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A. ASSIGNING CASES TO THE FAMILY ASSESSMENT RESPONSE
B. USING A FAMILY-CENTERED APPROACH
C. INITIAL CONTACT WITH THE FAMILY
D. ONGOING ACTIVITIES IN A FAMILY ASSESSMENT
E. CASE DECISION/COMPLETION OF THE CPS FAMILY ASSESSMENT RESPONSE
The county DSS may assign any valid CPS report alleging neglect or dependency to the Family Assessment response except for certain specific neglect cases.
All reports alleging any type of abuse or abandonment must be assigned as an Investigative Assessment. All reports (regardless of the allegations) involving allegations concerning a child in the custody of a local DSS, family foster home, residential facility, or child care situation must be assigned as an Investigative Assessment.
In addition, reports alleging neglect in the following situations must be assigned as an Investigative Assessment:
• a child fatality when there are surviving children in the family,
• 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
• 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
All other reports alleging neglect may be assigned as a Family Assessment.
Note: Refer to “CHILD PROTECTIVE SERVICES (CPS) ASSESSMENT OF SUSPECTED ABUSE, NEGLECT, AND DEPENDENCY” for discussion of all aspects of a CPS Assessment common to both the Family Assessment approach and the Investigative Assessment approach. The discussion below is specific to the Family Assessment approach.
The Family Assessment Response is a family-centered approach based on family support principles, incorporates System of Care principles, and offers a much less adversarial approach to a CPS report. This approach is really "nothing about us, without us" from the family's perspective. It should cause one to think about how they would want to be treated if a CPS report was made on their own family. Families can be better served, and children protected, by focusing more on establishing a partnership with them and less on the authoritarian approach. The county DSS cannot change families, but if they are approached through an assessment that looks for their strengths, support systems, motivation to change, and supportive interventions, they will be more capable of providing safe care for their children. CPS staff and the family will develop true partnerships to ensure safety of the child and this is the goal of the Family Assessment Response.
Note that the MRS Family Assessment response allows social workers flexibility to meet the needs of specific neglect and dependency cases as determined by the county DSS director. Manual material provided in this section is intended to provide general guidance concerning Family Assessments, not to define the specific “how to’s” for every case and family, as each case should be approached in the way that will best assure the safety of the children and build a working partnership with the family.
1. Initiation
There is nothing in MRS that allows for the initiation period to be extended for Family Assessments. As it is the agency’s responsibility to ensure the safety of the child, the social worker shall initiate face-to-face contact with the parents and child within 72 hours or sooner, depending on the determination of the prioritization of response by the intake social worker and intake supervisor, of the report to begin conducting the Family Assessment. When the social worker is unable to initiate the contact within the prescribed time frame, there must be documentation in the case record describing the diligent efforts made and reasons why they were unsuccessful.
The county DSS will decide with whom to initiate the Family Assessment based on the situation. The first recommended contact shall be with the parents. In many instances, the first contact will be with both parent and child.
2. Interviewing Children
Note: The first underlying belief of family-centered practice is that the safety of the child is the first concern. No child should be interviewed in such a manner that compromises his or her safety. It is expected that a child will be interviewed in private if necessary to ensure his or her safety.
There is nothing that prevents the social worker from interviewing the children alone. If this occurs, it will be important for the social worker to explain to the parents why a separate interview with the child is important and try to gain the parents’ permission. Social workers should use their professional judgment in deciding how children will be interviewed. In many cases, interviewing the family together can provide vital information about family dynamics and may trigger discussions that otherwise would not be held. However, attention should be paid to verbal and non-verbal cues from the child that might lead the social worker to feel that this child needs to be interviewed in a different setting also. This might be in another room on the same day or at school on another day. Each child should be interviewed in the way that will best provide safety and build rapport with the family for future services.
3. Interviewing Parents and Caretakers
The Family Assessment allows much latitude in how assessments are completed. In most cases, the first contact will be with the parents, and the first face-to-face contact will be with the family together. Each case should be looked at as unique and distinctive, and the approach adjusted to the needs of each family. As always safety is the first concern, while keeping in mind the goal of respecting and partnering with parents at all times.
4. Interviewing Sequence
Interviews during the Family Assessment shall be conducted in the sequence least likely to present further risk to the alleged victim or there shall be documentation that reflects the rationale for the sequence in which the interviews were conducted.
5. Observing Marks
If the CPS reports allege that the children have marks/injuries the social worker should observe the marks as a part of the Family Assessment. To remain as family centered as possible and ensure the parents are engaged in the Family Assessment, this may be best accomplished in the presence of the parents if the safety of the child is not compromised as a result.
6. Brochure at First Contact.
During the initial contact, the social worker shall give the family a written explanation (e.g., a brochure) of the Family Assessment response. The social worker shall also verbally explain the MRS and the process of the Family Assessment.
The North Carolina Family Risk Assessment of Abuse / Neglect (DSS-5230) and North Carolina Family Assessment of Strengths and Needs (DSS-5229) must be completed prior to the case decision. Social workers should practice the System of Care principles by introducing these tools to the family during the initial meeting while explaining the Family Assessment process. This will allow the family to be fully informed about the Family Assessment process and what information the agency will use to make the case finding. If a family informs the social worker that it is their desire not to have the tools actually completed with them, the social worker will be able to use their knowledge of the tools as a resource to refer back to during the family assessment or while explaining the case finding. Social workers should not force a family to have the tools completed in their presence merely to fulfill an expectation of policy, but this must remain the family’s choice, not the social worker's. Another result of introducing the tools to the family early in the assessment process is that the social worker then has a greater capacity to "bring families along" as partners in the Family Assessment and there is less opportunity for misunderstanding of any specific rating. For example, a family that has helped decide their level of parenting skills or characteristics, and informed of information received by the agency throughout the Family Assessment, will not be surprised at a specific finding in those areas.
The information for the North Carolina Family Risk Assessment of Abuse / Neglect and North Carolina Family Assessment of Strengths and Needs shall be based on face-to-face interviews with and/or observation of parents, caregivers, other household members, and children by the social worker, as well as pertinent collateral contacts. While the North Carolina Safety Assessment, the North Carolina Family Risk Assessment of Abuse / Neglect and the North Carolina Family Assessment of Strengths and Needs shall document findings, there is still a need for case narrative to reflect interviews.
Professional Collateral Sources
Interagency collaboration is a System of Care principle. It is expected that professional service providers and agencies will share their concerns about the family, with the family themselves. As such, when a professional collateral is to be contacted, whether provided by the reporter, the family, or the social worker, the parent/caretaker should be given the option to be present for this collateral contact. In those instances when the parent chooses not be present, the social worker shall advise the parent of the information gathered from that collateral source.
Parents should be advised of any professional collateral that will be contacted and their permission obtained to talk to that collateral. If the parent refuses permission, the social worker shall first discuss the reason for the parents’ refusal, and try to gain their permission. If that fails then the social worker must decide if the collateral contact in question is essential to a thorough assessment of safety and risk. If so, then the parent must be advised that due the statutory obligation to make a thorough assessment, based on the concerns reported, the collateral will be contacted, and the findings reported will be considered in the case decision.
Non-professional Collateral Sources
The parent will be with the social worker when contact is made if the parent chooses, and if the safety of the non-professional collateral information source is not compromised as a result. The social worker should contact the non-professional collateral information source to determine whether that individual has any concern about his/her own personal safety if the parent and social worker make contact with them together. If that collateral expresses no concern for his/her own personal safety, the parent will be given the option of being present during the contact.
Family Assessment Time Frame
The Family Assessment shall be completed within 45 calendar days of the date of the report. If there is a delay in completing the Family Assessment, the reason for the delay shall be documented. Whenever a decision is made to extend the time to complete a Family Assessment, the family shall be notified promptly of the new extension, verbally or in writing. These notifications and the justification of the need for the additional time shall be documented in the case record.
Whenever any party is advised of the Family Assessment response time frame, verbally or in any written material, it shall be clearly stated that the expectation is for the Family Assessment to be completed within 45 days.
The Family 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 created a need for services or clarify the absence of risk of harm; and
• be made within 45 days, or there shall be documentation to reflect the rationale to extend the Family Assessment beyond 45 days.
The case decision for Family Assessments will be made using the North Carolina Case Decision Summary/Initial Case Plan (DSS-5228) form and upon completion of the North Carolina Safety Assessment, the North Carolina Family Risk Assessment of Abuse/Neglect and the North Carolina Family Assessment of Strengths and Needs.
Findings for Family Assessments
A finding of “services needed” shall be made if the answer to one or more of the questions on the North Carolina Case Decision Summary/Initial Case Plan concerning frequency and severity of maltreatment, current safety issues, risk of future harm, and child in need of protective services is “yes”. 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.
In determining severity of maltreatment, consideration should be given to the degree of harm, level of severity, extent of injury, egregiousness, gravity and the seriousness of maltreatment. In determining current safety, consider safety issues that exist at the time of making the case decision. If the decision of the North Carolina Safety Assessment is “Safe”, and the findings of the North Carolina Family Risk Assessment of Abuse/Neglect and the North Carolina Family Assessment of Strengths and Needs are both “Low”, then the case would not be found “services needed,” unless there are unusual circumstances. In those cases as well, the supervisor should complete the “Rationale for Case Decision/Disposition” to justify the change.
If the answers to the questions on the North Carolina Case Decision Summary/Initial Case Plan are “no”, then the finding will be either “services provided, protective services no longer needed”, “services recommended” or “services not recommended.”
The possible findings in Family Assessment are as follows:
• Services Needed - This finding is appropriate for all CPS reports of neglect and dependency assigned to the Family Assessment response, where the safety issues and future risk of harm is so great that the agency must provide involuntary services to ensure the safety of the child. This finding must be made in every case the DSS believes the family must be involved with services (of any type, provided by any agency or individual) in order for the child to safely remain in the home. The DSS should ask the question “would the child be safe if the family ever becomes non-compliant with services?” If the answer to that question is “no”, a Services Needed finding must be made, and the DSS must continue to provide involuntary CPS In-Home Services. These are situations in which the safety and risk of harm is so great that the agency cannot walk away from this family without either providing services, or monitoring those provided by another agency or provider.
Any case in which there is a finding of Services Needed must meet the criteria for opening 215, CPS In-Home Services, which includes that “without effective preventive services, the child is at risk of being placed in foster care.” This finding will be reported to the Central Registry with no perpetrator information entered.
There may be instances during a Family Assessment that require the agency to file a petition with the Juvenile Court in order to protect the child. The agency is not required to switch to an Investigative Assessment in these cases. A finding of Services Needed would be appropriate to document the safety and risk issues, and how those safety and risk issues prevent the child from remaining safely in the home.
• Services Recommended - This finding is appropriate for all CPS reports of neglect and dependency assigned to the Family Assessment response, where the safety of a child is not an issue and future risk of harm is not an issue. These are cases that the agency could "walk away from" if the family should choose not to agree, continue to participate in, or otherwise fail to comply with any one or all of the recommendations made by the agency. This finding is not appropriate for cases in which the agency feels it needs to monitor compliance with the service recommendation due to safety or future risk of harm.
Some situations in which this finding would be appropriate include, but are not limited to the following:
• When well-being (not safety related) needs were identified during the assessment and the family was engaged in services (either within the agency or in the community), but at no time during the assessment did the potential risk of child maltreatment approach the level that involuntary services would be required.
• When at the culmination of the assessment, the risk level is “Low” and there are no identified safety issues, however some well-being issues have been identified, the social worker should recommend and offer assistance in linking the family to services that ameliorate the well being issues. These services would be voluntary in nature.
Some situations where this finding would not be appropriate include, but are not limited to the following:
• If the agency makes recommendations that, if not completed, would lead to the agency accepting a new report, or would lead the agency to believe that the safety of the child would be compromised then the finding should be Services Needed.
• If at some point during the assessment the risk level would have been “Moderate” or higher and the family may have been appropriate for In-Home Services but services provided during the assessment brought the risk to a lower level, allowing the case to be closed. In this case, the most appropriate finding would be Services Provided, Protective Services No Longer Needed.
Any recommended services, referred or provided, during the assessment should be documented along with the response of the family. Any recommendations made to the family should be explained thoroughly in a face-to-face contact, and the family should be given the option to accept or reject service recommendations. This face-to-face explanation may take place during the assessment. However, in the rare instance that service recommendations are made at the time of case decision and have not been previously explained to the family, a visit within 7 days of the case decision must occur to thoroughly explain the new recommended service. The family still has the option to accept this new service. It is also recommended that the referral information be included in the written notification to the family
The agency would document this finding for any service referral deemed appropriate to meet the family's non-safety connected need. Per the Services Information System (SIS) Manual, the agency could use services codes 122 or 330 to provide services under this finding, if this is available and if the family voluntarily agrees to the service. This finding is also used when the agency makes referrals to community partners, and does not maintain an open service case with DSS.
This finding will be reported to the Central Registry with no perpetrator information entered.
• Services Provided, Protective Services No Longer Needed – This finding is appropriate for all CPS reports of neglect and dependency assigned to the Family Assessment response, in which the safety of a child and future risk of harm were at some point in the assessment high enough to require involuntary services; and the successful provision of services during the assessment has mitigated the risk to a level in which involuntary services are no longer necessary to ensure the child’s safety. For instance, if the initial assessment indicates a risk level of “Moderate” or higher, and the family receives services which lead to a reduction in the risk level at the close of the assessment, such that involuntary services are no longer needed, the finding would be Services Provided, Protective Services No Longer Needed. If the risk level was never “Moderate” or higher and non-safety related referrals are made the most appropriate finding would be Services Recommended.
• Services Not Recommended - This finding is appropriate for all CPS reports of neglect and dependency assigned to the Family Assessment response, in which not only is the safety of a child not an issue and there is no concern for the future risk of harm to the child; but the family also has no need for other non-safety related services.
All services that are provided or referred for the family, as the result of the CPS Assessment are required to be documented on the DSS-5104 in Field 24. This documents service needs that began and continued for the child between the date of the report and up to 90 days after the case decision.
If a case is open for In-Home Services following substantiation or a finding of Services Needed, and a new report is accepted and assigned as a Family Assessment, the report should be assessed independently of the original report. If the most recent assessment identifies new risk and safety issues that would require CPS In-Home Services, the finding should be Services Needed.
If, at the end of the CPS Assessment, the only needs that are identified are those that were found in the original report and are the result of the same incident, then the finding should be Services Not Recommended. There should be documentation in the record stating that the risk identified during the original CPS Assessment continues, however no new risk or safety issues were identified and the services being provided to reduce the original risk level will continue through the provision of CPS In-Home Services. Throughout the CPS Assessment, there should be communication with the family explaining that the new assessment is not meant to re-assess the original report and that the services being provided to alleviate the previously identified risk level will continue apart from the new CPS Assessment.
If a new report is accepted, which alleges a new incident that is similar, but distinct from that alleged in the first report, then a thorough CPS Assessment should be completed independently of the original report. If the information gathered during this CPS Assessment would lead to a risk rating of “Moderate” or higher due to issues that are not a result of the circumstances of the original report, then a finding of Services Needed should be made.
Completing the Structured Decision Making Tools in a Family Assessment
System of Care principles tell us that children and families should be involved throughout the life of a case. Therefore, it must be remembered that a "successful” Family Assessment is defined not only by whether the child was kept safe (although this is always the primary and chief concern) but also by the levels of engagement and partnership with the family the agency has maintained during the CPS Assessment. The best practice of this policy demands that families be fully informed and able to participate in every aspect of the assessment process. This includes involving them in the completion of all the tools used by the agency during the CPS Assessment process. In order to accomplish the goal of the Family Assessment response, social workers completing the North Carolina Family Strength and Needs Assessment and the North Carolina Family Risk Assessment of Abuse/Neglect tools will complete them with the family prior to making a finding in the case. It naturally follows that the family will be offered the opportunity to also sign the forms. There is ample space on the tools for this, but no expectation for signatures.
The social worker will discuss the outcome of the Family Assessment with the family face-to-face after the case finding of Services Needed has been made. The family will also be notified in writing of the finding within 7 working days. If the case finding is for Services Provided, Protective Services No Longer Needed, Services Recommended or Services Not Recommended the family will be notified of such in writing within 7 working days.
Note: While this approach is family centered, the case decision is a decision that rests with the county Department of Social Services. The family does not have equal decision-making powers. This is the only time in the MRS that families will not be present for decision-making purposes. The outcome of the case decision should not be surprising to the family, if the social worker has successfully implemented the Family Assessment Response using System of Care principles.
Ceasing a Family Assessment
If the agency responds to a neglect or dependency report using a Family Assessment response and determines that there is clear evidence the allegations do not constitute neglect or dependency (as defined in N.C.G.S. § 7B-101) the agency can cease conducting that Family Assessment as long as the North Carolina Safety Assessment, the North Carolina Family Risk Assessment of Abuse/Neglect and the North Carolina Family Strengths and Needs Assessment reflect no issues of frequency or severity of maltreatment, no current safety issues and no future risk of harm.
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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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