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A. THE TWO TRACKS FOR CPS IN THE MULTIPLE RESPONSE SYSTEM
B. ASSIGNMENT OF THE REPORT TO THE INVESTIGATIVE OR FAMILY ASSESSMENT RESPONSE
C. INITIATING WITHIN THE APPROPRIATE TIME FRAME
D. CHECKING AGENCY RECORDS, CENTRAL REGISTRY RECORDS AND ADMINISTRATIVE OFFICE OF THE COURTS RECORDS
E. CONDUCTING A CPS ASSESSMENT
F. SAFETY ASSESSMENT AND SAFETY RESOURCES
G. REASSIGNMENT OF CASES (SWITCHING RESPONSES)
H. COLLATERALS AND OTHER CONTACTS
1. Multiple Response System, North Carolina’s child welfare reform, began in 2001 as a pilot demonstration in ten North Carolina county Departments of Social Services: Alamance, Bladen, Buncombe, Caldwell, Craven, Franklin, Guilford, Nash, Mecklenburg, and Transylvania.
2. In 2003, forty-two more counties began piloting MRS. As of January 1, 2006, MRS became statewide in North Carolina with MRS in all 100 counties. The child welfare system reform is based upon the application of family-centered principles of partnership through seven strategic components of MRS.
One of the primary strategies of MRS is the ability to assign CPS Assessments to one of two “tracks” based on the allegations found in the report. The term “CPS Assessment” refers to all CPS Assessments, regardless of which “track” is used. The term “Investigative Assessment” is used for those cases that are approached through the Investigative Assessment track, and the term “Family Assessment” is used for those cases that are approached through the alternative, or Family Assessment, track.
Note: The choice of two approaches to reports of child abuse, neglect, or dependency protects the safety of children by not treating all reports in the same way, and missing some clear need for immediate action; engaging families in services that could enable them to better parent their children; focusing on the family’s strengths, supports, and motivation to change; and, better serving many of the families reported to CPS by helping rather than “punishing” them.
3. Many of the requirements for conducting a CPS Assessment are applicable for both Investigative Assessments and Family Assessments. Below, the common policies for conducting a CPS Assessment are addressed. The agency task in a CPS Assessment is to gather sufficient information through interviews, observations and, when appropriate, analysis of reports, medical records, photographs, etc. in order to assess:
• Whether the facts identified through a structured gathering of information support the substantiation that a child is abused, neglected, or dependent as defined by statute and the extent of the abuse and neglect; or
• If through observation and the gathering of information it is determined that due to the level of risk, the family is in need of services;
• Whether the specific environment in which the child is found meets the child's need for care and protection;
• The safety of the child and the potential for risk of harm during the CPS Assessment period; and
• What actions might be needed to assure the safety of the child?
1. N.C.G.S. § 7B-300 states that each county of the state may use either the Family Assessment or Investigative Assessment response to assess reports of abuse, neglect and dependency.
It further states that with the exception of certain reports that must be taken as an Investigative Assessment, it will be up to each county DSS director, or his designee, to choose which response will be used to assess reports of abuse, neglect, and dependency.
2. All reports of abuse must be taken as an Investigative Assessment.
3. In addition, the following types of neglect reports must also be taken as Investigative Assessments:
• a child fatality when there are surviving children in the family,
• a child in custody of local DSS, family foster homes, residential facilities, and child care situations,
• a child taken into protective custody by physician or law enforcement, pursuant to N.C. G.S. § 7B-308 & N.C.G.S. § 7B-500.
• the medical neglect of disabled infants with life threatening condition, pursuant to Public Law 98-457 (Baby Doe)
• a child hospitalized (admitted to hospital) due to suspected abuse/neglect
• abandonment (excludes Safe Surrender)
• the suspected or confirmed presence of a methamphetamine lab where children are exposed
• a child less than a year who has been shaken or subjected to spanking, hitting or other form of corporal punishment
4. Abandoned Infants-Infant Homicide Act / Safe Surrender (see Chapter VIII; Section 1411 - Safe Surrender) This law also provides that a parent may voluntarily deliver an infant less than seven days old into the temporary custody of a health care provider, a law enforcement officer, a social worker, or any adult. This portion of the law decriminalizes abandonment of an infant when the parent voluntarily delivers the child to one of the above listed individuals.
The individual who takes an infant into temporary custody shall perform any act necessary to protect the physical health and well-being of the infant and shall immediately notify the department of social services or a law enforcement agency.
In cases of abandonment, the department of social services shall request law enforcement to investigate through the NC Center for Missing Persons and other national and state resources as to whether or not the child is a missing child. These cases should be accepted as dependency cases.
1. All reports shall be assessed and assigned promptly in order to ensure that face to face contact is initiated within the timeframes mandated by law.
The first step in the decision-making process after agency jurisdiction has been established is to determine the immediacy of response necessary within the statutory time frames.
N.C.G.S. § 7B-302 states that the county director shall promptly initiate a CPS Assessment of suspected abuse, neglect, or dependency. The director shall initiate a CPS Assessment of suspected abuse within 24 hours after receiving a report and shall initiate a CPS Assessment of most suspected neglect or dependency within 72 hours after receiving the report. The priority decision-making tool should be used to determine the appropriate time frame for initiation of all reports.
These time frames are guidelines and indicate the maximum time limit for initiating CPS Assessments. Each referral is evaluated to determine the perceived risk to the child's safety, the urgency of the situation, and the priority of the report.
When a report is received and any high-risk situation is alleged, the agency must take immediate action to see the child, assess the situation and take whatever action is necessary to protect the child. Each CPS report shall be assessed to determine the need for an immediate response to ensure the safety of the child.
2. Immediate Response
The agency shall respond immediately when a report is determined to be a high-risk situation as a result of abuse, neglect or dependency. High-risk situations which require immediate response include but are not limited to:
• a child at imminent risk of harm resulting from neglect;
• physical abuse of a preschool child;
• a child under the age of six is left alone;
• a child being sexually abused;
• a child being tormented or tortured;
• a child in a life threatening situation;
• a child under the age of 12 who self-refers or refuses to go home;
• a report of a child’s death as a result of maltreatment and there are other children present in the home or if it is unknown if there are other children; and
• all reports of abandonment (The 2001 Legislative session ratified Session Law 2001-291 (HB-275) to change the time frame for responding to all child protective services reports of abandonment which falls under the neglect statute from the 72 hours for initiation to immediately initiating an Investigative Assessment. The law also requires that the department of social services immediately take appropriate steps to assume temporary custody of the child and take the appropriate steps to obtain a non-secure custody court order); and
• anytime the agency determines that an immediate response is indicated.
If response to a high-risk situation is not immediate, there shall be documentation to reflect diligent efforts made and to show adequate follow up response to protect the child.
Every effort should be made to assign reports promptly so that adequate time is given to the CPS Assessment social worker to adjust their work schedule in order to initiate the CPS Assessment within the appropriate time frame.
1. As a part of a thorough CPS Assessment, the agency shall:
• review its Children's Services records for previous contact with the family; and
• conduct a Central Registry check unless the agency has conducted such a check in the 60 days prior to the new report, or the agency is providing ongoing children's services to the family.
This step is important because it provides information that will help the social worker determine if the reported situation represents a pattern of abuse and neglect. When assessing the family and trying to determine the most appropriate services, the social worker should consider the past history of abuse or neglect as well as other reported incidents.
Note: It is not acceptable to conduct the Central Registry check during the screening process and prior to the decision to accept the report for a CPS Assessment. (See Section Chapter VIII; Section 1407 - Structured Intake)
2. The Division of Social Services has a contract with the Administrative Office of the Courts (AOC) that provides access to the Automated Criminal/Infraction System (ACIS). This contract provides county Departments of Social Services the opportunity to ensure the safety of children by allowing DSS the capability to conduct criminal records checks on foster and adoptive parents, potential social workers, parents, guardians, custodians, and caretakers substantiated for abuse, neglect, or dependency, caregivers under CPS Assessments, and caregivers responsible for children in Foster Care.
Access to the ACIS system allows DSS to immediately determine the legal status of all adults with/without criminal records and/or pending charges in North Carolina. All DSS agencies should have staff trained to conduct criminal record checks on foster and adoptive parents, potential social workers, parents, guardians, custodians, and caretakers substantiated for abuse, neglect, or dependency, caregivers under CPS Assessment, caregivers responsible for children in foster care, and on possible kinship providers.
This criminal record check is not a substitute for a fingerprint based check or legally binding criminal record check that can be verified with a seal from the Clerk of Court, but it is a tool that provides the agency the opportunity to perform inquiries of all adults regarding criminal records and or pending charges in North Carolina.
During the course of a CPS Assessment, DSS should check for criminal records for all adults living in the home.
All individuals with access to the ACIS have been granted access to the Civil Case Processing System (VCAP). The VCAP system contains information on civil actions that range from case initiation to disposition. This system is a great tool for county departments of social services to utilize particularly for checking the existence of custody orders, domestic violence protective orders or child support orders. VCAP is not able to provide a narrative on what are the particular conditions of a civil order. If, for example, a user was able to identify that there is an existing domestic violence protective order (50B order), the social worker would still need to contact the Clerk of Court in order to access and determine the conditions of the order. Information on navigating the VCAP system can be found within the Civil Case Processing System Public Access User Manual.
1. Family-Centered Practice
Family-centered practice and the concept of involving parents in decision making throughout service provision can be challenging at times. It is important to remember that every interaction with the family is an opportunity to make a connection.
It is important to take the time to engage the family, recognize the family’s strengths, help the family with transitions, give the family choices, pay attention to the words used when interacting with families, and make an effort to act as a change agent, not as an authority figure. Families should never be pressured or coerced into signing Safety Responses or In-Home Family Services Agreements. Family members should be made to feel their involvement and participation throughout the life of the case is crucial and that their feedback is valued.
Being family centered is a step toward culturally competent practice and is the foundational philosophy of the NC System of Care. Culturally competent practice is a principle of the System of Care. An example of this practice should be initially asking how the family sees themselves. This allows the family to describe their race, ethnicity, culture, and/or values.
A benefit of using a System of Care framework within family-centered practice is the ability to establish mutual goals with the family and community partners together. Family-centered practice is applicable to both Family Assessments and Investigative Assessments.
Conducting the CPS Assessment in keeping with System of Care principles can also be seen when social workers support parents in their efforts to care for their children in ways that assure safety and well-being. This is accomplished by the mutual establishment of goals, including community partners as well as the family. The agency should be careful that any scheduling of meetings/appointments should accommodate the child and family whenever possible.
2. Face-to-Face Contact
The sequence in which the children and parents/primary caretakers are seen at the initiation of a CPS assessment vary and are described within this section under “Conducting a Family Assessment” and “Conducting an Investigative Assessment.”
A report involving allegations of Domestic Violence should involve a different sequence in which the children and parents/caretakers are seen at initiation of a CPS Assessment. For more information on Domestic Violence see Chapter VIII; Section 1409 - Domestic Violence.
Interviews during the CPS Assessment shall be conducted in the sequence least likely to cause further risk to the alleged victim, or there shall be documentation that reflects the rationale for the sequence in which the interviews were conducted.
Indian Child
It is important to ask if the child is a member of an Indian tribe or is eligible for membership. The Indian Child Welfare Act (ICWA) applies to federally recognized Indian tribes within child custody proceedings. If an American Indian child is the identified victim child, it remains the responsibility of the county department of social services to complete the CPS Assessment as well as provide CPS In-Home Services if applicable. For additional information on how to proceed if placing an Indian child, please refer to Chapter IV; Section 1201; IV – Placement Decision Making.
Having knowledge of a child’s Indian tribe membership whether a state recognized or federally recognized tribe is important for assurance of culturally competent practice as well as for possible future placement planning.
Interview with the Children
10A NCAC 70A .0105 states: “Initiation of an ‘investigation’ is defined as having face to face contact with the alleged victim child or children. If there is not such face-to- face contact within the prescribed time period, the case record shall contain documentation to explain why such contact was not made and what other steps were taken to assess the risk of harm to the child or children.”
In all reports accepted for a CPS Assessment, face-to-face interviews shall be conducted with all alleged victim children within the statutory time requirements, or there shall be documentation to reflect diligent efforts made to see the child within these timeframes and documentation that the child was seen as soon as possible.
Based on N.C.G.S. § 7B-302 (b), all children living in the home, in a non-institutional setting, shall be considered as alleged victim children when there is any allegation of abuse, neglect or dependency. Therefore, initiation of a CPS Assessment includes face-to-face interviews with all children living in the home.
It is important to see the children living in the home as soon as possible in order to assess their conditions, to gain a perspective as to the level of immediate safety and continuing risk, and to determine whether the agency needs to take steps to assure the children's safety during the assessment period. The assurance of safety to the children may include assuming temporary custody or filing a petition for non-secure custody.
In those rare instances when the child is not seen during the initial period, a visit with the child must take place before the CPS Assessment is completed and the case decision is made.
Part of the CPS Assessment must include a determination of who the supports are for the family. Children and youth are valuable sources of information on the involvement of noncustodial parents, kin, or other supports to them and their family.
Effective interviewing strategies and techniques shall be used which are appropriate to the child’s developmental level. Documentation shall explain the inability to interview the child. If a child has the capacity for speech, the child must be interviewed.
Unable To Locate
When the agency is unable to initiate the CPS Assessment within the prescribed time because the alleged victim child cannot be located, the director shall make diligent efforts to locate the child until such efforts are successful or until the agency concludes that the child cannot be located. Diligent efforts shall include, but are not limited to, visits to the child's address at different times of the day and on different days. All efforts to locate the child shall be documented in the case record (10A NCAC 70A.0105.) See item IV entitled “Diligent Efforts to Initiate Case” of the Structured Documentation Instrument for CPS Assessments - Part I (DSS-5010) If the agency concludes that the child cannot be located, the report should be Unsubstantiated (in an Investigative Assessment) or found Services Not Recommended (in a Family Assessment) and closed. Per the Services Information System (SIS) Manual, the time spent should be coded as a 220 activity on the worker’s day sheet.
Interview with Parents/Primary Caretakers and Family Contacts
Face-to-face interviews with the parents or primary caretakers with whom the child resides shall be conducted the same day the child is seen. If interviews are not conducted on the same day as the child is seen, there shall be documentation to reflect diligent efforts made or rationale for delaying the interview that does not compromise the safety of the child.
Notifying the alleged perpetrator of the complaints or allegations is required at first contact. Section 106 (b)(2)(A)(xviii) of the Child Abuse Prevention and Treatment Act (CAPTA) requires that DSS notify the individual of the complaints or allegations made against him or her at the time of contact regardless of how that contact is made. This is dependant upon the social worker being certain that they are speaking to the person who is named in the report. If the social worker cannot be certain to whom they are speaking, specific allegations shall not be discussed in order to protect the confidentiality of the family.
For instance, if the first contact is over the phone, and the social worker is certain that the person to whom they are speaking is the person in the report, then they must advise them of the allegations of the report. If, on the other hand, they cannot be sure to whom they are speaking, they will not divulge the specific allegations.
An interview with the parents or primary caretakers with whom the child resides is an essential step in the CPS Assessment process. It allows the social worker to assess the allegations reported, assess the safety issues, and determine future risk or caretakers’ willingness and capacity to protect the child.
Face-to-face interviews with non-primary caretakers known to be living in the child's household shall be conducted within seven days of initiating the CPS Assessment, or there shall be documentation to reflect efforts made.
Sometimes extended family members, friends, or a second family unit reside in the same household. These or other appropriate individuals who live in the household should be interviewed within seven days of initiating the CPS Assessment. This is important because these individuals may have knowledge of the allegations through observation or they may have a significant relationship with the child. Except in very unusual circumstances, everyone living in the household should be interviewed or there should be documentation to reflect efforts made. One example where this might not be appropriate would be in a transient shelter.
Absent/Noncustodial Parents
An absent parent, often described as a non-custodial parent, is a parent that does not typically live in the home where the child neglect, abuse, or dependency allegations are being assessed. The agency must make diligent efforts to contact that parent and get their input on the allegations as well as the overall safety and risk in the home. Discuss with the absent/non-custodial parent the level of their involvement with their child, and discuss if their relatives may be a resource in supporting the child. If the absent/non-custodial parent or their family is not involved in the child’s life, it may be beneficial to ask what it would take for them to become involved.
At times, the custodial parent may report that the absent/non-custodial parent has not been involved with the child to limit the absent/non-custodial parent’s interactions in the CPS Assessment. This may provide a good opportunity to discuss the parent’s relationship with each other as well as information about the absent/non-custodial parent’s last contact with the child and what the quality of the contacts has been. The child may also be able to report on their own relationship with the absent/non-custodial parent as well as their contacts.
It should be noted that there are situations in which contacting the absent/non-custodial parent may aggravate the risk of harm to the child or to the custodial parent. If this is the case, there shall be specific information about the risk of harm documented in the case record to state the reasons why it was not in the best interest of the child’s and/or custodial parent’s safety to contact the absent parent. If not, a social worker must continue to complete their diligent efforts to contact the absent/non-custodial parent. If this absent parent cannot be located, the record shall include documentation showing what efforts have been made to locate him/her.
3. Home Visits
The home where the alleged victim child resides shall be visited during the CPS Assessment, or there shall be documentation to reflect diligent efforts made.
N.C.G.S. § 7B-302(a) states: “The assessment and evaluation shall include a visit to the place where the juvenile resides, except when the report alleges abuse or neglect in a child care facility as defined in Article 7 of Chapter 110 of the General Statutes. When a report alleges abuse or neglect in a child care facility as defined in Article 7 of Chapter 110 of the General Statutes, a visit to the place where the juvenile resides is not required.”
A home visit provides firsthand knowledge of the home environment and observations of family interactions in their everyday setting. The home visit allows an assessment of the physical environment, problems and resources within the neighborhood, and family access to community and family resources. If the allegations are made against the noncustodial parent, a home visit must also be made to that home.
The home visit should address fire safety. The DSS should work with other agencies to ensure that all home visiting personnel address fire safety and the importance of working smoke detectors in the homes they visit. Discussions with the family should include development or review of a fire safety plan with the family. The case record must contain documentation that fire safety has been discussed with the family.
Furthermore, according to N.C.G.S. § 7B-302(h), the DSS representative may not enter a home without at least one of the following:
• The reasonable belief that a juvenile is in imminent danger of death or serious physical injury.
• The permission of the alleged victim child’s parent or person responsible (ADULT) for the juvenile’s care.
• The accompaniment of a law enforcement officer who has legal authority to enter the residence.
• An order from a court of competent jurisdiction.
The provision of child protective services, including visiting and interviewing the child in his home, with the parent’s permission must not infringe upon Fourth Amendment rights. Securing parental consent is vital. Efforts to secure voluntary consent should never be coercive. The CPS Assessment social worker should explain their role and express the desire to interview the child in order to assess safety, risk, and the strengths and needs of the family.
It is important to remember that the ability to interview children at school or childcare facilities has not been compromised. Schools and child care facilities are not private residences. The Fourth Amendment to the U.S. Constitution reads as follows, “The right of the people to be secure in their persons, houses, papers, and effects, against unreasonable searches and seizures, shall not be violated, and no Warrants shall issue, but upon probable cause, supported by Oath or affirmation, and particularly describing the place to be searched, and the persons or things to be seized.”
4. Ongoing Contact during a CPS Assessment
Until the case is closed or transferred, the agency shall maintain sufficient contact during the CPS Assessment to:
• ensure the safety of the child;
• assess ongoing risk;
• monitor the effectiveness of the safety response; and
• ascertain family strengths.
Documentation should reflect diligent efforts made to have frequent contact or the basis for what the agency considers as sufficient contact.
5. Using Drug Screens
In cases where there is reason to suspect that substance abuse is a contributory factor in the safety and risk of child, a drug screen can be requested of the caretaker. A positive drug screen alone is not an indication of substance abuse or dependency, just as a negative drug screen alone does not indicate of a lack of substance abuse or dependency issues. Situations in which drug screening is appropriate may include, but are not limited to:
a. To identify or eliminate contributory factors in the assessment of risk during the Family or Investigative Assessment;
b. To help a parent/caretaker overcome denial and agree to seek treatment;
c. To monitor compliance when the parent/caretaker is not enrolled in a treatment program that does its own screening.
However, there should be no statements that would lead the caretaker to feel coerced, or under duress. This includes making statements such as “If you don’t agree to the take the test, I will have to remove your children” or “If you refuse to take the test, it will be considered a positive result.” Even implying this is considered coercive.
When a drug screen is indicated and the caretaker agrees, that caretaker should be referred to a certified laboratory for both collection and testing in order to protect the integrity of the test. Under no circumstances should DSS staff administer drug testing.
Note: Time lapse is a factor in drug and/or alcohol screening. Alcohol is rapidly metabolized. Blood or urine alcohol screens must be done promptly if there is concern about this substance that cannot be verified objectively by observation of behavior, detection of alcohol on the breath, etc. The amount of time a drug remains in the body depends on how much was taken of a particular drug and the metabolism of the individual.
6. Reports/Allegations during a CPS Assessment
All allegations, whether contained in the original report or uncovered during the course of the CPS Assessment, shall be documented and addressed and any potential risk to the child shall be thoroughly assessed.
If a report is received that describes the exact, same allegations and incidents that are currently being assessed, the information shall be documented in the case record. All information gathered during the fact-finding process shall be incorporated into one case decision and one Report to the Central Registry / CPS Application (DSS-5104). All required structured assessments shall be completed. All individuals making reports shall receive the required notices.
Any new allegation and/or incident that meets the legal definitions of abuse, neglect or dependency received from the public during the course of an open CPS Assessment (i.e., not uncovered by the social worker as a part of the CPS Assessment) is to be documented and must be responded to within the legal time frames to assess the safety of the child. All other appropriate standards must be met to ensure the safety of the child.
This information shall be considered in making the case decision and in the process of case planning with the family. All information gathered during the fact-finding process shall be incorporated into one case decision and one Report to the Central Registry / CPS Application (DSS-5104). All required structured assessments shall be completed. All individuals making reports shall receive the required notices.
It is possible to find evidence during either a Family Assessment or an Investigative Assessment that a child may have been abused by a parent, guardian, or caretaker. After finding evidence that a child may have been abused by a parent, guardian, or caretaker, the agency shall:
• give immediate verbal notification to the district attorney or his designee;
• send subsequent written notification to the district attorney within 48 hours;
• give immediate verbal notification to the appropriate local law enforcement agency; and
• send subsequent written notification to the appropriate local law enforcement agency within 48 hours.
The report shall include:
• The name and address of the child, of the parents; or
• The perpetrator when this person is different from the parents or caretaker;
• Whether the abuse was physical, sexual, or emotional;
• The dates that the CPS Assessment was initiated and that the evidence of abuse was found;
• Whether law enforcement has been notified and the date of the notification;
• What evidence of abuse was found;
• What plan to protect the child has been developed and what is being done to implement it.
"Evidence of abuse" means factual information including but not limited to credible statements of the child, parents, and/or other persons, observations of the social worker, records, photographs, x-rays, medical reports,
1. Safety Assessment.
A North Carolina Safety Assessment shall be developed to address the safety issues and the caregiver's capacity to ensure safety for the children. The North Carolina Safety Assessment (DSS-5231) shall be completed and documented at the following intervals:
• at the time of the initial home visit, and prior to allowing the child to remain in the household;
• prior to the case decision;
• prior to the removal of a child from the home;
• prior to the return home in cases where the caregiver temporarily places the child outside the home as a part of the safety response;
• at any point a new report is received;
• at any other point that safety issues are revealed.
(This may mean completing more than one North Carolina Safety Assessment if needed.)
The North Carolina Safety Assessment shall include the caregiver's signature(s) and a copy of the North Carolina Safety Assessment shall be provided to the caregiver(s) upon completion. A Safety Response shall be completed whenever any unsafe factor is present. The Safety Response shall specify what interventions the agency and any identified safety resource will make to ensure the safety of the children. Whenever a safety resource is obtained, the safety resource shall also sign and receive a copy of the North Carolina Safety Assessment.
During the initial contact, the social worker will conduct a safety assessment. The North Carolina Safety Assessment (DSS-5231) form will be used to document the assessment. If a child is not safe or found to be conditionally safe, the social worker shall develop the safety response with the parent or caregiver and any other safety resource identified to assure safety or shall file a petition for juvenile court intervention.
The instructions on the safety assessment tool state that no signature is required unless there is a finding of conditionally safe or unsafe. No signature is required if no safety factors have been identified. It is also important to remember that in the practice of family-centered social work, asking the parents if they desire to sign off on the findings of an assessment that they willingly participated in is an appropriate method of maintaining their engagement in the assessment process. As such, social workers should ask parents to sign off on safety assessment tools that document no identified safety factors, and do not require a safety response if the parents desire to do so.
Just having an allegation does not necessarily warrant a Safety Response. Therefore it is not appropriate to document the mere existence of an allegation as a safety factor. During the social worker’s assessment, the safety assessment tool is used to evaluate safety. If there is no information that indicates the allegation is valid – it does not become a part of the Safety Response. Families are not to be coerced into signing documents simply because of allegations. Safety Responses are used when it is determined there is evidence of safety issues, not merely allegations. If a social worker attempts to “cover the waterfront” with a blanket factor that simply lists the allegations and has families “agree” with a Safety Response, the commitment to family-centered practice is compromised, and families alienated.
Social workers should think about how they would want a safety assessment tool completed on their own families. Only identified safety issues should be addressed.
2. Temporary Safety Placements
If, at any time during the assessment process it is decided that a child must be placed outside the home to insure safety, the local DSS will assess the Safety Resource and their home. This Safety Resource should be someone that both parents and the social worker agree will safely care for the child. In choosing someone to fill this need, the social worker should discuss some of the items mentioned in the Kinship Care Initial Assessment as indicated in the table below.
Situation #1
Table #1 lists those steps that the CPS Assessment social worker should follow when the Safety Resource that is identified lives in the county that is conducting the assessment or in another county that is within driving distance of the that county.
Once the Safety Resource is identified, a check of the CPS Central Registry must be conducted and the formal Kinship Care Initial Assessment, which includes a home visit, must be completed with that person.
It is appropriate to check the ACIS for any criminal charges or convictions in North Carolina through the AOC database as well as for civil actions such as a domestic violence protective order within the Civil Case Processing System (VCAP).
An assessment of the Safety Resource's home environment must take place prior to the child being left in the care of the Safety Resource.
While the Kinship Care Initial Assessment (DSS-5203) states that the assessment may be completed within 24 hours, when use of a Safety Resource is required, the Kinship Care Initial Assessment must be completed before the child is left in the care of the Safety Resource. The Kinship Care Initial Assessment should be followed by the full Kinship Care Comprehensive Assessment (DSS-5204) within 30 days if the child continues in the care of the Safety Resource.
Agencies must ensure easy access to the CPS Central Registry so that information on possible prior abuse and neglect can be obtained. Supervisory personnel can be invaluable in such circumstances, obtaining and providing the information to the social worker at the time of the Kinship Care Initial Assessment.
If the proposed Safety Resource lives in another county and is within driving distance, the social worker conducting the CPS Assessment should conduct the Kinship Care Initial Assessment including making a visit to the home of the Safety Resource, or assistance should be requested from the safety resource county of residence. The social worker should speak with the Safety Resource after the parent has gained this person's agreement to care for the child.
The resource must be informed that a social worker will need to make a home visit to conduct the Kinship Care Initial Assessment. The social worker must ask the Safety Resource's county for permission to enter the county for the purposes of conducting the home visit and Kinship Care Initial Assessment. If the parent is unable to travel with the social worker and child, the social worker should first seek written permission from the parent to transport the child alone. If written permission is not available, verbal permission must be obtained. The parent should accompany the social worker to the home of the Safety Resource whenever possible.
Table #1
Situation The agency has received a valid CPS Report |
Responsibility of County Conducting the CPS Assessment |
Responsibility of County where Safety Resource Resides |
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Parent identifies Safety Resource living in same county, or parent identifies Safety Resource who lives in another N.C. county that is within driving distance of the county conducting the CPS Assessment. The social worker should inform the parent about what the DSS considers necessary elements in a Safety Resource. Since the parent is likely to be in crisis, the social worker may also need to help the parent identify and evaluate options. The criteria to be evaluated are: • Resource is willing to provide care and age-appropriate supervision to the child • Has sufficient financial resources to meet the child’s basic and immediate needs • Will protect the child from maltreatment; will report indictors of further maltreatment to DSS • Child will have reasonably private sleeping space • Home is free of objects and conditions which constitute obvious fire or safety hazards • Home has functional plumbing • No resident of household has criminal history that precludes family caring for child • No resident of household has history of substantiation/services needed. • Alcohol/drug use by family members, if any does not present a risk of harm to the child • Caregivers are mentally and physically able to provide appropriate care |
1. Have parent contact the safety resource to determine if he/she is willing to provide temporary care for the child. If so, inform them that a visit by the social worker conducting the CPS Assessment will be required in order to assess the placement. 2. Check Central Registry for proposed caregiver’s history of substantiations/ services needed 3. Request permission to enter the county in order to conduct assessment of safety resource. (Contact on-call worker after business hours, contact agency CPS staff during working hours.) 4. Make a home visit to the proposed resource with the parent and child and conduct the Kinship Care Initial Assessment. If parent is unwilling or unable to accompany the social worker, the social worker should first seek written permission from the parent to transport the child alone. If written permission is not available, verbal permission must be obtained. 5. If the placement cannot be approved, and/or the caregiver cannot identify an appropriate Safety Resource, take the child into temporary custody and file a petition for non-secure custody. |
1. Provide any relevant information that is known about the proposed Safety Resource, which could affect the safety of the child. 2. Approve the social worker from the county conducting the CPS Assessment to enter their county to assess the Safety Resource. |
Situation #2
Table #2 provides steps to take if the Safety Resource lives in another county and does not live within driving distance of the county conducting the CPS Assessment. The social worker should speak with the Safety Resource after the parent has gained the resource's agreement to care for the child. The resource must be informed that a social worker from the resource's county must make a home visit and conduct the Kinship Care Initial Assessment. The resource must also be informed that the other social worker will be contacting the resource within a short time to make the visit and complete the assessment.
The social worker conducting the CPS Assessment should then contact the agency where the Safety Resource lives to arrange for a social worker from the county where the Safety Resource lives to make an immediate home visit and conduct the Kinship Care Initial Assessment.
The social worker conducting the CPS Assessment must remain with the child until the other county's social worker calls providing information about the person's suitability to care for the child. If the home visit and Kinship Care Initial Assessment are positive, the social worker conducting the CPS Assessment will ask the Safety Resource to come for the child. If the social worker in the county where the Safety Resource resides finds that the Safety Resource is not suitable, another Safety Resource must be identified by the parent. If the parent cannot identify another Safety Resource, temporary custody of the child should be taken and a petition filed by the county conducting the CPS Assessment for non-secure custody.
Table #2
Situation The agency has received a valid CPS Report |
Responsibility of County Conducting the CPS Assessment |
Responsibility of County where Safety Resource Resides |
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Parent identifies Safety Resource that lives in another N.C. county but is not within driving distance. The social worker should inform the parent about what the DSS considers necessary elements in a Safety Resource. Since the parent is likely to be in crisis, the social worker may also need to help the parent identify and evaluate options. The criteria to be evaluated are: • Resource is willing to provide care and age-appropriate supervision to the child • Has sufficient financial resources to meet the child’s basic and immediate needs • Will protect the child from maltreatment; will report indictors of further maltreatment to DSS • Child will have reasonably private sleeping space • Home is free of objects and conditions which constitute obvious fire or safety hazards • Home has functional plumbing • No resident of household has criminal history that precludes family caring for child • No resident of household has history of substantiations/services needed. • Alcohol/drug use by family members, if any does not present a risk of harm to the child • Caregivers are mentally and physically able to provide appropriate care |
1. Have parent contact the Safety Resource to determine if he/she is willing to provide temporary care for the child. 2. The social worker should speak to the potential resource person stating that a social worker from the county where they reside must make a home visit and conduct an assessment, and that this social worker would be calling them shortly. 3. Check Central Registry for proposed caregiver’s history of substantiations/services needed. 4. Contact the county DSS where the resource home is located and request an immediate home visit and assessment. The social worker must remain with the child until the other county calls providing information about the suitability of the placement. 5. If the placement is suitable, arrange for the resource person to come to pick up the child 6. If the placement is not suitable, and the parent is unable to identify a suitable safety resource, take the child into temporary custody and file a petition for non-secure custody. |
1. Provide any relevant information that is known about the proposed Safety Resource, which could affect the safety of the child. 2. Contact identified Safety Resource prior to conducting home visit. 3. Conduct the Kinship Care Initial Assessment at the proposed Safety Resource home. 4. Immediately notify the assessing county regarding the suitability of the resource home. |
Situation #3
Table #3 provides steps to take in cases where a family is found in North Carolina and a CPS issue is present, but the family names a Safety Resource that resides in another state that is within driving distance of the county conducting the CPS Assessment.
The social worker conducting the CPS Assessment should contact the other state to obtain permission to enter that state to conduct the Kinship Care Initial Assessment and to enter that state with the child.
The NC social worker should then make the home visit and conduct the Kinship Care Initial Assessment. If the parent is unwilling or unable to accompany the social worker and child to the Safety Resource, the social worker should obtain the parent's written permission to transport the child alone. If written permission is not obtained, verbal permission must be obtained. If there is an indication that the Safety Resource is not appropriate, and the parent cannot identify another Safety Resource, a petition for non-secure custody must be filed.
Table #3 also lists steps to take if the Safety Resource in the other state is not within driving distance of the county conducting the CPS Assessment, the NC social worker should contact the other state to request a courtesy home visit to conduct the Kinship Care Initial Assessment or its equivalent. If the other state is unable to respond to the request immediately, the NC social worker should ask the Safety Resource to come for the child. At the time of the resource's arrival, the NC social worker should obtain as much information about the resource as possible, and once it is determined that the resource is suitable, allow the resource to leave with the child. If the Safety Resource is unable to come for the child, an alternative Safety Resource must be identified. If no alternative Safety Resource can be identified, the agency conducting the Family Assessment must file a petition for non-secure custody.
Table #3
Situation The agency has received a valid CPS Report |
Responsibility of County Conducting the CPS Assessment |
Responsibility of State where Safety Resource Resides |
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The parent lives in NC but only has potential Safety Resources in another state, and the Safety Resource is within driving distance. The social worker should inform the parent about what the DSS considers necessary elements in a Safety Resource. Since the parent is likely to be in crisis, the social worker may also need to help the parent identify and evaluate options. The criteria that should try to be evaluated are: • Resource is willing to provide care and age-appropriate supervision to the child • Has sufficient financial resources to meet the child’s basic and immediate needs • Will protect the child from maltreatment; will report indictors of further maltreatment to DSS • Child will have reasonably private sleeping space • Home is free of objects and conditions which constitute obvious fire or safety hazards • Home has functional plumbing • No resident of household has criminal history that precludes family caring for child • No resident of household has history of substantiations/services needed. • Alcohol/drug use by family members, if any does not present a risk of harm to the child • Caregivers are mentally and physically able to provide appropriate care |
1. The county may call the state to request a courtesy interview by them with the proposed Safety Resource. If the other state cannot conduct such an interview in a timely manner, the NC social worker should ask the other state for permission to enter the state to make the home visit with the parent and child and conduct the Kinship Care Initial Assessment. 2. If parent is unwilling or unable to accompany the social worker, the social worker should first seek written permission from the parent to transport the child alone. If written permission is not available, verbal permission must be obtained. |
N/A |
Situation #4
Lastly, Table #4 lists steps that may be taken in those cases where a family is in transit from one state to another and law enforcement contacts the county DSS for assistance, but no CPS issue is present, the county DSS should assess the needs of the children, asking law enforcement to contact any relatives the parents or caretakers have identified in the other state.
While no child protective services issue may be present in these instances, the county DSS social worker should talk with the relatives who come for the child, ascertaining as much information as possible from them to determine minimum sufficient care for the children. In this instance, the DSS social worker may need to facilitate the return home or to assess the need for any other services provided by DSS. An example of such a situation is when a family is traveling in North Carolina from another state and, during a routine traffic violation stop by law enforcement, it is discovered that the parents have an outstanding warrant for their arrest. Law enforcement officials are required to take the parent(s) into custody. Depending on the relationship between local law enforcement and local DSS, either agency representative may contact relatives in the other state to request that the relative come for the children. DSS should assess the need for any other services to help the relatives and children. If no relatives can be identified, the North Carolina county DSS must take whatever steps are necessary to ensure the protection of the children.
Table #4
No CPS Issue has been identified, but assistance is needed, when the family is passing through NC |
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This situation may occur due to several circumstances, but most commonly: |
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The parent is from another state and is traveling through NC and is detained. Law enforcement calls DSS. Parent contacts potential resource or gives the CPS social worker permission to do so. |
2. Social worker interviews resource person when they arrive and conducts as thorough a kinship care assessment as possible. |
N/A |
The parent lives in NC but only has potential Safety Resources in another state, and the Safety Resource is within driving distance. |
If the resource is within driving distance, the NC social worker should speak with the proposed safety resource and request that this person come for the child, getting as much information from the Safety Resource as possible when the resource arrives. If the Safety Resource is unable to come for the child, the social worker should contact the other state for permission to enter it to take the child to the Safety Resource. |
N/A |
3. Providing Permanence
If parents are seeking treatment or need respite care for their children or if a Safety Resource is needed, they can arrange for placement with appropriate relatives or friends. The agency should never coerce or persuade parents to place their children. As long as the concerns of abuse/neglect are present, and the placement does not have permanence, the agency should stay involved until the issues that caused the abuse or neglect are resolved or a permanent plan for the child has been made. If the risk factors and safety issues are so great that the agency does not believe the children are safe with their parents, the agency shall file a petition and obtain a non-secure custody order. Although the child may be in the physical custody of a relative or kin at the time DSS assumes custody, the agency is obligated, within 30 days, to notify other close adult relatives (grandparents, great-grandparents, siblings, nieces, nephews, aunts and uncles) of the child as well. Please refer to Relative Notification information found within Chapter IV; Section 1201; IV - Placement Decision Making for the required notification elements.
The central point to remember is that each case should be assessed using the response that best ensures the child's safety, permanence and well-being.
No abuse, abandonment, or special type of neglect report that remains as reported throughout the CPS Assessment may be conducted as a Family Assessment. Reports with those allegations must be initiated using the Investigative Assessment response. The CPS Investigative Assessment may be switched to the Family Assessment response if it becomes obvious that it could have been assigned as such if the true situation was known at intake. Social workers involved in these cases should request the assistance of a coworker who is familiar and comfortable with the Family Assessment response to aid in the completion of the assessment as necessary.
Any neglect or dependency report may be assigned initially and initiated as a Family Assessment. Any report initially initiated in the Family Assessment response may be switched to an Investigative Assessment if it becomes obvious it should have been assigned as such if the true situation was known at intake.
Another example may be any instance in which the child's safety cannot be ensured through the use of the Family Assessment response. This may be due to lack of parental cooperation or changing circumstances. Social workers involved in these cases should request the assistance of a co-worker who is familiar and comfortable with the Investigative Assessment response to aid in the completion of the assessment as necessary. Social workers should also remember to engage law enforcement and the District Attorney’s office as appropriate at any point during the assessment if evidence is found that a child has been abused as defined by N.C.G.S. § 7B-101.
Switching assessment responses during an assessment should not be done frequently or without a thorough discussion of the case between the social worker and the supervisor. All decisions to change assessment responses must be done with supervisory approval. Documentation in the record should also clearly show why such a decision was made, and how it helped ensure the safety of the child.
1. Collateral Contacts
As a part of a thorough CPS Assessment, the agency shall:
• interview all persons named at the time of the report as having information relevant to the CPS Assessment or document why these contacts were not made; and
• contact other persons or agencies known to be currently involved with the family or known to have knowledge of the situation or document why these contacts were not made.
Contact with collateral information sources constitutes a vital component of a thorough CPS Assessment delivered using System of Care principles.
N.C.G.S. § 7B-302 (e) states: " In performing any duties related to the assessment of the complaint or the provision or arrangement of social services, the director may consult with any public or private agencies or individuals, including the available State or local law enforcement officers who shall assist in the assessment and evaluation of the seriousness of any report of abuse, neglect, or dependency when requested by the director. The director or the director's representative may make a written demand for any information or reports, whether or not confidential, that may, in the Director's opinion, be relevant to the protective services case. Upon the Director's or the Director's representative's request and unless protected by the attorney-client privilege, any public or private agency or individual shall provide access to and copies of this confidential information and these records to the extent permitted by federal law and regulations. "
In addition, the court may designate certain local agencies that are authorized to share information concerning juveniles. Agencies that are so designated shall share, upon request, information that is in their possession that is relevant to any case in which a petition is filed alleging that the juvenile is abused, neglected, dependent, undisciplined, or delinquent and shall continue to do so until the juvenile is no longer subject to the jurisdiction of juvenile court.
Note: When a child is alleged to have a medical condition, disease or illness, relevant to the allegation, the agency shall consult the medical provider treating the condition.
This consultation shall be focused on determining the family's assertions about that medical condition, or there shall be justification for why this was not done.
The county director shall exercise discretion in the selection of collateral sources in order to protect the family's right to privacy and the confidentiality of the report.”
The social worker should ask the family for collateral information sources during the CPS Assessment. These should be people who are capable of providing reliable information concerning the child and family, not simply character references. The social worker shall contact all of the collateral information sources identified by the family prior to making a case decision.
Additional discussion regarding collateral contacts is included under “Conducting a Family Assessment” and “Conducting an Investigative Assessment” within this Section.
2. Use of the Child Medical Evaluation Program (CMEP) / Child/Family Evaluation Program (CFEP) During the Family Assessment
Medical and psychological resources, such as the Child Medical Evaluation Program (CMEP) / Child/Family Evaluation Program (CFEP) must be utilized, as appropriate, as a component of a thorough CPS Assessment. The Child/Family Evaluation Program was formerly known as the Child Mental Health Evaluation Program. Social workers engaged in conducting CPS Assessments must use professional judgment in determining when a CMEP/CFEP evaluation is necessary. A CMEP / CFEP evaluation should be considered if the social worker has questions about any of the following issues. This list is not intended to be all-inclusive. There may be other instances in which a CMEP/CFEP may be considered appropriate as part of the CPS Assessment:
• Significant delay in the child's developmental skills.
• Significant delay in the child's physical development.
• Unusual and unexplained lethargy or irritability.
• Untreated or inadequately treated medical conditions which have significant impact on the child's overall health or physical development.
• Children affected when one parent abuses the other,
• Child-on child sexual contact initiated as CPS for parental supervision issues, or,
• A child has received a non-serious injury from an unknown perpetrator.
Medical and psychological resources, such as Child Medical Evaluation Program / Child/Family Evaluation Program shall be utilized, as appropriate, in the assessment of alleged victims or neglect and/or physical, sexual, or emotional abuse.
Note: The CMEP and CFEP can be used in both a Family Assessment and an Investigative Assessment.
For more information on using the CMEP/CFEP program, see Chapter VIII; Section 1422 - Child Medical / Child/Family Evaluation Program.
3. Referral for Early Intervention Services
A referral to Early Intervention is required whenever there is a concern regarding a child’s development regardless of whether or not a case decision has been made. When there is the appearance or presence of any of the North Carolina Infant Toddler Program eligibility conditions of : “Established Conditions” or "Developmental Delay" (definitions can be found at http://www.ncei.org/), OR the likelihood that the child has a mild developmental delay in the areas of Cognitive Development, Physical Development, including fine and gross motor function, Communication Development, Social-Emotional Development, or Adaptive Development, a referral should be made to the local Children's Developmental Services Agency (CDSA). At any time that a social worker or a parent expresses some concern about how a child is developing, contact the local CDSA for consultation or to make a referral. If a DSS agency needs technical assistance on eligibility for the early intervention program or how to make a referral, please contact the Early Intervention Services state office at 919-707-5520 or the local CDSA (http://www.ncei.org).
However, it is also required that any child under the age of three who has been the subject of a CPS Assessment and the case decision was to substantiate neglect, abuse, dependency, or results in the finding of services needed must be screened for referral to the Children’s Developmental Services Agency (CDSA) within 72 hours of the case decision. To screen a child for referral to a CDSA using the above guidance, refer to the North Carolina Family Assessment of Strengths and Needs (DSS-5229) Field S6 - Child Characteristics.
Any identification of need in Field S6 for a child under the age of 3 will require that the referral to the CDSA be made. This referral is made by filling out the DSS Referral Form for Early Intervention Services (CDSA) (DSS-5238). Parental consent is not required to make this referral. Acceptance of Early Intervention Assessment and Services is totally voluntary for the family unless a safety issue has been identified that would necessitate a referral to Early Intervention Services.
(See also Chapter X - The Juvenile Courts and Child Welfare)
1. Interference with a CPS Assessment
If, at any point during the CPS Assessment process, any person obstructs or interferes with the CPS Assessment, the director may file a petition naming said person as respondent and requesting an order directing him to cease such obstruction or interference. The petition must first provide sufficient evidence to demonstrate that the facts surrounding the report would meet the definitions under N.C.G.S. § 7B-101 before proceeding to evidence of the parents’ conduct that constitutes obstruction/interference. When this evidence is established, then evidence of the parents’ obstruction or interference should be specifically stated and verified.
There will be instances where a county DSS must file an obstruction/interference petition in order to proceed with the CPS Assessment required in the provision of protective services. At the obstruction/interference hearing, all relevant information from the CPS report should be presented; the agency must demonstrate to the judge that the agency’s decision to initiate a CPS Assessment did, in fact, meet the statutory threshold for abuse, neglect, or dependency. In determining what information from the CPS report is relevant, it is helpful to think in broad terms. The reporter’s identity remains confidential information; however, the judge may order disclosure.
It is vitally important that a thorough interview is conducted at CPS Intake, and that the interview solicits sufficient information to make a clear-cut screening decision as to whether the allegations reported meet the legal definitions of abuse, neglect, or dependency. The use of the Structured Intake Report (DSS-1402) tool helps ensure thorough, pertinent information is obtained, while the Structured Intake screening tools (please refer to Chapter VIII; Section 1407 – Structured Intake) serve to guide screening decisions that are based on statutory definitions.
It is the Division’s position that the provision of child protective services, including visiting and interviewing the child in his home, with the parent’s permission does not infringe upon Fourth Amendment rights. Securing parental consent is vital; efforts to secure voluntary consent should never be coercive.
The social worker should explain their role and express desire to interview the child in order to assess safety, risk, and the strengths and needs of the family. It is important to remember that the ability to interview children at school or childcare centers has not been compromised – schools and childcare facilities are not private residences. The debate regarding parental rights versus the provision of child protective services is an issue that has existed for some time; however, it appears that the public’s consciousness has been piqued in light of recent court decisions and media attention.
The Fourth Amendment to the U.S. Constitution reads as follows, “The right of the people to be secure in their persons, houses, papers, and effects, against unreasonable searches and seizures, shall not be violated, and no Warrants shall issue, but upon probable cause, supported by Oath or affirmation, and particularly describing the place to be searched, and the persons or things to be seized.” The System of Care principles and family-centered practice promote involving parents in decision-making throughout service provision. This can be challenging at times. It is important to remember that every interaction with the family is an opportunity to make a connection. Take the time to engage the family, recognize the family’s strengths, help the family with transitions, give the family choices, pay attention to the words used interacting with families, and make an effort to act as a change agent, not as an authority figure. Families should never be pressured or coerced into signing Safety Responses or In-Home Family Services Agreements. Family members should be made to feel their involvement and participation throughout the life of the case is crucial and that their feedback is valued.
This obstruction of, or interference with, a CPS Assessment means refusing to disclose the whereabouts of the juvenile, refusing to allow the director to have personal access to the juvenile, refusing to allow the director to observe or interview the juvenile in private, refusing to allow the director access to confidential information and records upon request pursuant to N.C.G.S. § 7B-302, refusing to allow the director to arrange for an evaluation of the juvenile by a physician or other expert, or other conduct that makes it impossible for the director to carry out the duty to make a thorough assessment of the safety and risk of the children.
2. Filing a Petition/Out of Home Placements
Sometimes the risks to safety are so great that the agency must protect the child by removing the child from the home. Voluntary Placement Agreements are not appropriate for use in this situation. Removal of the child is most often accomplished through the filing of a petition in juvenile court. It should be noted that a petition can be filed, asking for an adjudication of abuse or neglect, even when the agency is not seeking removal of the child. This can be particularly helpful when dealing with uncooperative parents who refuse to work with the agency. Once abuse and/or neglect have been adjudicated, the judge may order the parents/caretaker to take certain steps, and if they continue to refuse, they will have to answer to the court.
The step of filing a petition is a big one and should not be done without first holding a Child and Family Team Meeting to determine if a plan can be made that will keep the child safe in the home, or with out court intervention. If this is not possible due to an urgent need to remove the child in order to maintain safety, then the Child and Family Team would be held as soon after the removal as possible. Additionally, the agency shall provide notice to the child’s adult relatives regarding the removal. (Please refer to Chapter IV; Section 1201; IV - Placement Decision Making for more information on Relative Notification requirement). This is consistent with the System of Care principles that guide DSS’s to involve children and families at all stages.
If it is determined that the child is an “Indian child” under jurisdiction of the Indian Child Welfare Act (ICWA), refer to the Chapter IV; Section 1201; IV - Placement Decision Making for direction on how to proceed. A state court may still act in an emergency situation to prevent imminent physical danger or harm to the child, but must then expeditiously initiate proceedings under ICWA.
1. Structured Decision Making
The Structured Decision-Making Model and its tools were introduced in North Carolina in April of 2002 as a part of the state’s federal Child and Family Services Program Improvement Plan and they incorporate all of the System of Care principles such as interagency collaboration, individual strengths based care, cultural competence, community based services, and accountability.
The Structured Decision-Making Model and its tools are a package and should not be used in isolation. They are a means of organizing data and guiding the decision-making process. Social workers must still use their professional judgment and their social work skills when completing assessments and making decisions about the case. These tools do not take the place of complete documentation in the case record.
Upon Initiation, the North Carolina Safety Assessment (DSS-5231) is completed with the family as detailed earlier.
The North Carolina Family Risk Assessment of Abuse / Neglect (DSS-5230) shall be completed and documented prior to the case decision and whenever a new CPS report occurs in an on-going case. The North Carolina Family Risk Assessment of Abuse / Neglect identifies the level of risk of future maltreatment and guides the case decision including whether to close a report or open a case for In-Home Services or Child Placement services. The North Carolina Family Risk Assessment of Abuse / Neglect determines the level of risk of future harm in the family and determines the level of service to be provided to each family.
It identifies families, which have intensive, high, moderate, or low probabilities of continuing to abuse or neglect their children. By completing the North Carolina Family Risk Assessment of Abuse / Neglect, the social worker obtains an objective appraisal of the likelihood that a family will maltreat their children in the next 18 to 24 months. The difference between the risk levels is substantial. High-risk families have significantly higher rates than low risk families of subsequent reports and substantiations and are more often involved in serious abuse or neglect incidents.
The risk scales are based on research on cases with “substantiated” or “services needed” abuse or neglect that examined the relationships between family characteristics and the outcomes of subsequent abuse and neglect. The scales do not predict recurrence, simply that a family is more or less likely to have another incident without intervention by the agency.
The instructions for completing the North Carolina Family Risk Assessment of Abuse / Neglect are included with the tool.
The North Carolina Family Assessment of Strengths and Needs (DSS-5229) shall be completed during the CPS Assessment. The North Carolina Family Assessment of Strengths and Needs is a tool designed to evaluate the presenting strengths and needs of the family of a child alleged to have been abused, neglected or dependent. The North Carolina Family Assessment of Strengths and Needs assists the social worker in determining areas of family strengths and needs that can be utilized in case planning. The North Carolina Family Assessment of Strengths and Needs is to be completed and documented prior to the time the case decision is made. It is one of the elements considered in making the case decision. The same tool is used for all subsequent reassessments until the case is closed.
The CPS Assessment case decision shall:
• be a shared decision, including at a minimum, the social worker and the social worker’s supervisor or supervisor’s designee or staffing team;
• be correct based on the legal definitions;
• document specific caretaker behavior that resulted in harm to the child or clarify the absence of risk of harm; and
• be made within 30 days for an Investigative Assessment or within 45 days for a Family Assessment, or there shall be documentation to reflect the rationale to extend the CPS Assessment beyond the required timeframes.
The North Carolina Case Decision Summary/Initial Case Plan DSS-5228shall be completed during the case decision staffing
The North Carolina Case Decision Summary must document answers to the following questions:
• has the maltreatment occurred with frequency and/or is the maltreatment severe?
• are there current safety issues? Would the child be unsafe in the home where the abuse, neglect or dependency occurred?
• is the child at risk of future harm?
• is the child in need of protection?
Documentation must support the answers included on the North Carolina Case Decision Summary.
Determining whether a child is abused, neglected, or dependent requires careful assessment of all the information obtained during the CPS Assessment process. In making a case decision it is important to assess not only that maltreatment has occurred, but what are the current safety issues, and is there future risk of harm and the need for protection.
To make a case decision to substantiate or find “services needed,” the answer to one or more of the above questions must be “yes,” and there must be documentation to support the answers included on the case decision tool. Only in unusual circumstances should a supervisor and staffing team change the indicated structured case decision. In those cases, the supervisor should complete the “Rationale for Case Decision/Disposition” to justify the change.
Note: This tool also serves as the Initial Case Plan, except for Investigative Assessments involving Child Care settings, Group Homes, or Institutions.
Instructions for completing the North Carolina Case Decision Summary/Initial Case Plan are included with the tool.
2. Documentation
The social worker shall document and record all actions taken during the CPS Assessment. Documentation is required because:
• The supervisor, subsequent or substitute social workers, or other reviewers must have documentation of all actions taken.
• All CPS Assessment response records shall contain the required information, and shall be written so that the decisions made are documented, and would be understandable to another person reviewing it.
• The facts gathered by the social worker may be used if court action is needed.
Documentation of the CPS Assessment shall:
• Include completion of the North Carolina Safety Assessment (DSS-5231);
• Include completion of the North Carolina Family Risk Assessment of Abuse / Neglect (DSS-5230):
• Include completion of the North Carolina Family Assessment of Strengths and Needs (DSS-5229);
• Include completion of the North Carolina Case Decision Summary/Initial Case Plan DSS-5228;
• describe actions taken and services provided;
• support the rationale for the agency involvement and service delivery on an ongoing basis; and
• be prompt and current within seven days..
Documentation of the CPS Assessment shall also include a description of the on-going assessment of risk, safety, and health of the child.
The following documentation order in the child’s CPS case record is recommended for reports assigned as CPS Assessments:
• Structured Intake Tool (DSS-1402) and all required notices
• North Carolina Safety Assessment (DSS-5231)
• North Carolina Family Risk Assessment of Abuse / Neglect (DSS-5230)
• North Carolina Family Assessment of Strengths and Needs (DSS-5229)
• North Carolina Case Decision Summary-Initial Case Plan (DSS-5228)
• Report to Central Registry / CPS Application (DSS-5104)
• Case notes to document interviews, observations and statements obtained during the CPS Assessment
• Collateral Information
• Written notifications to reporters, parents, and perpetrator
• Correspondence
• Case decision notifications to the family regarding the case decision.
3. Supervisory Review
The CPS supervisor shall review and sign-off on all CPS reports to document the supervisor’s concurrence with decisions and approval of documentation. This review includes the North Carolina Safety Assessment, the North Carolina Family Risk Assessment of Abuse/Neglect, the North Carolina Family Strengths and Needs Assessment and the North Carolina Case Decision Summary / Initial Case Plan.
4. Notifications
CPS reports received for CPS Assessment require:
• a written notice to the reporter, unless waived or anonymous, within five working days after receipt of the report stating whether or not the report was accepted for a CPS Assessment and if any subsequent referrals were made, and
• information as to whether or not the report was referred to the appropriate law enforcement agency.
The CPS Assessment case decision shall be reported to:
• the caretakers or parents alleged to have abused or neglected the child;
• the primary caretakers or parents with whom the child resided at the time the agency initiated the CPS Assessment;
• other parents as appropriate;
• any agency in which the court has vested legal custody;
• the licensing authority as appropriate; and
• the Central Registry and RIL, if appropriate.
Within five working days of the completion of the CPS Assessment, the reporter shall be given written notice of the agency's findings, and actions being taken, and the process for requesting a review by the district attorney of the agency's decision not to file a petition. If the reporter waives the right to notice or is anonymous, this does not apply. This notification to the reporter will indicate when the CPS Assessment was completed and the outcome.
5. Review by Prosecutor at Request of Reporter
Upon receipt of the department's decision not to petition the court, the person who made the report has five working days to notify the prosecutor to request a review of this decision. If a review is requested by the person who made the report, N.C.G.S. § 7B-305 requires that the director of the Department of Social Services "immediately transmit to the prosecutor a copy of a summary of the assessment.” Social Services Commission Rule 10A NCAC 70A .0109 requires that this report be sent within three working days.
N.C.G.S. § 7B-306 states: "The prosecutor shall review the Director's determination that a petition should not be filed within 20 days after the person making the report is notified. The review shall include conferences with the person making the report, the protective services worker, the juvenile, if practical, and other persons known to have pertinent information about the juvenile or the juvenile's family. At the conclusion of the conferences, the prosecutor may affirm the decision made by the director, may request the appropriate local law enforcement agency to investigate the allegations, or may direct the director to file a petition."
6. Report to the Central Registry
The Department of Human Resources shall maintain a central registry of abuse, neglect, and dependency cases and child fatalities that are the result of alleged maltreatment that are reported under this Article in order to compile data for appropriate study of the extent of abuse and neglect within the state and to identify repeated abuses of the same juvenile or of other juveniles in the same family. This data shall be furnished by county directors of social services to the Department of Health and Human Resources and shall be confidential, subject to policies adopted by the Social Services Commission providing for its use for study and research and for other appropriate disclosure. Data shall not be used at any hearing or court proceeding unless based upon a final judgment of a court of law.
The Director of the Department of Social Service shall submit a report of alleged abuse, neglect, or dependency cases or child fatalities that are the result of alleged maltreatment to the central registry under the policies adopted by the Social Services Commission. The county Department fulfills this requirement by electronically submitting the Report to Central Registry / CPS Application (DSS-5104) to the North Carolina Division of Social Services.
For additional state policy and other information see Chapter VIII; Section 1426 - Central Registry. Instructions for completing the Report to Central Registry / CPS Application (DSS-5104) are found in Section 1426 of this manual.
7. Family Contact after Substantiation or a Finding of Services Needed
A family shall be seen by a social worker within one week after substantiation or a finding of Services Needed in any report of abuse, neglect, or dependency to begin the transition from the CPS Assessment phase to CPS In-Home Services, unless there is documentation of diligent efforts made and/or rationale for the delay.
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For questions or clarification on any of the policy contained in these manuals, please contact your local county office.
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