPRM.

Subparagraph (2)(iii)

    In order to place a child in an appropriate protective custodial 
arrangement, the agency or entity making the placement needs 
information on the history, severity and circumstances of the child 
abuse and neglect in order to ascertain the child's needs. Therefore, 
those authorized to place the child must be provided with these 
records.

Subparagraph (2)(iv)

    In order for a child abuse and neglect case to be prosecuted, or 
for the CPS agency to be represented as a party, the prosecuting 
attorney would need the records for use in the preparation of the case.

Subparagraph (2)(v)

    There is a wide variety of legal proceedings in which some aspect 
of child abuse and neglect may be relevant; these include allegations 
of abuse during a family relations case (domestic violence, 
dissolution, child custody), and/or criminal case. A court adjudicating 
such cases often needs information pertaining to allegations or 
findings of child abuse and neglect in order to properly resolve the 
issue before it. However, the entire CPS record may not be necessary 
for adjudication and/or disposition of the case. In some cases, there 
may be no evidence that the information contained in the record is 
legally relevant to the issue to be decided. In adjudicating cases in 
which child abuse and neglect becomes an issue, the judge should 
inspect the CPS records in chambers for a determination of which, if 
any, portions are legally relevant and must limit disclosure to that 
information.

Subparagraph (2)(vi)

    To protect the child's interests and to ensure that the best 
services to protect the child's safety and welfare are being provided, 
the child, or the child's authorized representative, needs to be able 
to review the CPS record and provide additional factual information as 
necessary for the record.

Subparagraph (2)(vii)

    When the coroner or medical examiner is determining the case of a 
child's death, information contained in the CPS record can be of great 
assistance. Therefore, the coroner or medical examiner must have access 
to CPS records, when needed.

Subparagraph (2)(viii)

    Some States have enacted legislation authorizing the creation of 
child fatality review teams on a statewide, regional or county basis. 
The purpose of these teams is to review child fatalities in the State 
and to propose methods of preventing such deaths. In order to carry out 
this mission, a team needs the information contained in CPS records.

Subparagraph (2)(ix)

    Some cases of child abuse and neglect create additional problems in 
investigation or adjudication when the families move out of State. It 
is essential that the CPS records from the initial jurisdiction be 
available to the specified authorities in the new jurisdiction in order 
to continue or pursue the best interests of the child and his/her 
protection.

Subparagraph (2)(x)

    Many abused and neglected children are placed in foster care or are 
adopted. Because these children often exhibit problematic behaviors and 
emotional reactions, they need caretakers who are able to handle their 
special needs and protect them from further abuse. In order for a 
foster or adoptive family to understand the formerly abused and 
neglected child, and to prepare itself for handling the child's needs, 
it is necessary that the family be provided with specific information 
about the child's history of abuse and/or neglect. Therefore, under the 
proposed regulation, States will be required to disclose to prospective 
foster and adoptive parents the abuse and neglect history of a child 
being placed with them.

Subparagraph (2)(xi)

    Persons responsible for a child's welfare outside the child's home 
sometimes abuse and neglect children. Some of these cases are 
perpetrated by individuals with histories of child abuse, either in or 
out of their own homes. In order to protect the children within their 
charge, information on child abuse and neglect records must be made 
available upon request to persons and entities with a legal duty to 
protect children from child abuse and neglect for the purpose of 
carrying out background and/or employment and volunteer-related 
screening of current and prospective employees or volunteers who are or 
may become engaged in contact with children or working in a facility 
providing services to children.

Subparagraph (3)

    State officers and CPS workers have often expressed frustration in 
trying to follow cases of children whose families make interstate 
moves. This subparagraph requires States to share information with one 
another in these cases. In addition, this particular subparagraph 
includes two groups who handle child abuse and neglect cases under 
their own jurisdictions--military communities and Indian Tribal 
Organizations. Requiring States to share CPS information with one 
another as well as with military communities and Indian Tribal 
Organizations will encourage more comprehensive coordination and 
communication in an effort to protect children.

Subparagraphs (4) and (5)

    These subparagraphs remain essentially the same and are contained 
in the existing regulations together as subparagraph (4). The proposed 
subparagraph (4) reiterates the requirement that the child abuse and 
neglect reporter be able to receive a summary of the outcome of an 
investigation. The proposed subparagraph (5) repeats the existing 
requirement that nothing in Sec. 1340.14 affects a State's laws or 
procedures concerning the confidentiality of its criminal court or its 
criminal justice system, and that regulations regarding confidentiality 
should not be interpreted as reflections or modifications of the 
State's laws and procedures regarding confidentiality in other 
situations.

Subparagraph (6)

    This subparagraph, subparagraph (5) in the existing regulations, 
remains unchanged. The purpose of this requirement is to allow for 
review of the records by the Department of Health and Human Services 
and the Comptroller General of the United States.

Subparagraph (7)

    As noted in the discussion under ``Proposed Regulation'' above, CPS 
information that can be disclosed to the media is limited to certain 
factual information. Additional CPS information can be obtained only 
with the written permission of the involved individuals or their 
representatives.

Subparagraph (8)

    This subparagraph clarifies the connection between the 
confidentiality sections of CAPTA and Titles IV-E and IV-B of the 
Social Security Act. Title IV-E requires that States provide safeguards 
restricting the use and/or disclosure of information regarding children 
served by Title IV-E foster care. A 1991 amendment to section 471(a)(8) 
added subsection (E), which allows disclosure of child abuse and 
neglect information about children receiving aid under either Title IV-
B or IV-E to appropriate authorities pursuant to section 471(a)(9). 
Section 471(a)(9) requires Title IV-E agencies to report suspected 
child abuse and neglect cases to CPS agencies.
    Records maintained under both Title IV-E and Title IV-B (which is 
subject by Departmental regulation to the Confidentiality provisions in 
45 CFR 205.50) are to be safeguarded against the unauthorized 
disclosure of information for financial assistance programs. Section 
205.50(a)(1)(C)(ii) states that the release or use of information 
concerning individuals applying for or receiving financial assistance 
is restricted to persons or agencies that are subject to standards of 
confidentiality comparable to those of the agency administering the 
financial assistance programs.
    CPS records may be subject to the Title IV-B and Title IV-E 
confidentiality provisions and there may be instances where a record is 
subject both to disclosure under CAPTA and to the confidentiality 
requirements under Sec. 205.50. In light of the fact that CAPTA 
disclosure provisions are more specific than the statutory provisions 
which are the basis of Sec. 205.50, as well as the fact that the CAPTA 
confidentiality provisions were more recently enacted, the Department 
believes that the CAPTA provisions would prevail in the event of a 
conflict. Accordingly, the proposed regulation provides for disclosure 
``notwithstanding'' the provisions of Sec. 205.50.

Subparagraph (9)

    This subsection requires that the privacy rights of the child and 
the child's parents or guardians be protected when research and 
evaluation projects are being conducted by individuals or organizations 
that are not agents of the State.

Subparagraphs (10) and (11)

    As noted under ``Redisclosure'' above in subparagraph (1), those 
who receive information from CPS records must keep the information 
confidential to the same degree as the CPS agency. Accordingly, States 
are required to make the unauthorized disclosure or redisclosure of CPS 
records a criminal offense.

Subparagraph (12)

    Child abuse and neglect may be perpetrated by individuals who might 
do harm to persons involved in reporting such abuse and neglect. 
Accordingly, this subsection requires that the identity of the reporter 
and other individuals who might be endangered by such disclosure be 
protected.

Part IV: Impact Analysis

Executive Order 12866

    Executive Order 12866 requires that regulations be reviewed to 
ensure that they are consistent with the priorities and principles set 
forth in the Executive Order. The Department of Health and Human 
Services has determined that this rule is consistent with these 
priorities and principles. An assessment of the costs and benefits of 
available regulatory alternatives (including not regulating) 
demonstrated that the approach taken in the regulation is the most 
cost-effective and least burdensome while still achieving the 
regulatory objectives.

Regulatory Flexibility Act of 1980

    Consistent with the Regulatory Flexibility Act of 1980 (5 U.S.C. 
ch. 6), the Department tries to anticipate and reduce the impact of 
rules and paperwork requirements on small businesses. For each rule 
with a ``significant economic impact on a substantial number of small 
entities'' an analysis is prepared describing the rule's impact on 
small entities. Small entities are defined by the Act to include small 
businesses, small non-profit organizations, and small governmental 
entities.
    This proposed rule would not affect small entities other than to 
allow identified entities access, in accordance with the regulations, 
to certain files on children who are victims of abuse or neglect. For 
this reason, the Secretary certifies that this rule will not have a 
significant impact on a substantial number of small entities.

Paperwork Reduction Act

    Under the Paperwork Reduction Act of 1990, Public Law 96-511, all 
Departments are required to submit to the Office of Management and 
Budget (OMB) for review and approval any reporting or recordkeeping 
requirements in a proposed and final rule. This proposed rule does not 
contain information collection requirements or increase the Federal 
paperwork burden on the public or private sector. Therefore, no 
submission to OMB is required.

List of Subjects in 45 CFR Part 1340

    Child welfare--Grant programs--health, Grant programs--social 
programs, Individuals with disabilities, Reporting and recordkeeping 
requirements, Research, Technical assistance, Youth.

(Catalog of Federal Domestic Assistance Program Number 93.966, Child 
Abuse and Neglect State Grants)

    Dated: March 23, 1994.
Mary Jo Bane,
Assistant Secretary for Children and Families.

    Approved: April 9, 1994.
Donna E. Shalala,
Secretary.

    For the reasons set forth in the preamble, we are proposing to 
amend 45 CFR part 1340 as follows:

PART 1340--CHILD ABUSE PREVENTION AND TREATMENT ACT

    1. The authority citation continues to read as follows:

    Authority: 42 U.S.C. 5101 et seq.

    2. Section 1340.14(i) is revised to read as follows:


Sec. 1340.14  Eligibility requirements.

* * * * *
    (i) Confidentiality.
    (1) The State must provide by statute or administrative rule with 
the force and effect of law for methods to preserve the confidentiality 
of all child abuse and neglect records in order to protect the rights 
of the child and of the child's parents or guardians, including methods 
to ensure that disclosure and redisclosure of information concerning 
child abuse and neglect involving specific individuals is made only to 
persons or entities that the State determines have a need for such 
information directly related to the purposes of the Act, and under 
procedures and limitations set forth by the State.
    (2) The State must provide for the prompt disclosure of all 
relevant information to any Federal, State or local governmental 
entity, or any agent of such entity, with a predetermined need for such 
information in order to carry out its responsibilities under law to 
protect children from abuse and neglect. Therefore, the State must 
provide for the disclosure of all relevant information concerning 
reports of child abuse and neglect to the persons or entities 
authorized by law to receive such information. The entities include, 
but are not limited to:

    (i) The agencies or organizations (including its designated 
multidisciplinary case consultation teams, law enforcement entities, 
and child protective services agencies) mandated by Federal or State 
law to receive and investigate reports of known and suspected child 
abuse and neglect;
    (ii) The State Protection and Advocacy agency as authorized by 
the Developmental Disabilities Act, Public Law 101-496, 42 U.S.C. 
6042(a)(2)(B);
    (iii) A person legally authorized to place a child in protective 
custody when the person has before him/her a child whom he/she 
reasonably suspects may be abused or neglected and the person 
requires the information in the report or record in order to 
determine whether to place the child in protective custody;
    (iv) The public prosecuting attorney representing the Child 
Protective Services agency when relevant and necessary to a 
specified pending case;
    (v) The parties to a court or grand jury proceeding in which 
information in the records is legally relevant and necessary for 
determination of an issue before such court, provided that prior to 
such disclosure the judge has reviewed the records, in camera, has 
determined the relevancy and necessity of such disclosure, and has 
limited disclosure to such legally relevant information under an 
appropriate protective order;
    (vi) A child named in the report or record alleged to have been 
abused or neglected, or his/her legal guardian, or his/her legal 
representative, including an attorney, guardian ad litem, or Court 
Appointed Special Advocate (CASA) appointed to represent the child's 
interests in a pending case;
    (vii) The coroner or medical examiner when such individual is 
determining the cause of death of a child;
    (viii) A child fatality review team authorized by law;
    (ix) Any of the authorized entities in other States or military 
enclaves or Indian Tribal Organizations where the child, family or 
person about whom a report has been made may be found;
    (x) Prospective foster and adoptive parents prior to placing a 
child in their care; and
    (xi) Persons and entities with a legal duty to protect children 
from child abuse and neglect when carrying out background and/or 
employment and volunteer-related screening of current and 
prospective employees or volunteers who are or may become engaged in 
contact with children.

    (3) All regulations in this section are equally applicable to and 
between States. Additionally, disclosure to an Indian Tribal 
Organization or military enclave may be made only when the entity 
agrees to the restrictions on redisclosure specified in (10) below.
    (4) Nothing in this section shall be interpreted to prevent a 
properly constituted authority from summarizing the outcome of an 
investigation to the person or official who reported the known or 
suspected instance of child abuse or neglect.
    (5) Nothing in this section shall be interpreted to affect a 
State's law or procedures concerning the confidentiality of its 
criminal court or its criminal justice system.
    (6) The Department of Health and Human Services and the Comptroller 
General of the United States or any of their representatives shall have 
access to records, as required under 45 CFR 74.24.
    (7) Disclosure of Child Protective Services (CPS) information to 
the media shall be limited to confirmation of factual details with 
respect to how the case was handled that do not violate the privacy 
rights of the child and the child's parents or guardians. Further 
confidential information may be released to the media only with the 
express written permission of the individuals involved, or their 
representatives.
    (8) Notwithstanding the provisions set forth in 45 CFR 205.50, the 
Act confidentiality requirements prevail when a CPS record is also 
subject to the confidentiality requirements under Title IV-E and/or the 
requirements under Sec. 205.50.
    (9) When bona fide research or evaluation projects are being 
conducted by a person, agency or organization not authorized as an 
agent of the State, information identifying the individuals named in a 
report or record shall be omitted. If identifying information is 
essential to the research or evaluation, prior written approval shall 
be obtained from the appropriate State official. In addition, consent 
of the child or child's representative shall be obtained before release 
of identifying information pertaining to the child, and prior written 
consent of the parents or guardian or their representative shall be 
obtained before release of identifying information pertaining to them.
    (10) Authorized recipients of CPS information must maintain 
confidentiality and prevent redisclosure of information to other 
persons or entities, unless written authorization is first obtained by 
the authority that originally disclosed the information. This 
authorization must be obtained on a case-by-case basis.
    (11) The State must provide by statute that the unauthorized 
disclosure or redisclosure of such confidential information is a 
criminal offense.
    (12) The person or agency making CPS information available to 
authorized recipients shall withhold the identity of the person 
reporting known or suspected child abuse and neglect as well as the 
identity of any other person whose life or safety may be endangered by 
such disclosure.

[FR Doc. 94-12087 Filed 5-16-94; 8:45 am]
BILLING CODE 4184-01-M