Preliminary Draft Text
The following words and terms when used in this chapter shall have the following meanings unless the context clearly indicates otherwise.
"Access" means the ability directly to obtain information concerning an individual juvenile contained in manual or automated files.
"Commonwealth of Virginia (COV) ITRM Standards" means the information technology standards applicable to all State Executive Branch agencies develop, purchase, and use information technology resources in the Commonwealth of Virginia.
"Commonwealth of Virginia (COV) Network" means the Enterprise infrastructure that provides the connectivity between participating agencies and the applications.
"Data Owner" means a Department of Juvenile Justice employee who is responsible for the policy and practice decisions regarding data as defined by identified by COV ITRM Standard SEC 501-.08.
"Department" means the Department of Juvenile Justice.
"Destroy" means to totally eliminate and eradicate by various methods, including, but not limited to, shredding, incinerating, or pulping.
"Dissemination" means any transfer of juvenile
record information, whether orally, in writing, or by electronic means to any
person other than an employee of a participating agency who
has a right to
the is authorized to receive the information under § 16.1-300 of the
Code of Virginia and who is not barred from receiving the information by other applicable
"Expunge" means to destroy all records concerning an individual juvenile, or all personal identifying information related to an individual juvenile that is included in aggregated files and databases, in accordance with a court order.
"Juvenile record information" means any information in the possession of a participating agency pertaining to the case of a juvenile who is or has been the subject of an action by an intake officer as provided by § 16.1-260 of the Code of Virginia, as well as to personal identifying information concerning such a juvenile in any database or other aggregated compilation of records. The term does not apply to statistical or analytical records or reports in which individuals are not identified and from which their identities are not ascertainable.
"Need to know" means the principle that a user should access only the specific information necessary to perform a particular function in the exercise of his official duties. Once access to an application is authorized, the authorized data user is still obligated to assess the appropriateness of each specific access on a need-to-know basis.
"Participating agency" means the Department of Juvenile Justice, including state-operated court service units, or any locally operated court service unit, detention home, group home or emergency shelter; or any public agency, child welfare agency, private organization, facility or person who is treating or providing services to a child pursuant to a contract with the department or pursuant to the Virginia Juvenile Community Crime Control Act as set out in Article 12.1 (§ 16.1-309.2 et seq.) of Chapter 11 of Title 16.1 of the Code of Virginia, that is approved by the department to have direct access to juvenile record information through the Virginia Juvenile Justice Information System or any of its component or derivative information systems. The term "participating agency" does not include any court.
"Remote access" means a connection to DJJ systems from a remote location other than Department of Juvenile Justice facilities.
"Telecommunication connection" means the infrastructure used to establish a remote access to DJJ information technology systems.
"Virginia Juvenile Justice Information System (VJJIS)" means the equipment, facilities, agreements and procedures used to collect, process, preserve or disseminate juvenile record information in accordance with § 16.1-224 or § 16.1-300 of the Code of Virginia. The operations of the system may be performed manually or by using electronic computers or other automated data processing equipment.
"VJJIS functional administrator" means a
Department of Juvenile Justice employee who is responsible for overseeing the
operation of a specific component of the Virginia Juvenile Justice Information
System. Such persons are sometimes referred to as "functional
proponents" of particular information reporting systems. The functional
administrator is not to be confused with the department's overall administrator
of the VJJIS.
Participating Agencies in the Virginia Juvenile Justice Information System
6VAC35-160-30. Designation as a participating agency.
A. The department, including its central administration, department-operated facilities and state-operated court service units, is considered a single participating agency for purposes of this regulation.
B. Locally operated court services units, and detention
and boot camps as defined in § 16.1-228 of the Code of Virginia shall
be participating agencies in the Virginia Juvenile Justice Information System.
C. Any other agency that is eligible to receive juvenile record information under § 16.1-300 of the Code of Virginia may apply to the department for status as a participating agency.
6VAC35-160-40. Signed memorandum of agreement and nondisclosure agreement required.
The department shall develop a
written memorandum of
agreement and a nondisclosure agreement with each other
participating agency delineating the participating agency's access to and
responsibility for information contained in the Virginia Juvenile Justice
6VAC35-160-50. Data submissions.
A. All participating agencies shall submit data and other
information as required by department
policy procedures to ensure
that juvenile record information is complete, accurate, current and consistent.
B. Administrators of participating agencies are responsible for ensuring that entries into the juvenile justice information system are accurate, timely, and in a form prescribed by the department.
C. All information entered into the Virginia Juvenile Justice Information System shall become part of a juvenile's record and shall be subject to the confidentiality provisions of § 16.1-300 of the Code of Virginia.
6VAC35-160-60. Access provided to participating agencies.
A. In accordance with
policies procedures governing
confidentiality of information and system security, the department may limit or
expand the scope of access granted to participating agencies.
B. When individuals or participating agencies are providing treatment or rehabilitative services to a juvenile as part of an agreement with the department, their access to juvenile record information shall be limited to that portion of the information that is relevant to the provision of the treatment or service. Once access to an application is authorized, the authorized data user is still obligated to assess the appropriateness of each specific access on a need-to-know basis.
C. An individual's juvenile record information shall be made available only to participating agencies currently supervising or providing services to the juvenile, and only upon presentation of the unique identifying number assigned to the juvenile. Once access to an application is authorized, the authorized data user is still obligated to assess the appropriateness of each specific access on a need-to-know basis.
6VAC35-160-70. Designation of authorized individuals.
A. Each participating agency shall determine what positions in the agency require regular access to juvenile record information as part of their job responsibilities and as documented in the employee work profile.
B. In accordance with applicable law and regulations, the
may shall require a background check of any individual
who will be given access to the VJJIS system through any participating agency.
The department may deny access to any person based on the results of such
background investigation or due to the person's violation of the provisions of
these regulations or other security requirements established for the
collection, storage, or dissemination of juvenile record information.
C. Only authorized employees shall have direct access to juvenile record information.
D. Use of juvenile record information by an unauthorized employee, or for a purpose or activity other than one for which the person is authorized to receive juvenile record information, will be considered an unauthorized dissemination.
E. Persons who are given access to juvenile record information
shall be required to sign an
agreement Information Security Agreement
in accordance with department procedure stating that they will use and
disseminate the information only in compliance with law and these regulations,
and that they understand that there are criminal and civil penalties for
6VAC35-160-90. Security of physical records.
A. A participating agency that possesses physical records or files containing juvenile record information shall institute procedures to ensure the physical security of such juvenile record information from unauthorized access, disclosure, dissemination, theft, sabotage, fire, flood, wind or other natural or man-made disasters.
B. Only authorized persons
who are clearly identified
shall have access to areas where juvenile record information is collected,
stored, processed or disseminated. Locks, guards or other appropriate means
shall be used to control access.
6VAC35-160-100. Requirements when records are automated.
Participating agencies having automated juvenile record information files shall:
1. Designate a
system administrator data owner to
maintain and control authorized user accounts, system management, and the
implementation of security measures; 2. Maintain "backup" copies of juvenile record
information, preferably off-site; 3. Develop a disaster recovery plan, which shall be
available for inspection and review by the department;
2. Develop and implement a Logical Access Procedure to prevent unauthorized access and dissemination
4. Carefully control system specifications and documentation
to prevent unauthorized access and dissemination; and 53. Develop procedures for discarding old
computers to ensure that information contained on those computers is not
available to unauthorized persons. All data must be completely erased or
otherwise made unreadable in accordance with COV ITRM Standard SEC514-03,
Removal of Commonwealth Data from Electronic Media Standard.
6VAC35-160-110. Access controls for computer security.
A. Where juvenile record information is computerized, logical
access controls shall be put in place to ensure that records can be queried,
updated or destroyed only from approved system user accounts. Industry standard
levels of encryption shall be required to protect
juvenile record information moving through any network.
B. The logical access controls
subsection A of this section shall be known only to the employees of the
participating agency who are responsible for control of the juvenile record
information system or to individuals and agencies operating under a specific
agreement with the participating agency to provide such security programs. The
access controls shall be kept under maximum security conditions secure.
C. Computer operations, whether dedicated or shared, that support juvenile record information shall operate in accordance with procedures developed or approved by the department.
D. Juvenile record information shall be stored
computer in such a manner that it cannot be modified, destroyed, accessed,
changed, purged or overlaid in any fashion except via an approved system user
6VAC35-160-130. Security of telecommunications.
Ordinarily, dedicated telecommunications lines shall be
required for direct or remote access to computer systems containing juvenile
record information. However, the The department may permit the use
of a nondedicated means of data transmission to access juvenile record
information when there are adequate and verifiable safeguards in place to
restrict access to juvenile record information to authorized persons. Industry
standard levels of encryption shall be required to protect all juvenile record
information moving through any network.
B. Where remote access of juvenile record information is
permitted, remote access devices must be secure. Remote access devices capable
of receiving or transmitting juvenile record information shall be secured
during periods of operation. When the remote access device is unattended, the
device shall be made inoperable for purposes of accessing juvenile record
.,by implementing a screen saver lockout period after a
maximum of 15 minutes of inactivity for devices as required by COV ITRM Standards
SEC 501-08. In addition, appropriate identification of the remote access
device operator shall be required.
connection facilities used in connection with the remote
access device shall also be secured. The telecommunications Telecommunication
connections facilities shall be reasonably protected from possible
tampering or tapping.
6VAC35-160-150. Correcting errors.
Participating agencies shall immediately notify the
VJJIS functional administrator data owner when it is
found that incorrect information has been entered into the juvenile justice
information system. The VJJIS functional administrator data owner
will make arrangements to correct the information as soon as practicable in
accordance with department procedures.
6VAC35-160-170. Information to be disseminated only in accordance with law and regulation.
A. In accordance with § 16.1-223 of the Code of Virginia, data stored in the Virginia Juvenile Justice Information System shall be confidential. Information from such data that identifies an individual juvenile may be released only in accordance with § 16.1-300 of the Code of Virginia, applicable federal law, and this regulation.
B. Unauthorized dissemination of juvenile record information will result in the disseminator's being subject to the administrative sanctions described in 6VAC35-160-380. Unlawful dissemination also may be prosecuted as a Class 3 misdemeanor under § 16.1-309 of the Code of Virginia or as a Class 2 misdemeanor under § 16.1-225 of the Code of Virginia.
C. Additional disclosure limitations are provided in
Health Insurance Portability and Accountability Act (42 USC §§ 1320d-5 and
1320d-6) and the federal substance abuse law (42 USC § 290dd2(f)).
Participating agencies may charge a reasonable fee for search and copying time expended when an individual or a nonparticipating agency requests juvenile record information. The participating agency shall inform the requester of the fees to be charged, and shall obtain written agreement from the requester to pay such costs prior to initiating the search for requested information.
6VAC35-160-210. Determining requestor's eligibility to receive the information.
A. Upon receipt of a request for juvenile record information, an appropriately designated person shall determine whether the requesting agency or individual is eligible to receive juvenile record information as provided in § 16.1-300 of the Code of Virginia and this regulation.
B. The determination as to whether a person, agency or institution has a "legitimate interest" in a juvenile's case shall be based on the criteria specified in § 16.1-300 A (7) of the Code of Virginia.
C. When there is a request to disseminate health records or
substance abuse treatment records, the person responding to the request shall determine
whether the requested information is protected
by the Health Insurance
Portability and Accountability Act of 1996 or by the federal law on
substance abuse treatment records (42 USC § 290dd-2 and 42 CFR Part 2), and may
consult with designated department personnel in making this determination.
Health records and substance abuse treatment records shall be disseminated only
in strict compliance with the applicable federal statutory requirements.
6VAC35-160-220. Responding to requests.
A. Once it is determined that a requestor is entitled to juvenile record information, a designated individual shall inform the requestor of the procedures for reviewing the juvenile record information, including the general restrictions on the use of the data, when the record will be available, and any costs that may be involved.
B. When the request for juvenile record information is made by an individual's parent, guardian, legal custodian or other person standing in loco parentis, the request shall be referred to designated personnel of the department. (See 6VAC35-160-230.)
C. Before beginning the search for the requested juvenile
record information, a designated individual shall inform the requester of any
fees that will be charged pursuant to 6VAC35-160-180 and shall obtain the
consent of the requester to pay any charges associated with providing the
requested information. DC. All records containing sensitive data
(e.g. name, date of birth, social security number, address) shall be encrypted
prior to electronic dissemination. Except as provided in subsection B
of this section, requested records shall be provided as soon as practicable,
but in any case within seven ten business days unless compliance
with other applicable regulations requires a longer response time. ED. If the request for information is made to a
participating agency and the participating agency does not have access to the
particular information requested, the requestor shall be so notified and
shall be told how to request the information from the appropriate source. FE. Personnel of the participating agency shall
provide reasonable assistance to the individual or his attorney to help
understand the record. GF. The person releasing the record shall also
inform the individual of his right to challenge the record. HG. If no record can be found, a statement shall
be furnished to this effect.
6VAC35-160-260. Reporting unauthorized disseminations.
A. Participating agencies shall notify the department when they observe any violations of the above dissemination regulations. The department will investigate and respond to the violation as provided in law and this chapter.
B. A participating agency that knowingly fails to report a violation may be subject to an immediate audit of its entire dissemination log and procedures to ensure that disseminations are being appropriately managed.
Challenge To and Correction of Juvenile Record Information
A. Individuals, or persons acting on an individual's behalf as
provided for by law, may challenge their own juvenile record information by
completing documentation provided by the department and forwarding it to the
proponent data owner who is responsible for the applicable component
of the the Virginia Juvenile Justice Information System as prescribed in
B. When a record that is maintained by the VJJIS is
challenged, both the manual and the automated record shall be flagged with the
message "CHALLENGED RECORD." The individual shall be given an
make provide a brief written statement
describing how the information contained in the record is alleged to be
inaccurate. When a challenged record is disseminated while under challenge, the
record shall carry both the flagged message and the individual's statement, if
one has been provided.
VJJIS functional administrator data owner
or designee shall examine the individual's record to determine if a data entry
error was made. If a data entry error is not obvious, the VJJIS functional
administrator data owner shall send a copy of the challenge form and
any relevant information to all agencies that could have originated the
information under challenge, and shall ask them to examine their files to
determine the validity of the challenge.
D. The participating agencies shall examine their source data,
the contents of the challenge, and information supplied by the VJJIS for any
discrepancies or errors, and shall advise the
VJJIS functional administrator
data owner of the results of the examination.
E. If a modification of a VJJIS record is required, the
functional administrator data owner shall ensure that the required
change is made and shall notify all participating agencies that were asked to
examine their records in connection with the challenge.
F. Participating agencies that, pursuant to 6VAC35-160-220, have disseminated an erroneous or incomplete record shall in turn notify all entities that have received the erroneous juvenile record information as recorded on the agency's dissemination log.
G. The participating agency that received the challenge shall notify the individual or person acting on the individual's behalf of the results of the challenge and the right to request an administrative review and appeal those results.
6VAC35-160-290. Administrative review of challenge results.
A. If not satisfied with the results of the challenge, the
individual or those acting on his behalf may, within 30 calendar days,
request in writing an administrative review of the challenge by the Director of
Department of Juvenile Justice department.
B. Within 30 days of receiving the written request for the
administrative review, the Director of the
Department of Juvenile Justice
department, or a designee who is not the VJJIS functional
administrator data owner who responded to the challenge, shall
review the challenge, the findings of the review and the action taken by the VJJIS
functional administrator data owner. If the administrative review
supports correction of the juvenile record information, the correction shall be
made as prescribed above.
6VAC35-160-300. Removal of a challenge designation.
When the challenge to the juvenile's record
has been resolved is determined to be correct, either as a result
of a challenge or an administrative review of the challenge, the VJJIS
functional administrator data owner shall notify the affected
participating agencies to remove the challenge designation from their files.
6VAC35-160-310. Expungement requirements.
When a court orders the expungement of an individual's juvenile records, all records and personal identifying information associated with the expungement order shall be destroyed in accordance with the court order. Nonidentifying information may be kept in databases or other aggregated files for statistical purposes.
6VAC35-160-320. Notification to participating agencies.
VJJIS functional administrator data owner
shall notify all participating agencies to purge their records of any reference
to the person whose record has been ordered expunged. The notification shall
include a copy of the applicable court order, along with notice of the
penalties imposed by law for disclosure of such personal identifying
information (see § 16.1-309 of the Code of Virginia).
6VAC35-160-330. Procedures for expunging juvenile record information.
A. Paper versions of records that have been ordered expunged shall be destroyed by shredding, incinerating, pulping or otherwise totally eradicating the record.
B. Computerized versions of records that have been ordered
expunged shall be deleted from all databases and electronic files in such a way
that the records cannot be accessed or recreated through ordinary use of any
equipment or software that is part of the Virginia Juvenile Justice Information
System and in accordance with the ITRM SEC 514-03
Removal of Electronic Data from Electronic Media standard.
C. If personal identifying information concerning the subject individual is included in records that are not ordered expunged, the personal identifying information relating to the individual whose records have been ordered expunged shall be obliterated on the original or a new document shall be created eliminating the personal identifying references to the individual whose record has been ordered expunged.
6VAC35-160-340. Confirmation notice required to
functional administrator data owner.
Within 30 calendar days of receiving expungement
instructions from the
VJJIS functional administrator data owner, the
participating agency shall expunge the juvenile record information in
accordance with 6VAC35-160-330 and shall notify the VJJIS functional
administrator data owner when the records have been expunged. The
notification to the VJJIS functional administrator data owner
shall indicate that juvenile records were expunged in accordance with court
order and shall not identify the juvenile whose records where expunged.
6VAC35-160-350. Expungement order received directly by participating agency.
When a participating agency receives an expungement order
directly from a court, the participating agency shall promptly comply with the expungement
order in accordance with 6VAC35-160-330 and shall notify
functional administrator data owner of the court-ordered
expungement. The VJJIS functional administrator shall data owner,
upon receipt of such notification, shall contact the appropriate court and
determine the validity of the notification. obtain a copy of the order
from the appropriate court.
Disposition of Records in the Juvenile Justice Information System
6VAC35-160-355. Record retention.
All records in the Virginia Juvenile Justice Information
System shall be retained and disposed of in accordance with the applicable records
retention schedules approved by the Library of Virginia. When a participating
agency or a unit of a participating agency disposes of records in the physical
possession of the participating agency or the unit of a participating agency,
the person who disposes of such records shall notify the
administrator data owner to remove that same information from VJJIS.
6VAC35-160-360. Oversight by the Department of Juvenile Justice.
Department of Juvenile Justice department
shall have the responsibility for monitoring compliance with this chapter and
for taking enforcement action as provided in this chapter or by law.
B. The department shall have the right to audit, monitor, and inspect any facilities, equipment, software, systems or procedures established pursuant to this chapter.
6VAC35-160-390. Annual report to the board. The department shall annually report to the board on the
status of the Juvenile Justice Information System, including a summary of (i)
any known security breaches and corrective actions taken; (ii) any audits
conducted, whether random or for cause; and (iii) any challenges received
alleging erroneous information and the outcome of any investigation in response
to such a challenge.