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The Pennsylvania Code website reflects the Pennsylvania Code changes effective through 53 Pa.B. 7346 (November 25, 2023).

6 Pa. Code § 15.102. Maintenance of case records.

§ 15.102. Maintenance of case records.

 (a)  Protective services case records shall be kept, when not in use by authorized persons, in a locked container and separate from other agency files. The report, the record of investigation, notes of contact with the older adult and others involved with the case, court documents and letters of notification may not be transferred to, or reprinted for, other agency files. The assessment and service plan may be transferred to other agency case files with assurance by the agency that an older adult’s complete protective services case record can be immediately produced.

 (b)  When an individual case record is removed from its storage location for use by an authorized person, the person shall sign for the record according to sign-out procedures developed by the agency.

 (c)  Except as provided under §  15.105 (relating to limited access to records and disclosure of information), only staff with direct responsibility for protective services functions may be authorized by the agency to have access to the protective services case records. General access is restricted to protective services supervisors, protective services caseworkers and clerical staff assigned to type and maintain case records.

 (d)  As provided under §  15.43 (relating to resolution of unsubstantiated reports), when the agency cannot substantiate a report of a need for protective services, the case opened by the unsubstantiated report shall be closed and information identifying the person who made the report and the alleged perpetrator of abuse, if applicable, shall be immediately deleted from the case record.

 (e)  For the purposes of substantiating a pattern of abuse, neglect, exploitation or abandonment, the name of the older adult reported to be in need of protective services and other information relevant to the circumstances which led to the report may be maintained for 6 months in a separate locked file accessible only to authorized staff for review when necessary to establish that a previous report was made. At the end of 6 months, case records maintained under this subsection shall be destroyed unless additional reports lead to their being reopened.

 (f)  The agency shall develop written procedures for the deletion or expungement of information in case records and for the destruction of case records so that unauthorized persons are not able to gain access to information from case records. The procedures shall be submitted to the Department in the protective services plan required under §  15.12(b) (relating to administrative functions and responsibilities of area agencies on aging).


   The provisions of this §  15.102 amended May 17, 2002, effective May 18, 2002, 32 Pa.B. 2412. Immediately preceding text appears at serial pages (228920) to (228921).

Cross References

   This section cited in 6 Pa. Code §  15.12 (relating to administrative functions and responsibilities of area agencies on aging); 6 Pa. Code §  15.81 (relating to rights of protective services clients); 6 Pa. Code §  15.95 (relating to case management); and 6 Pa. Code §  15.112 (relating to uses of funding authorized by the act).

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