Section R9-21-209. Records

A.       Records of a client who is currently receiving or has received services from a mental health agency are private and shall be disclosed only to those individuals authorized according to federal and state law.

B.       Inspection by the client, the client’s guardian, attorney, parale- gal working under the supervision of an attorney, or any other designated representative shall be permitted as follows:

1.        Except as prohibited by federal and state law, the client and, if applicable, the client’s guardian shall be permitted to inspect and copy the client’s record as soon as possible after a request, and no later than 10 working days after a request. If any portion of the client record is withheld under federal or state law, the mental health agency shall provide written notice to the client or, if applicable, the client’s guardian including:

a.        The reason the mental health agency is withholding a portion of the client’s record,

b.        An explanation of the client’s right to a review of the decision to withhold a portion of the client’s record, and

c.        An explanation of the client’s right to file a griev- ance according to Article 4 of this Chapter.

2.        An attorney, paralegal working under the supervision of an attorney, or other designated representative of the cli- ent shall be permitted to inspect and copy the record, if such attorney or representative furnishes written authori- zation from the client or guardian.

3.        When necessary for the understanding of the client or guardian and, if the client or the client’s guardian pro- vides authorization, when necessary for the understand- ing of an attorney, paralegal working under the supervision of an attorney, or designated representative, staff of the mental health agency possessing the records shall read or interpret the record for the client, guardian, attorney, paralegal working under the supervision of an attorney, or designated representative.

C.       Inspection by specially authorized persons or entities shall be permitted as follows unless otherwise prohibited by federal or state law:

1.        Records of a client may be available to those individuals and agencies listed in A.R.S. § 36-509.

2.        Records of a client shall be open to inspection upon proper judicial order, whether or not such order is made in connection with pending judicial proceedings.

3.        Records of a client shall be made available to a physician who requests such records in the treatment of a medical emergency, provided that the client is given notice of such access as soon as possible.

4.        Records of a client shall be made available to Division staff authorized by the Department to monitor the quality of services being provided by the mental health agency to the client.

5.        Records of a client shall be made available to guardians and family members actively participating in the client’s care, treatment or supervision as provided by A.R.S. §§ 36-504, 36-509(A)(8) and (B). Except when inspection of a client’s record is required under a proper judicial order or by a physician in a medical emergency, a client, guard- ian or family member may challenge the decision  to allow or deny inspection of the record by filing a request for administrative and judicial review in accordance with the provisions of A.R.S. § 36-517.01 or other applicable federal or state law. Once a request is filed, no further dis- closure of records shall be made until the review has been completed.

D.       Unless otherwise permitted by federal or state law, records shall be open to inspection by other third parties only upon the authorization of the client or guardian. Before authorization is given, the client or guardian shall be offered an opportunity to examine the information to be disclosed and be provided with the name of the recipient and uses to be made of the informa- tion.

E.       The fee for copying records obtained under this rule shall be no more than the actual expense of reproducing the record or the requested parts and may be limited further by A.R.S. § 12- 2295.

F.       A client or guardian shall be informed of a court order or sub- poena commanding production of a client’s record as soon as possible and in any event prior to the date for production and of the client’s or guardian’s right to request the court to quash or modify the order or subpoena.

G.      The records maintained by the mental health agency shall con- tain accurate, complete, timely, pertinent, and relevant infor- mation.

1.        If a client or guardian believes that the record contains inaccurate or misleading information, the client or guard- ian may prepare, with assistance if requested, a statement of disagreement which shall be entered in the record.

2.        If a client or guardian objects to the collection of the information in the record, the client or guardian may file a grievance according to Article 4 of this Chapter.

H.      A list shall be kept of every person or organization who inspects the client’s records, other than the client’s clinical team, the uses to be made of that information, and the person authorizing access. A list of such access shall be placed in the client’s record and shall be made available to the client or other designated representative.

Historical Note

Adopted under an exemption from A.R.S. Title 41, Chap- ter 6 pursuant to Laws 1992, Ch. 301, § 61, effective October 7, 1992; received in the Office of the Secretary of State October 14, 1992 (Supp. 92-4). Amended under

an exemption from A.R.S. Title 41, Chapter 6 pursuant to Laws 1992, Ch. 301, § 61, effective September 30, 1993 (Supp. 93-3). Amended by exempt rulemaking at 9

A.A.R. 3296, effective June 30, 2003 (Supp. 03-2).