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A. Introduction
The following information applies to CPS investigative assessments in a variety of settings in which children remain on a 24-hour basis for care, shelter, correction or treatment. Such settings include group homes, child-caring institutions, residential treatment facilities for children and adolescents who are mentally ill, and residential therapeutic camps for children and adolescents licensed by the Division of Social Services or by the Division of Facility Services. Other settings include facilities operated by the Department of Health and Human Services (DHHS) and are included as Attachment 1.
Acute care hospitals and the inpatient mental health facilities operated by acute care hospitals, schools, and recreational summer camps are excluded from CPS investigative assessment.
Although schools, as such, are excluded from CPS investigative assessments, this is not true for boarding schools. An Attorney General's opinion dated January 12, 1988, states: "In summary, it is my opinion that when juveniles reside in boarding schools or other institutions, persons employed by or otherwise affiliated with the school or institution may be 'caretakers' as that term is defined in the Juvenile Code and may be held accountable for abuse or neglect of juveniles in their care. It is also my opinion that County Departments of Social Services have the duty to investigate reports of abuse or neglect of juveniles residing in boarding schools or other institutions in order to ascertain whether such juveniles have been abused or neglected by their caretakers, have been abused or neglected at the direction or with the permission of their caretakers, or have been abused or neglected by reason of failure of their caretakers to perform their duties with respect to the juveniles."
When receiving a report involving any of these settings, it is essential to determine which agency has licensing authority or whether it is a DHHS operated facility. The individual with on-site administrative responsibility should be able to provide this information.
B. Screening
It is the duty of Departments of Social Services (DSS) to screen reports of abuse, neglect, or dependency of children. When the county DSS receives a report alleging abuse, neglect, or dependency involving children in a residential child-care facility, the DSS shall determine whether the allegations meet the definitions of abuse, neglect, or dependency as provided in the statutes.
When a report is received of abuse, neglect, or dependency in an institutional setting (such as a residential child care facility or residential educational facility), the DSS must immediately determine whether or not they require protective services or whether immediate removal of those juveniles from the facility is necessary for their protection. All children named as victims must be subjects of the investigative assessments, even if the alleged perpetrator no longer works in the facility. Additional investigative assessments are initiated only if this is indicated from findings from the assessments of alleged victim children.42
The screening process must include diligent efforts to obtain the following information from the person making the report:
1. The name and address of the parent, guardian, or caretaker and the name of the alleged perpetrator. In the case of residential child-care facilities, the name and address of the facility are also needed.
2. The name and actual or approximate age of the alleged victim child or children.
3. The nature and extent of any injury or condition resulting from the alleged abuse, neglect, or dependency.
4. The present whereabouts of the child or children.
5. Other information that the reporter has which might be helpful in establishing the need for protective services or court intervention, including the name, address and telephone number of other individuals who may have information about the condition of the child or children.
6. The name, address, and telephone number of the individual making the report. Refusal of the person making the report to give a name shall not preclude the county DSS' investigation of the alleged abuse, neglect, dependency, or death as a result of maltreatment.
The agency receiving a CPS report alleging abuse, neglect or dependency in a residential child care facility is responsible for the screening of the report. Decisions regarding the appropriate DSS to conduct the investigative assessment is specified in the following guidelines.
1. Investigative assessments of reports of suspected abuse, neglect, or dependency in residential child-care facilities licensed by agencies other than the county DSS or in DHHS operated facilities are conducted by the county DSS in which the residential child-care facility or DHHS operated facility is located.
An exception to this policy is in reports involving a residential child-care facility licensed by any agency when the county DSS holds custody of the alleged victim child or children residing in the residential child-care facility. Under this circumstance, the county DSS should request another county DSS to conduct the investigative assessment to avoid any conflict of interest.
2. Reports of suspected abuse, neglect, or dependency in DSS-supervised residential child care facilities must be referred to another county department of social services for the investigative assessment.
C. Reports Not Accepted for Investigative Assessment
CPS reports that are not accepted for investigative assessment require:
• two-party review;
• that one of the parties must be in a management position, and all persons participating in the intake decision must sign this intake form; and
• a written notice to the reporter, unless waived or anonymous, within five work days after receipt of the report stating the report was not accepted for investigative assessment.
The notice shall include:
• information regarding the process by which the reporter may obtain a review of the agency’s decision not to accept the report for investigative assessment;
• whether or not the report was referred to the appropriate state or local law enforcement agency; and
• referrals to outreach services or other agencies as appropriate.43
1. Reports Not Constituting Abuse and Neglect
Although some reports may not meet the statutory definitions of abuse, neglect, or dependency, there may be legitimate concerns about child care and practices in the residential child-care facility. Reports about the general quality of care and issues concerning the facility's compliance with licensing standards should be referred to the appropriate licensing authority for follow-up. With reports involving DHHS facilities, DSS should contact the chief administrative officer of the school, institution, or Division.
2. Two-Level Review of Decision
As with all CPS reports not accepted for investigative assessment, there is to be a two-party review before making a decision that the information does not constitute a report of abuse, neglect, or dependency. This review must include, at a minimum, the social worker and someone in a management position and all persons participating in the intake decision must sign the intake form.
3. Notice to Reporter
The county DSS receiving a report that does not meet the definition of abuse, neglect, or dependency must give written notice within five (5) working days of receipt of the report that the report was not accepted for investigative assessment. The same requirement is true when the county DSS does not accept the report because the alleged perpetrator is clearly not a caretaker of the alleged victim in a residential child-care facility. The county DSS must inform the reporter whether the report was referred to the appropriate State or local law enforcement agency. The county DSS should tell the reporter of any referral to an outside agency responsible for supervision of the residential child-care facility when licensing or general child care issues are the subject of the report.
4. Reports to the District Attorney
If the report indicates harm to a child in violation of any criminal statute, whether or not the alleged perpetrator is a caretaker, the director must carry out his or her responsibility to make a report to the district attorney. (See Section III.E. below.)
D. Initiation of the CPS Investigative Assessment
When a report of a juvenile's death as a result of suspected maltreatment or a report of suspected abuse, neglect, or dependency of a juvenile in an institutional setting (such as a residential child care facility or residential educational facility) is received the director of the Department of Social Services shall ascertain if other juveniles remain in the facility subject to the alleged perpetrator's care or supervision and, if so, assess the circumstances of those juveniles in order to determine whether they require protective services or whether immediate removal of those juveniles from the facility is necessary for their protection.44
When the intake process results in a decision to accept a report of abuse, neglect, or dependency in a residential child-care facility, the county DSS in which the facility is located shall initiate an investigative assessment. The required initiation procedures in residential child-care facilities are:
1. DSS must initiate an investigative assessment of any report alleging abuse within 24 hours after receiving the report. For reports alleging neglect or dependency, the maximum time for initiation is within 72 hours. Initiation includes having a face-to-face contact with the alleged victim child and other children under the care/supervision of the alleged perpetrator. If face-to-face contact is not possible, documentation shall reflect efforts made to see the child within the timeframes and that the child was seen as soon as possible.
The county where the child is found at the time of the referral and which receives the CPS report initiates the investigative assessment by seeing the child. That county must see the child, assess the harm, the immediate level of risk to the child, and take whatever legal action may be necessary to protect the child. This action also applies to situations when a county DSS will be requesting another county DSS to conduct the investigative assessment. Responsibility for initiation also applies if the child is visiting in another county at the time of the report. In this instance, the information received during this activity by the county DSS where the child is found at the time of the report and will be shared with the county conducting the investigative assessment, which is not responsible for initiating contact with the child.
2. When investigating residential child-care facilities or DHHS-operated facilities there are additional issues that require special attention. Administrative Rule requires the following:
a. When DSS receives a report for investigative assessment of abuse, neglect, or dependency within a DHHS facility, all volunteers and employees of the facility are automatically considered caretakers under the law45. As with other residential facilities, the county DSS shall notify the individual who is administratively responsible for on-site operation and solicit the cooperation of the administration.46 This notice may be verbal and should be made as soon as possible after acceptance of the report.
b. When DSS accepts a report for investigative assessment in a residential child-care facility licensed by the Division of Social Services, the county DSS should notify the Children’s Services Section at (919) 733-4622. The Division of Social Services, Children’s Services will need the following information:
(1) The name of the facility,
(2) The nature of the report, and
(3) The name of the alleged perpetrator.
c. The Division of Facility Services, which also licenses residential child-care facilities, does not require notification prior to completion of the investigative assessment.
d. Reports of alleged abuse, neglect, or dependency in DSS-operated residential child-care facilities should be referred to a reciprocal county assigned by the regional office for that DSS (See Section 1410, Conflict of Interest). The reciprocal county will conduct those CPS investigative assessments.
e. CPS case decisions as to whether or not to substantiate abuse, neglect, or dependency shall be made within 30 days or there shall be documentation to reflect the rationale to extend the investigative assessment beyond 30 days.47
The process of a CPS investigative assessment can be disruptive for the ongoing, daily operation of the residential child-care facility. It is critical that the process be completed as soon as possible. The case decision not only impacts on the individuals involved, but also has implications for personnel and administrative decisions.
f. Telling families when their child has allegedly been abused or neglected in a residential child-care facility is an extremely sensitive issue. Certainly, parents who have voluntarily placed their child in the facility and maintain legal custody need to know as soon as possible that their child is an alleged victim of abuse, neglect, or dependency. They also need to know what to expect during the investigative assessment.
When a county DSS is the legal custodian of the child, that DSS also needs to be informed as soon as possible of the report. It is necessary to inform the parents of children in DSS custody of an investigative assessment, at least at the point that the case decision is made. However, when children have ongoing visitation with their families and there is the possibility that the child may share the information, the agency responsible for the child's placement should talk with the parents earlier in the process. The family should not hear this information first from their child.
E. Required Notices on Reports Accepted for Investigative Assessment
1. Notice To the Individual Making the Report
Within five (5) working days after receipt of a report of abuse, neglect, or dependency, the county DSS that initially received the CPS report shall give a written notice to the person making the report, unless requested by that person not to give notice, as to whether the report was accepted for investigation and whether the report was referred to the appropriate State or local law enforcement agency (G.S. 7B-302).
Within five (5) working days after completion of the protective services assessment, the county DSS shall give written notice to the person making the report, unless requested by that person not to give notice, or if the reporter is anonymous, as to whether the county DSS is taking action to protect the juvenile, and what action it is taking. The second notification shall include notice that, if the person making the report is not satisfied with the decision, he may request review of that decision by the prosecutor within (5) working days of receipt (G.S. 7B-302).
2. Report to the Licensing Authority
When the case decision is made, the DSS that conducted the investigative assessment shall provide a written report to the appropriate licensing authority for the residential child-care facility or to the appropriate Division Director in the case of DHHS-operated facilities.
Written reports on residential child care facilities licensed by the Division of Facility Services should be sent directly to:
Division of Social Services
Children’s Services Section
325 N. Salisbury Street
Mail Service Center 2409
Raleigh, NC 27699-2409
Written reports on residential child care facilities licensed by the Division of Facility Services should be sent directly to:
Division of Facility Services
Mental Health Licensure and Certification Section
2718 Mail Service Center
Raleigh, North Carolina 27699-2718
Courier No. 56-20-05
Written reports on DHHS-operated schools, institutions, or facilities should be sent to the appropriate Division Director. Addresses of these facilities are included as Attachment 1.
Note: The county Director may share information and a summary of documentation from the case record without a court order with public or private agencies or individuals that are being utilized to provide or facilitate the provisions of protective services to a child. The sharing of this information should prevent the agency or operated facility from re-interviewing the child. This report should contain the following information:
a. Name of the facility and, when applicable, the facility license identification number.
b. Nature of the complaint. In order to protect confidentiality, do not name the complainant in this report.
c. The case decision and the date the decision was made.
d. If substantiated, the type of abuse, neglect, or dependency found.
e. If substantiated, the name(s) of the perpetrator(s).
f. If appropriate, recommendations regarding child care operations in the facility even if no abuse or neglect was found. It is not appropriate to make recommendations regarding personnel actions in this report.
The DSS must submit this report rapidly because administrative action is often dependent on this information. A copy of this report should be sent to the district attorney when that office is involved in the investigation.
It should be noted that these written reports become a part of public record. Therefore, the report should only contain the required information. In order to protect the confidentiality of children, do not use their full names in the written report. Identify the victim children by their first name, last initial, age, sex, and race. Do not identify the complainant in this or any other written report.
3. Reports to the District Attorney and Law Enforcement
a. If the county DSS receives information that a juvenile may have been physically harmed in violation of any criminal statute by any person other than the juvenile's parent, guardian, custodian, or caretaker, the county DSS shall make an immediate oral and subsequent written report of that information to the district attorney or the district attorney's designee and to the appropriate local law enforcement agency within 48 hours after receipt of the information. The local law enforcement agency shall immediately, but no later than 48 hours after receipt of the information, initiate a criminal investigation. Upon completion of the investigation, the district attorney shall determine whether criminal prosecution is appropriate.48
b. Whenever the DSS finds evidence that a child may have been abused by a caretaker in a residential child-care facility, they shall immediately notify the county DSS in which the child-care facility is located (when this county is other than the investigating county). The county DSS in which the residential child-care facility is located shall make an immediate and subsequent written report of the findings to the district attorney or the district attorney's designee and the appropriate local law enforcement agency within 48 hours after receipt of the report. This report shall include:
(1) The name and address of the child, the facility name, and the name of the alleged perpetrator;
(2) Whether the alleged abuse was physical, emotional or sexual;
(3) The date the report was received and when evidence that abuse may have occurred was found;
(4) A description of the evidence that abuse may have occurred; and
(5) The plan developed by DSS to protect the child and what is being done to carry out the plan.
DSS may share the name, address, and/or phone number of the reporter if needed by the district attorney in order to carry out his or her investigation.49
Local law enforcement shall immediately, but no later than 48 hours after receipt of the information, initiate and coordinate a criminal investigation with the protective services investigative assessment being conducted by the county DSS..
F. Tasks in Conducting a Thorough Investigative Assessment
1. The DSS must conduct a thorough investigative assessment of any report of abuse, neglect, or dependency in a residential child-care facility or DHHS-operated facility50
NCAC 41I .0305 instructs that a thorough investigative assessment will assess:
a. Whether the specific environment in which the child or children are found meets the child or children's need for care and protection;
b. Facts regarding the existence of abuse, neglect, or dependency;
c. Extent of abuse, neglect, or dependency; and
d. Risk of harm to and need for protection of the child or children.
2. Elements included in a thorough investigative assessment are outlined in NCAC 41I .0305. However, the nature of an investigative assessment in a residential child-care facility alters some of these requirements. The requirements and discussion of are as follows:
a. DSS must check the county agency's records and the CPS Reports to the Central Registry to ascertain if any previous reports of abuse or neglect have been made concerning the alleged victim child or children51
b. The requirement for a face-to-face interview with any parent or caretaker, on the same day as the interview with the victim child or children, relates to the caretaker or caretakers for the alleged victim child in the residential child-care facility52. If a face-to-face interview with the caretaker cannot be accomplished on the same day as the interview with the child, there shall be documentation to reflect diligent efforts made or rationale for delaying the interview that does not compromise the safety of the child.53
c. As in all CPS investigative assessments, DSS must make a visit to the place where the victim child or children resides.54 When the alleged victim child has been moved from the facility under investigation, this requirement has special implications.
The DSS may visit the current residence of the child in order to assess the appropriateness and safety of the current placement. If the current residence is in a county other than where the facility is located, the DSS may request a courtesy interview with the child by the county DSS where the child currently resides. The child may have shared additional information with the new caretakers about events in the previous residential setting. It is important that the current caretakers are interviewed either face-to-face or by telephone in order to ascertain if this is the case.
The DSS conducting the investigative assessment must visit the residential child-care facility where the child resided at the time of the alleged incident. The facts of the allegations as related to the physical setting can be examined during this visit.
d. DSS must interview the alleged perpetrator or perpetrators face-to-face, during the course of the investigative assessment, or there shall be documentation to reflect diligent efforts made.55
f. Professionals or staff at a residential child-care facility having relevant knowledge pertaining to the alleged abuse, neglect, or dependency shall be interviewed.56 (NCAC 41I .0305).
Another valuable source for collateral information may be the parents of the alleged victim child and the parents of other non-victim children who reside in the residential child-care facility. When these children have ongoing visitation with their parents, they may have shared information with their parents about events in the residential child-care facility pertinent to the investigative assessment. The DSS conducting the investigative assessment should consult with the agency or staff responsible for these children's placements to determine if the parents are credible collaterals. The county conducting the investigative assessment may request the county DSS where the parents are located to interview the parents.
3. Special requirements for CPS investigative assessments involving residential child-care facilities:
a. A discussion of the allegations with the individual who has on-site administrative responsibility for the facility includes:
b. A discussion of the procedures to be followed during the investigative assessment;
c. The involvement of resources within and without the facility as needed and appropriate;
d. A discussion of the findings with the Administrator of the facility that shall be confirmed in writing by the county director and shall be held confidential by all parties as outlined in NCAC 41I .0313.
4. CPS reports in residential child-care settings should not be viewed in isolation. A thorough investigative assessment may reveal systemic and programmatic factors that need to be addressed. If the county DSS finds that other issues need assessment, such as training needs, administrative oversight, staffing patterns, and information provided to staff about children and their special needs, they should bring these issues to the attention of the individual who has on-site administrative responsibility.
G. Confidentiality
1. Confidentiality of Case Records
In all cases of child abuse, neglect, or dependency, there is a professional and legal responsibility to maintain confidentiality. G.S. 7B-2901 mandates confidentiality of case records and provides only for examination by the juvenile or by order of the judge. In order to protect confidentiality in CPS cases, it is recommended that DSS maintain a case record in the child's name, separate from any record in the family's name.
Under the following circumstances, persons outside the county DSS allowed to examine the case record include:
a. Federal and State personnel who carry lawful responsibility for program audit, review and evaluation;
b. The child or child's attorney, including a court appointed guardian ad litem;
c. The agency attorney when advising on the case or preparing for court;
d. The prosecutor when carrying out mandated responsibilities; and
e. Law enforcement when investigating a case on behalf of the prosecutor.
2. Confidentiality of Information
Although the identity of the reporter is confidential, DSS may reveal the name and address of the reporter to law enforcement when this information is necessary for law enforcement to perform their duties as related to the report.
The law does not preclude the necessary sharing of information among authorized agencies.57 DSS may share necessary information with public or private agencies or individuals to facilitate provision of services for the child. Other agencies or individuals who may receive pertinent information include:
a. Mental health centers,
b. Health departments,
c. Private health providers,
d. Hospitals,
e. Multi-disciplinary or interagency groups doing case consultation on child abuse or neglect,
f. Private therapists.
The Director or the Director's representative may make a written demand for any information or reports held by other agencies or individuals, whether or not confidential, that may in the Director's opinion be relevant to the protective services case.58 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. If a custodian of criminal investigative information or records believes that release of such information will jeopardize the right of the State to prosecute a defendant or the right of the defendant to receive a fair trial or will undermine an ongoing or future investigation, it may seek an order from a court of competent jurisdiction to prevent disclosure of the information
3. Sharing Information with Parents
Parents of alleged victim children have the right to know the nature of any complaint of abuse, neglect, or dependency involving their children in a residential child-care facility. DSS should share this information with the parents in a tactful manner. DSS should explain to parents the process of a CPS investigative assessment and ask them if their child has shared any information during visitation that may be pertinent to the allegations. At the conclusion of a thorough investigative assessment, DSS must inform the parents of the case decision either verbally or in writing. If verbal notice is given, the case record should include documentation of this notice to the parents. (See Post-Investigation Procedures below.)
It is permissible for DSS to share information with parents of non-victim children who reside in the residential child-care facility. Some of the non-victim children must be seen and/or interviewed as a part of a thorough investigative assessment. When these children have ongoing visitation with their birth parents, their parents should be interviewed as collateral contacts, if it is felt that they would be credible collaterals, to determine if their children have shared any pertinent information during visits.
When interviewing parents as collaterals, it is appropriate to tell them that there has been a report of abuse, neglect, or dependency involving the residential child care facility and that a CPS investigative assessment is being conducted. It is not permissible to share details of the case, such as information that would violate the confidentiality of any other adults or children involved in the investigative assessment. At no time should the DSS reveal the identity of the reporter or the identity of other children to parents.
H. Post-Investigative Assessment Procedures
1. The DSS that conducted the investigative assessment should conduct an oral review of the findings with the on-site administrator, followed by a written report.59
2. When a thorough investigative assessment is complete, the county director must inform any parent or legal custodian of the case decision.60
3. At the conclusion of the investigative assessment, the Director of the DSS conducting the investigative assessment must provide a written report to the appropriate licensing authority as outlined in Section II. E. above. The DSS must submit this report rapidly because administrative action is often dependent on this information.
4. The DSS conducting the investigative assessment must notify the alleged perpetrator of the case decision.61
5. The DSS conducting the investigative assessment must submit a completed DSS-5104 to the Central Registry.
6. The DSS that conducts the investigative assessment must document actions taken and the basis for decision-making in the case record and file all required reports. NCAC 41I .0312 requires that the DSS maintain a separate case record or a separate section in a family record on children reportedly abused or neglected. It is not appropriate to file any CPS investigative material in any case record for a residential child-care facility. The case record in the child's or family's name should contain all of the following:
a. A copy of the DSS-5104 (Central Registry form);
b. Case dictation;
c. A copy of the written report to the appropriate licensing authority;
d. A copy of written reports to the District Attorney and law enforcement if there is evidence of abuse; and
e. A copy of written notices to parents, custodians, perpetrators, or documentation if verbal notices were given.
IV. CONCLUSION
The provision of child protective services is the responsibility of county departments of social services. This task is particularly crucial for children in out-of-home settings. These children have already suffered separation from their families for various reasons. It is imperative that they not experience additional trauma from abuse, neglect, or dependency in their out-of-home placement. Therefore, it is particularly important that CPS investigative assessments not only determine whether or not a child has been maltreated, but what steps are needed to improve the level of child care in all out-of-home settings, thus preventing future maltreatment of all children in those settings.
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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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42 N.C.G.S. 7B-302(b)
43 Children’s Services Standard #3
44 N.C.G.S. 7B-302
45 N.C.G.S. 7B-101 (3)
46 N.C.A.C. 41I .0304
47 Children's Services Standard #27
48 N.C.G.S. 7B-307
49 N.C.A.C. 41I .0304
50 G.S. 7B-302
51 N.C.A.C.41I .0305 and Children's Services #22
52 N.C.A.C. 41I .0305; Children's Services Standard #11
53 Children’s Services Standard #11
54 G.S. 7B-302
55 Children's Services Standard #14
56 Ibid.
57 N.C.A.C. 41I. 0305
58 N.C.G.S. 7B-302(e)
59 N.C.A.C. 41I .305
60 N.C.A.C. 41I .0306
61 N.C.A.C. 41I .0306