Transcript Power Point - HOME - CSDACA |CHILD SUPPORT DIRECTORS

Confidentiality and the Law
Handling Child Support Information
With Confidence
Terry Symens-Bucher
Supervising Attorney
Alameda County
OUTLINE
Definitions, purpose, and authorities.
Release Assessment Tool.
Family Code section 17212.
Mandated Reporting.
Federal Tax Information.
3RD Party Authorizations.
Conflict of Interest.
Safeguarding Information.
Special Security Issues.
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Goals
By the end of this training you will have received
information regarding:
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The meaning and effect of confidentiality in the
child support program.
When information can be released to the
participants, third parties, and other agencies.
How to assess requests for information.
The penalties for unauthorized release of
information.
How to determine and declare Conflicts of Interest.
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Common Forms to review and sign
Case Conflict of Interest Policy & Reporting Form
DCSS’ Confidentiality Statement (DCSS 0593) and
UNAX Certification (DCSS 0570)
FTI Disclosure Penalties & Civil Damages (IRS ss
7213 & 7431)
DCSS Acknowledgement of Understanding Annual
Certification (DCSS ASD 011)
DMV Information Security Statement (INF 1128)
CLETS Employee Statement (DOJ HDC 0009)
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Confidentiality v. Safeguarding
Confidentiality focuses on:
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What is confidential.
When it can be released.
Safeguarding focuses on protecting confidential
information.
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Information storage and handling.
IT systems security.
Information exchange.
Confidentiality and information security overlap.
Mutual Goal: Informed and Secure release.
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AUTHORITIES
Title 26 United States Code §§ 7213 & 7431.
Title 28 Code of Federal Regulations, Part 603.
HIPAA (Health Insurance Portability and Accountability Act).
Title 45 Code of Federal Regulations §§ 303.21 and 307.13.
Office of Child Support Enforcement Action Transmittals.
California Penal Code § 502.
Welfare and Institutions Code §§ 11478.1 & 10850.
Government Code §§ 6200 & 6201.
CA Unemployment Insurance Code §§ 2111 & 1094.
CA Vehicle Code § 1808.45.
Title 22 California Code of Regulations §§ 11430 and 11440.
DCSS Information Security Manual.
CSS Letters.
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More Authorities
County policies-✷
Example: “Appropriate Use of Telecommunications and
Information Technology Systems Policy.”
Department policies & practices-✷
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Redaction of forms.
Requirements for identity verification.
Release of information to third parties.
Methods of release and/or transmission.
Privileges and conflict policies-✷
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Attorney-client privilege.
Attorney work product.
Conflict of interest.
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CSE Warning Notice
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Why all the attention?
Fundamental right to privacy
Constitutional due process rights
Effectiveness of the child support program
Fair application of the program mission
Continued access to participant information
provided by:
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IRS & FTB
DMV
Criminal Justice Databases
Social Services (IV-A agency)
Credit Reporting Agencies
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Recent Headlines
“Alameda County Being Sued Over Deputy’s Alleged Misuse of
Database”
“Contra Costa Judge Accused of Influencing Case Against His
Son”
“Judge Faces Censure for Interfering in Wife’s Traffic Ticket
Proceedings”
“Judge Calls His Ticket-Fixing ‘Thoughtless’; Removed From
Bench”
“Transgender Woman Settles Suit With DMV”
“Infamous Voice Mail Suit Revived”
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Essentially--
Confidentiality is fundamental and
vitally important to the child support
program.
Any violations are treated seriously
because they threaten the ability of the
program to accomplish its mission.
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Balancing Act
Absolute security
v.
Business need
Child support work
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Release Assessment Tool
Case information can only be viewed by or released to:
AN AUTHORIZED PERSON
for
AN AUTHORIZED PURPOSE.
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Authorized Person
1. Job Assignment.
The person assigned to work the case in the normal
course of his or her business.
2. Specific Legal Right.
A person who has a specifically defined right to receive
the information:
1.
2.
Participants
Agencies
3. Business Need.
A person who needs to receive the information in order to
complete a step or process required for IV-D purposes.
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California Family Code section 17212
Legislative intent.
✷ Protect individual rights of privacy.
✷ Facilitate and enhance effectiveness of
IV-D program.
By ensuring confidentiality of records.
To encourage the full and frank disclosure of
information.
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California Family Code section 17212 (b)(1)
ABSOLUTE FIREWALL
All files, applications, papers, documents,
and records … shall be confidential, and
shall not be open to examination or
released for disclosure for any purpose …
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California Family Code section 17212 (b)(1)
EXCEPT FOR BUSINESS NEED—
Information sharing must be … directly connected
with the administration of the Title IV-D program.
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California Family Code section 17212 (b)(2)
IN NO CASE SHALL information on participant
location be released to the other party (or
attorney) when
 a protective order exists, OR
 good cause approved or pending, OR
 LCSA has “reason to believe” physical or
emotional harm may result from release.
This includes pleadings and court documents.
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California Family Code section 17212 (b)(3)
ALSO IN NO CASE SHALL a Proof of Service
filed by the LCSA disclose where the service of
process was accomplished.
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Proof shall specify address is “on record”
No release without court order, except
Release to the party served where service
occurred.
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California Family Code section 17212 (c)(1)
AUTHORIZED DISCLOSURES: all files,
applications, papers, documents, and records
described in (b) can be released for
All administrative, civil, or criminal investigations,
actions, proceedings, or prosecutions conducted
in connection with the administration of the IV-D
program,
And to county welfare department administering
IV-A, IV-B and IV-E programs.
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California Family Code 17212 (c)(2)-(9)
Other Authorized disclosures:
To the participant who provided the information.
Payment history to court, NP, CP, designee.
Income and Expense information for the purpose of
establishing or modifying a support order.
Public records subject to Public Records Act.
By notice of motion and court order.
Existence or imminent threat of crime against child,
or location of abducted child.
Person defined by USC section 653(c).
Information to child welfare or probation.
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Family Code section 17212 (d) (1)
“Administration and implementation of the child and
spousal support enforcement program”
means --the carrying out of the state and local
plans for establishing, modifying, and enforcing child
support obligations, enforcing spousal support
orders, and determining paternity.
In other words, if you are following the business
policies and procedures established by the State
and Alameda County DCSS, then your activities are
“directly connected” to the administration of the
program.
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Family Code section 17212 (e)
Any person who willfully, knowingly, and
intentionally violates this section is guilty of a
misdemeanor.
Also-Any person who without authorization handles a
case or releases information is also subject to
disciplinary action up to and including termination
of employment.
The person harmed by the release may have
other civil and criminal remedies.
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Mandated reporting
Child Abuse and Neglect Reporting Act: Penal
Code sections 11164 and following.
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Child: person under 18 years.
Other definitions 11165.1-6
Mandated Reporter: local child support agency
caseworker.
Report to any police or sheriff’s department.
Liability
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For reporting--None
For not reporting--?
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Federal Tax Information (FTI)
CSS Letter 11-04 sets policy in this area.
FTI is any information received from the Internal
Revenue Service which pertains to a taxpayer’s
identity and all tax information, including assets,
deductions, payments & REFUNDS.
FTI remains FTI even if it is transferred to other
methods for maintaining the information: case
records, payment accounting, worksheets.
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FTI as Federal Tax Intercepts
Do not disclose to anyone other than the
person whose refund was intercepted.
It is an “involuntary collection.”
“Federal law does not allow me to reveal the
source of that payment.” PERIOD.
To the Court: “That collection has been
credited as required by Code of Civil
Procedure section 695.221(e).”
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Taxpayer Browsing Protection Act (UNAX)
UNAX violation is the willful and unauthorized
access to or inspection of federal taxpayers’
records. It is an invasion of privacy and the
violation occurs when the information is
viewed; it does not have to be shared.
UNAX violations are a federal offense.
Viewing: $ 1000 and/or 1 year
Disclosing: $ 5000 and/or 5 years
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Third Party Authorizations
CSS Letter 09-04 sets policy in this area.
The authorization can only be requested by
one of the case participants.
Upon return it is logged, a Worker Alert is
created at the Participant level, and the
Authorization is imaged.
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Now noted on the Case Overview page.
The authorized third party can receive any
information that the consenting party can
receive.
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PAUSE
Introduction to new subject area:
Conflict of Interest
--this is one way authorization to handle case
information can be withdrawn.
--without authorization, the case is confidential to
anyone with the conflict of interest.
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Conflict of Interest
Conflicts are based upon relationship.
Relationships can be legal, financial, personal.
Arises when one’s personal interest in actually
or potentially interferes with one’s ability to
handle the case according to established
business policies and practices.
In a conflict case, the worker with the conflict
is no longer an AUTHORIZED PERSON.
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Conflict situations
You are a participant;
A family member is a participant;
You have a personal relationship with a
participant such that a person aware of all the
facts would reasonably entertain doubt that
you could act with integrity, impartiality and
competence.
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Potential conflicts
As soon as someone asks you to do
something outside normal business
procedure, you have a potential conflict.
Identify the authorized business need.
Identify authorized status.
If in doubt: seek advice.
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Assessing a violation
Did the worker -Declare a conflict?
Have an actual conflict?
Work an unassigned case?
Violate standard business practice or policy?
Release information?
Release information to an unauthorized person?
Other violations, e.g., falsify the case record?
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Be safe and smart
If you have a question about a case discuss it
with your lead or supervisor.
Consider the perspective of the non-conflict
participant in the case.
If you have a doubt, what’s the harm in
declaring it a conflict case?
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Is it a conflict?
Your sister-in-law is a participant on a case in
Alameda County? Modoc County?
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YES
Your cousin? Your nephew? Your ex-spouse? Your
step-child?
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YES, YES, YES, YES!
A neighbor? A former boyfriend in another County? A
co-worker in Alameda DCSS?
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IDK YES WDK
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Is it a conflict?
You become aware that your pastor has a case
open and you look up the case to see if you know
the other participant?
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YES
A Hollywood celebrity opens a case in Los
Angeles and you look up the case to see the
amount of the child support being paid?
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YES
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Is it a conflict?
You are a huge Raiders fan and in working your
caseload you discover a case against a star
Raiders player?
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WDK
Your co-worker has a case that is not in your
caseload and you review it to find out if there is
anything you can do to help?
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YES!
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Is it a conflict?
Your co-worker has a conflict case open and she asks
you to find out the status of the mod review?
✷ WDK
You have a case with the office and you email the
assigned attorney about the status of the litigation?
✷ County Computer Use Policy Violation?
You talk with the assigned caseworker about your case
in her cubicle.
✷ Outside normal business procedure
You have a friend with a case and they want a favor …
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Civil Action for Illegal Disclosure
Intentional disclosure of information from state or
federal records.
Not done in official capacity.
Creates an invasion of privacy.
Award: minimum $ 2,500.
In addition to special or general damages.
As well as attorney’s fees and other litigation costs.
In addition to all other rights, remedies and causes of
action.
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Inadvertent Release or Security Breach
Examples:
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CSE defect generated NMSN’s with confidential
information sent to third parties.
Lost computer data.
Misdirected mail/email or other communication.
Stolen files.
DCSS Information Security Manual.
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Notification of security breach is required by Civil Code
section 1798.29.
Personal information loss triggers duty to notify.
Initiate local Security Incident Procedure
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Special Safeguarding Issues
Copiers and printers.
Faxes.
Emails.
Voicemail messages.
Conversations inside and outside workplace.
Social media.
Confidential destruct v. conventional recycling.
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What is not confidential?
Your emails on the County system
Your access to State and County systems
Your communication on County devices
Your internet browsing history on State computers
For these items you may have no expectation of
privacy as to your employer.
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[email protected]
925-468-9145