N.Y. Social Services Law § 409-K – Case plan and service record

1. With respect to each individual who is identified as requiring case management services pursuant to this title, the social services district shall, within thirty days of such identification, perform or have performed an initial joint assessment with the individual, and other persons where appropriate, for the purpose of identifying those problems that have an impact on family stability and hinder the potential for economic independence. A social services district shall prior to implementing the provisions of this title submit a plan for a service case management system to the commissioner for approval.
2. Upon completion of the assessment provided in subdivision one of this section, the social services district shall, in consultation with the individual, establish and maintain or have established and maintained a case plan and service record prescribed pursuant to regulations of the department which shall include at least the following:
1. (a) identification of short term and long range goals which will ameliorate the problems indicated in subdivision one of this section. Such identification shall also include an estimate of the time period necessary to meet these goals;
2. (b) identification of services needed by the client, and a description of the available resources in the community to meet identified needs; if services are not available the record should reflect such;
3. (c) documentation of the arrangements made for the referral of the client to service providers;
4. (d) listing of all services rendered, both direct and those provided by other public and private agencies in the community;
5. (e) follow-up action taken to assure clients are in receipt of services, and any actions taken to remove any existing barriers which impede the maximum efficiency of service delivery; and
6. (f) recordation of the types, cost and auspices of services provided.
3. The case plan and service record shall be reviewed and may be revised, in consultation with the individual, at least once every six months after the plan and record have been prepared. Such review shall include an evaluation of the effectiveness of services rendered and any necessary revisions in goals or planned services as they meet the objectives indicated in paragraph (a) of subdivision two of this section.
4. The case plan and service record shall include information for the purpose of obtaining information regarding services rendered and the cost of such services based on assessed values or the value of services rendered, where no fees are charged as in other publicly financed programs together with such other information as may be required by rules and regulations of the department.
5. The department is authorized and directed to make such rules and regulations as are necessary to carry out the provisions of this title.