Child and Family Services Policy > Section IV - Child Protection Services

Child Protection Investigation Policy

STATE of Maine

OFFICE OF CHILD AND FAMILY SERVICES POLICY

Approved by:

OCFS, Director

Section

Subsection

EFFECTIVE DATE:

December 17, 2018

LATEST REVISION:

Related Policies

List of related policies that may need to be considered during a Child Protection Investigation

I.SUBJECT
Office of Child and Family Services (OCFS) Child Protection Investigation Policy

II.PRACTICE MODEL

A.Child safety, first and foremost.

B.We recognize that family members know the most about their own families. It is our responsibility to understand Children and families within the context of their own family rules, traditions, history, and culture.

C.We support Caregivers in protecting Children in their own homes whenever possible.

III.STATUTORY AUTHORITY
22 M.R.S. §4003, §4004, §4032, §4033, and §4034

IV.POLICY

A.The Child protection investigation is the first step in providing Child welfare intervention to families. It is critical that law, policy, and procedures are followed to ensure Child safety within the context of the family whenever possible and in the Child’s best interest based on the completion of a fact-based, forensic investigation. When a Child is in circumstances of or at risk of Child Abuse and/or Neglect, the Department must take steps to ensure Child safety, which at times includes the removal of a Child from the home.

B.The Child protection investigation policy acts to guide staff in the duties authorized by 22 M.R.S. §4004 (2), which states:

“The Department shall act to protect abused and neglected children and children in circumstances that present a substantial risk of Abuse and Neglect, to prevent further Abuse and Neglect, to enhance the welfare of these children and their families and to preserve family life wherever possible. The Department shall:

A. Receive reports of Abuse and Neglect and suspicious child death;

B. Promptly investigate all Abuse and Neglect cases and suspicious child

deaths coming to its attention or, in the case of out-of-home Abuse and

Neglect investigations, the department shall act in accordance with

subchapter 11-A;

C-1. Determine in each case investigated under paragraph B whether or not a child has been harmed and the degree of harm or threatened harm by a person responsible for the care of that child by deciding whether allegations are unsubstantiated, indicated or substantiated. Each allegation must be considered separately and may result in a combination of findings.”

C.Staff must follow investigation procedures to ensure that all allegations of Child Abuse and/or Neglect are assessed through family engagement, contact with the referent, forensic interviews with Critical Case Members and corroboration of facts with those that have information regarding the safety of the Child.

V.DEFINITIONS

A.Abuse and/or Neglect: As defined in 22 M.R.S. §4002 (1), which states, “Abuse or neglect means a threat to a child’s health or welfare by physical, mental or emotional injury or impairment, sexual abuse or exploitation including under Title 17-A, section 282, 852, 853, and 855, deprivation of essential needs or lack of protection from these or failure to ensure compliance with school attendance requirements under Title 20-A section 3272, subsection 2, paragraph B or section 5051-A, subsection 1, paragraph C, by a Person Responsible for the child.”

B.Caregiver: An adult, Parent, or guardian in the Household who provides care and supervision for the Child.

C.Child: As defined in 22 M.R.S. §4002 (2), which states: “Any person who is less than 18 years of age.”

D.Child Advocacy Center (CAC): A Child focused, facility-based program where professionals from law enforcement, Child protection, prosecution, mental health, medical, and advocacy agencies, work together to interview Children who disclose sexual Abuse.

E.Child Vulnerability: These are factors specific to each Child that increase their risk of being a victim of Child Abuse and/or Neglect. These include: a Child whose age is less than 6 years, a Child with diminished developmental and/or cognitive capacity, a Child with a significant diagnosed medical or mental health disorder, a Child who is not readily accessible to community oversight, and a Child with diminished physical capacity.

F.Collateral Contact: A person who has knowledge about the family’s situation which may support or corroborate information provided by a client.

G.Critical Case Member:

1.Any person under 18 years of age alleged to have been Abused and/or Neglected; or reported to be, or found to be, residing in or visiting the home due to being the Child of a Parent/Caregiver residing in the home where Child Abuse and/or Neglect is alleged to have occurred or findings have been made;

2.Any Parent/Caregiver, Custodian, or Person Responsible for the Child in or out of the home, when the Child has been reported to Child welfare or found by Child welfare to be a victim of Child Abuse and/or Neglect; and

3.Any adult who was in a Caregiver role and has been reported to be abusing or Neglecting a Child.

H.Custodial Parent: As defined in 22 M.R.S. §4002 (4), which states: “Means a

Parent with custody.”

I.Custodian: As defined in 22 M.R.S. §4002(5), which states: “Means the person who has legal custody and power over the person of a Child.”

J.Drug Affected Baby (DAB): An Infant born identified as being affected by substance use or withdrawal symptoms resulting from prenatal drug exposure, whether the prenatal exposure was to legal or illegal drugs, or having a Fetal Alcohol Spectrum Disorder.

K.De facto Parent: An individual adjudicated as a De facto Parent under 19 M.R.S. §1891.

L.Fact Finding Child Interview: A forensically sound method of conducting interviews with a Child suspected of being Abused and/or Neglected in order to support decision making in the Child welfare investigation. This includes a fact-finding interview with the Child to investigate Child Abuse; Neglect; and signs of safety, risk, and Safety Threats in a developmentally-sensitive, unbiased, and truth-seeking manner. Information from the interview is one part of an investigation that seeks to maximize the Child’s safety, permanency, and well-being. There are three overarching characteristics of a fact-finding interview:

1.Hypothesis testing;

2.A Child-centered approach; and

3.Exploration that promotes a broader assessment

M.Family Plan: A plan focused on the Child’s best interests and safety needs. This plan is developed by the caseworker in collaboration with the family and their team when there is an open Child welfare Service Case or court case. The plan outlines the Safety and Risk Factors requiring intervention, action steps to remediate the safety concerns, as well as progress toward the permanency goals for the Child. The plan consists of expectations that are outlined in federal and state law.

N.Family Team Meeting (FTM) (IV.D-6 ): A meeting convened by DHHS which includes the family, Child (whenever appropriate), and their supports to ensure the family understands the Child safety concerns and the action steps that must occur for the Child to achieve Child safety, permanency, and well-being.

O.Fetal Alcohol Spectrum Disorders: As defined in 22 M.R.S. §4002 (5-B), which states: “Means conditions whose effects include having facial characteristics, growth restriction, central nervous system abnormalities or other characteristics consistent with prenatal alcohol exposure identified in a Child from birth to 12 months of age.”

P.Household: All persons who have significant (as determined by the nature of the Abuse, the frequency of the person’s contact with the Child, and/or the positive support provided to the Child) in-home contact with the Child, including those who have a familial or intimate relationship with any person in the home. This may include persons who have an intimate relationship with a Parent in the Household (boyfriend or girlfriend) but may not physically live in the home or a relative where the legal Parent allows the relative authority in Parent and Child caregiving decisions.

Q.Infant: An Infant is defined as a Child under one (1) year of age.

R.Interviewing the Child Without Prior Notification: As defined in 22 M.R.S. §4021 (3)(A) which states, “The Department may interview a Child without prior notification to the Parent or Custodian when the Department has reasonable grounds to believe that prior notice would increase the threat of Serious Harm to the Child or another person. The Department may conduct one initial interview with a Child without prior notification to the Parent or Custodian of the Child when the Child contacts the Department or a person providing services puts the Child into contact with the Department.” Interviewing without notification is only done with supervisory approval.

S.Investigation Activities: The procedures outlined within this policy necessary to complete a fact-based forensic investigation.

T.Jeopardy: As defined in 22 M.R.S. §4002 (6), which states: “Jeopardy to health or welfare or Jeopardy means serious abuse or neglect, as evidenced by:

• Serious Harm or threat of Serious Harm;

•Deprivation of adequate food, clothing, shelter, supervision or care or education when the Child is at least 7 years of age and has not completed grade 6.

•Deprivation of necessary health care when the deprivation places the Child in danger of Serious Harm

•Abandonment of the Child or absence of any Person Responsible for the Child, which creates a threat of Serious Harm; or

•The end of voluntary placement, when the imminent return of the Child to his Custodian causes a threat of Serious Harm.

U.Parent: As defined in 22 M.R.S. §4002(7), which states: “Means a natural or adoptive Parent or a Parent established under Title 19 M.R.S. Chapter 61, unless Parental rights have been terminated.”

V.Person Responsible for the Child: As defined in 22 M.R.S. §4002 (9), which states: “Means a person with responsibility for a Child’s health or welfare, whether in the Child’s home or another home or a facility which, as part of its function, provides for care for the Child. It includes the Child’s Custodian.”

W.Physical Observation: Observation of a Child that ensures the caseworker is able to visibly assess the Child’s body for marks and bruises related to allegations of Child Abuse and/or Neglect. This includes part of the body where there are likely to be physical indicators of abuse that would only be observed when the Child is unclothed. These observations must be completed in the presence of a Parent/Caregiver or medical professional, e.g. school nurse or pediatrician. For Child sexual abuse allegations, a referral for a physical exam must be made to a medical professional.

X.Plan for Safety: The document created with a family and their supports when one or more Safety Threats are present and Safety Interventions have been planned or taken to ensure the Safety of a Child while remaining in the care and custody of their Parents/Caregivers.

Y.Plan of Safe Care: Refers to a process to document the health needs of the infant and substance use disorder treatment needs of his or her affected family or Caregiver.

Z.Preliminary Protection Order (PPO): A Child protection petition brought before the District Court that seeks to remove custody of the Child from the Parent(s) and place the Child in the Department’s custody. PPOs include a sworn summary of the facts to support the request that there is an immediate risk of Serious Harm to the Child and identify the specific services offered to prevent the removal of a Child from the home prior to the filing of the petition. This may include aggravating factors as outlined in 22 M.R.S. §4002 (1-B).

AA.Preliminary Safety Decision (PSD): The initial safety determination made by the caseworker in consultation with the supervisor at the time of initial contact with Critical Case Members to determine if any Children are in immediate danger of Serious Harm, and therefore may require a protective intervention. These decisions include: Safe, Safe with a Plan or Unsafe.

AB.Risk Assessment Tool: A tool that determines the risk level for families, including identifying the family’s probability of future system involvement related to Abuse and/or Neglect. This tool assists caseworkers in identifying the family’s risk level and then matching the family with the appropriate level of intervention to achieve the goal of reducing the recurrence of maltreatment.

AC.Risk Factors: The presence of Parent/Caregiver concerns, Child behaviors, conditions, or past history that may increase the likelihood that Child Abuse and/or Neglect will occur in the future.

AD.Safe: A safety determination that no Safety Threats were identified at this time. Based on currently available information, there are no Child(ren) likely to be in immediate danger of Serious Harm.

AE.Safety Assessment Tool: A tool that determines the level of safety for each Child based on factors that influence Child Vulnerability, Safety Threats and Safety Planning Capacities and interventions. This tool assists caseworkers in identifying whether Child(ren) are Safe, Unsafe or Safe with a Plan if they remain in the care of their Parents/Caregivers in order to match Child welfare interventions to the needs of the Child and their family.

AF.Safety Factors: The presence of Parent/Caregiver conditions or actions of protection that decrease the likelihood that Child Abuse and/or Neglect will occur in the future.

AG.Safety Decisions: A review of all investigative information gathered to determine current and ongoing safety concerns at the time of closure of the investigation.

AH.Safety Interventions: Actions taken by the family, the caseworker, and formal or informal supports that specifically address identified Safety Threats.

AI.Safety Planning Capacities: An assessment completed by the caseworker to determine if the Parent/Caregiver is capable and willing to participate in the development of a Plan for Safety and has at least one supporting Safe adult who was not involved in the allegation and is willing and able to participate in the Plan for Safety. This assessment is based on information from the report of Abuse and/or Neglect, caseworker observations, interviews with the Child(ren), interviews with Parents/Caregivers and Collateral Contacts, and a review of records.

AJ.Safety Threats: Immediate risk of Serious Harm to a Child due to the presence of Parent/Caregiver concerns, Child behaviors, conditions, or past history.

AK.Safe with Plan: A safety determination that one or more Safety Threats are present, and Safety Interventions are necessary to ensure Child safety. Based on interventions, the Child will remain in the Parent/Caregiver’s care and custody. In these circumstances, a Department Plan for Safety, signed by the Parent/Caregiver, is required.

AL.Serious Harm: As defined in 22 M.R.S. §4002 (10), which states, “Means:

• Serious injury;

•Serious mental or emotional injury or impairment, which now or in the future is likely to be evidenced by serious mental, behavioral or personality disorder, including severe anxiety, depression or withdrawal, untoward aggressive behavior, seriously delayed development or similar serious dysfunctional behavior; or

•Sexual abuse or exploitation.

AM.Service Case: A case in which the family remains open to Child welfare involvement with the Child remaining in the Parent/Caregiver’s custody. This allows Child welfare to provide additional intervention to address Child Abuse and/or Neglect concerns.

AN.UNCOPE: A uniform screening tool that is utilized during the Child protection investigation process to identify Parent or Caregiver substance abuse issues and the need for referrals to treatment services.

AO.Unsafe: A safety determination that one or more Safety Threats are present and a petition for a Preliminary Protection Order (PPO) is necessary to ensure Child safety. The filing of a PPO is the only Safety Intervention possible for one or more of the Child(ren). Without a PPO, one or more Child(ren) will likely be in danger of immediate or Serious Harm. If any Child remains in the home, a Department Plan for Safety, signed by the Parent/Caregiver, is required.

VI.PROCEDURES

A. Report Assignment: Intake will determine the response time for each appropriate report as guided by the SDM Intake Screening and Response Tool. All appropriate reports of Child Abuse and/or Neglect will be assigned to an OCFS caseworker for investigation as follows:

1.For emergency reports, the response timeframe is twenty-four (24) hours from receipt of the report; and

2.For non-emergency reports, the response timeframe is seventy-two (72) hours from receipt of the report.

A.Assignment Activities Tool Completion: Caseworkers in collaboration with a supervisor will complete the Assignment Activity Tool located in MACWIS prior to going into the field to conduct interviews. The Assignment Activity Tool requires the caseworker to document the following:

1.Safety Factors, Risk Factors, and Safety Threats based on the reported information and review of prior history.

2.The types of Child Abuse and/or Neglect based on the allegations as well as any other possible Abuse types, including those based on any prior history with the agency.

3.Who is alleged to have perpetrated the Abuse and if they were in a Caregiver role.

4.Possible impact to the Child.

5.Identify all out of home Parents and how to locate them.

6.Review the criminal history on each Person Responsible for the Child, to include: State Bureau of Investigation report (SBI), Bureau of Motor Vehicles report (BMV), National Sex Offender Registry and information from other law enforcement agencies.

7.Determine if law enforcement or another caseworker should accompany the caseworker in the field to conduct the investigation, pursuant to the Office of Child and Family Services’ (OCFS) ( II. B )

8.If information gathered during the investigation indicates a crime may have been committed against a child, a report must be made to the District Attorney’s Office (DA referral) by the assigned caseworker within forty-eight (48) hours.

9.Identify and discuss alternative hypotheses that could account for the allegations and how these alternative explanations will be explored during the investigation.

10.List in order of priority the Critical Case Members and Collateral Contacts to interview. The most common order of interviewing is the referent, Child victim(s), non-abusing Parent/Caregiver, alleged abusing Parent/Caregiver and Collateral Contacts.

11.Discuss whether to conduct an Interview Without Prior Notification for any Child(ren) involved, as determined by 22 M.R.S.A. §4021 (3)(A).

12.Child interviews must be completed at the Child Advocacy Center (CAC) when there are allegations of Child sexual abuse. Response timeframes must be met, therefore if the CAC is unable to complete the interview within the required timeframe then a plan must be made to interview the Child in consultation with law enforcement.

13.Identify other Investigation Activities required to assess Child safety as determined by Safety Threats, Risk Factors, and Safety Factors.

14.If the report identifies the family is part of a federally recognized tribe in Maine and that ICWA ( III. A ) applies, make initial notification to the tribe within 24 hours to determine if they want to participate in Investigation Activities.

15.In extenuating circumstances when the Assignment Activity Tool cannot be completed prior to initiating Investigation Activities, it is the expectation that the tool will be completed by the end of the next business day to ensure all Investigation Activities are completed. These extenuating circumstances may include:

•After hours and weekend emergency coverage;

•Emergency calls while in the field; and

•Reports that require an immediate response.

B.Initial Contact with Critical Case Members:

1.All initial interviews with the Child(ren) must be done within the assigned response timeframe using the Fact-Finding Interviewing Protocol and documented using the Fact-Finding Child Interview Template

in the Narrative Log Module in MACWIS. All other contacts with the Child will be documented on the Face-to-Face Contact with Child Template in the Narrative Log Module in MACWIS. Interviews with the Child(ren) must be audio recorded ( IV.D-2A ) and downloaded into the V drive within 10 business days.

2.If a Child is non-verbal, a Physical Observation of the Child must be completed. For an Infant, this must include watching a diaper change. For an older non-verbal Child, a non-abusing Caregiver must be present and consent to observation of the Child. If the non-abusing Caregiver does not allow for this and there is suspicion that the Child might have physical injuries, then staff must consult with the Program Administrator and an AAG to determine the next steps to ensure Child safety, including possible court action.

3.All interviews with adult Critical Case Members must be done within the assigned response timeframe using Forensic and Motivational Interviewing techniques that promote engagement, exploration and seek to ensure the Parents/Caregivers understand why OCFS is investigating their family. Each Parent/Caregiver must be interviewed separately, unless doing so would increase the likelihood of potential harm to the Child(ren) or an adult Parent/Caregiver, for example in reports involving domestic violence. In these circumstances, the Office of Child and Family Service’s Domestic Violence and Child Abuse and/or Neglect ( IV. D-4 ) policy must be followed. The goals of the interview are to:

•Determine the Parents/Caregivers understanding of and explanation for the allegations in the report;

•Understand the family system, including background history; current family relationships; any concerns related to domestic violence, substance use or mental health; current medications; and rules/discipline.

•Gather information about the family’s relatives and other supports; and

•Obtain signed Releases of Information.

4.Every effort must be made to locate all Critical Case Members utilizing the strategies on the Activities to Locate Tool. If a Critical Case Member cannot be located, caseworkers will document the steps taken to try to locate the person.

5.Conduct a home visit where each Child primarily resides and the home where the allegations were alleged to have occurred to determine if the environment is Safe. The home visit will include:

•The Safe Sleep and Period of Purple Crying Checklists for Child(ren) under one (1) year of age pursuant to the Office of Child and Family Services’ Safe Sleep and Period of Purple Crying Policy ( IV. D-8 ). This is in addition to a Fact-Finding Child Interview and/or Physical Observation of the child.

•In circumstances when a Child is out of the home, for example an Infant in the hospital, a home visit must occur prior to the Child returning home.

•Any exceptions must have supervisory approval and be documented in MACWIS.

6.Provide Parent/Caregiver with the required pamphlets (Practice Model, Guide to Child Protection Services and the Child Welfare Ombudsman Pamphlet).

7.It is critical to corroborate information learned through Investigation Activities. Strategies must include: establishing a timeline of events; collecting evidence through interviews, photographs and measurements (e.g. distance Infant fell from a bed to a floor); and information from others who either know the family or live in proximity to the family regarding any concerns they may have related to Child Abuse and/or Neglect.

8.An additional investigation activity may include seeking expert consultation, for example, when a report is called in by a medical provider of alleged physical abuse or medical neglect. There may also be other times when it is appropriate to seek expert consultation as agreed upon by a supervisor ( IV.D-7 ).

C.Determination of the Preliminary Safety Decision (PSD)

1.The Preliminary Safety Decision determines the initial level of safety for each Child in the home and are to be made in the field prior to returning to the office. PSDs are made by the caseworker in consultation with their supervisor by phone. The caseworker and supervisor review the Structured Decision Making (SDM) Safety Assessment Tool to determine:

•Factors Influencing Child Vulnerability;

•Safety Threats

•Safety Planning Capacities and Safety Interventions; and

•Safety Decisions

2.The following determinations may be made:

•Safe: No Safety Threats were identified at this time. Based on currently available information, there are no Child(ren) likely to be in immediate danger of Serious Harm.

•Safe with Plan: One or more Safety Threats are present, and Safety Interventions have been planned or taken. Based on interventions, the Child will remain in the Parent/Caregiver’s care and custody. A Department Plan for Safety signed by the Parent/Caregiver is required.

•Unsafe: One or more Safety Threats are present and a petition for a Preliminary Protection Order (PPO) will be sought. The filing of a PPO is the only Safety Intervention possible for one or more Child(ren). Without a PPO, one or more Child(ren) will likely be in danger of immediate risk of Serious Harm. If any Child remains in the home, a Department Plan for Safety is required.

3.After completing the Safety Assessment Tool with the supervisor, when the safety assessment decision is Unsafe or Safe with Plan, a Team Decision Making (TDM) meeting will be convened. If the outcome of the TDM is to develop a Plan for Safety, the caseworker will complete the plan with the family and their supports in a Family Team Meeting held that same day.

4.Planning for safety is designed to create, increase and support immediate Child safety and to manage the Safety Threats that are placing the Child(ren) in such harm. To Plan for Safety, the following must be in place:

•The Parent/Caregiver is able to participate in the Plan for Safety .

•The Parent/Caregiver is willing to participate in a Plan for Safety.

•The Parent/Caregiver has at least one supportive, Safe adult who was not involved in the allegation and is willing and able to participate in a Plan for Safety.

5.The plan will identify the Safety Threats and specific interventions that will be taken immediately to ensure:

•Child safety within the home while the investigation continues;

•Who is responsible for monitoring compliance with the plan; and

•The anticipated completion dates.

The Plan for Safety will be documented in the MACWIS narrative log by the caseworker.

6.The Plan for Safety may only be in effect for 30 days at which time it must be reviewed and a determination made if the investigation will be closed or opened as a Service Case or a court case due to court action being initiated. At that time, elements of the Plan for Safety may be incorporated into the Family Plan.

7.The supervisor will complete the Safety Assessment Tool and document it in MACWIS within 72 hours of initial contact with Critical Case Members. The Safety Assessment Tool Summary will be copied and pasted into the narrative log module under the contact name titled Preliminary Safety Decision.

D.The following activities must be completed within the thirty-five (35) day investigation period

1.Conduct interviews with Collateral Contacts as determined by the family, caseworker, and supervisor.

2.Account for the whereabouts and safety of all biological or adopted Child(ren) of any Parent who has allegations or findings of substantiated/indicated Child Abuse and/or Neglect. This will be done through interviews with the Parents; Collateral Contacts with relatives, neighbors and other professionals involved with the family; and utilizing other sources of available data. Exceptions must be approved by the supervisor and documented in MACWIS in the narrative log.

3.Gather information from Child(ren) and Parents about maternal and paternal relatives and the Parents of any sibling(s) to the Child(ren), This information should include names, addresses, phone numbers, dates of birth, how they are related to the family and the type of support they provide. This will be documented in the MACWIS Supports window.

4.Throughout the investigation, Child welfare caseworkers will assess for any adult whose relationship with the Child(ren) is such that he or she could potentially be named as a De facto Parent. This information will be documented in the narrative log.

5.All interviews will be conducted in such a manner to establish a timeline of events related to the alleged Child maltreatment and to identify gaps in the timeline that need further exploration to ensure adequate and persuasive support for all findings decisions.

6.Determine if there are pets in the home. If the Child welfare caseworker knows or reasonably suspects animal cruelty, Abuse and/or Neglect this shall be reported to the local animal control officer or the animal welfare program of the Department of Agriculture, Conservation and Forestry within forty-eight (48) hours ( IV. J ).

7.Complete the UNCOPE questionnaire to explore for substance abuse issues with each Parent/Caregiver responsible for the Child. The UNCOPE is used by the caseworker as a method to determine if a referral should be made by the caseworker to substance abuse treatment services for the Parent/Caregiver.

8.The information gathered during the Child protection investigation must include strengths and needs of the family related to Child safety.

9.When there are new allegations of Child Abuse and/or Neglect in an open investigation, the allegations will be added to the open investigation. The assigned caseworker and supervisor will respond to the information by completing a new Assignment Activities Tool, conducting additional investigative activities to address the allegations and documenting the completion of these investigative activities in MACWIS. If the allegations have already been addressed in the current investigation, or it would not be in the Child’s best interest to conduct additional investigation interviews of the Child related to the new allegations, the caseworker and supervisor may complete the New Reports of Abuse Re-Interviewing Waiver Form

and submit it to the program administrator for approval. This waiver allows the caseworker to forego additional interviews related to the new allegations of Abuse and/or Neglect.

10.If the report includes a Drug Affected Baby (DAB) then the caseworker must create a Plan of Safe Care for that Infant as outlined in the Plan of Safe Care Policy within the thirty-five (35) day investigation timeframe.

11.The Profile Module must be updated if demographic information, including addresses, are not accurate for individuals listed in this screen.

E.The following activities must be completed before the investigation may be closed

1.The caseworker, in collaboration with their supervisor, must determine, based on the facts gathered during the investigation and the results of SDM Safety Assessment Tool and SDM Risk Assessment Tool

whether Child Abuse and/or Neglect occurred. This

determination can be made any time prior to, or at the end of, the thirty-five

(35) day investigation period.

2.The Risk Assessment Tool is used to determine the likelihood of future maltreatment and whether a case will be opened considering conditions present at the start of the investigation period and those that emerged or occurred during the investigation period.

3.The Risk Assessment Tool must be completed by the caseworker at the conclusion of the thirty-five (35) day investigation period and prior to any decision to open a Service Case or court case or to close the investigation with no additional services.

4.The caseworker and supervisor determine the final risk level based on the scored risk level and any overrides approved by the supervisor. Policy overrides and discretionary overrides are only used to increase the risk level.

Risk Classification	Safety Decision	Recommendation
Very High	Any Decision	Open Case
High	Any Decision	Open Case
Moderate	Unsafe	Open Case
	Safe with a Plan	Open Case
	Safe	Close
Low	Unsafe	Open Case
	Safe with a Plan	Open Case
	Safe	Close

5.The caseworker and supervisor will review the Safety Assessment Tool

and Risk Assessment Tool to ensure that all decisions adhere to this policy and that all Safety Threats have been addressed, planned for, and/or resolved. It may be necessary to complete a subsequent Safety Assessment Tool to determine if Safety Threats have been resolved.

6.The final decision will include the following and be documented in the MACWIS Investigation Decision window:

•Whether the Child has been Abused and/or Neglected and, if so, the type of harm experienced, who caused harm to the Child, the timeframe in which it occurred, and the impact to the Child;

•Whether continued concerns exist that require a case to be opened to provide services to the family;

•If any referrals will be made to community services; and

•When closing an investigation that does not require ongoing Child welfare intervention, provide a summary of the reason for, and nature of, the most recent Child protection involvement, list all those living in the home, identify all the services that the family is currently receiving, document any recommendations that OCFS is making, and document the reason for the closure.

7.The Child protection investigation will be approved by a Child protection supervisor after ensuring all information that is critical to support decision making is included in MACWIS. (Supervisors must ensure that the investigation has complied with policy and all required information is documented appropriately.)

8.Upon completion of the investigation, the caseworker will provide both verbal and written notification to each Parent/Caregiver or Person Responsible for the Child(ren) that either no findings of Child Abuse and/or Neglect or findings of Child Abuse and/or Neglect have been reached as a result of the investigation.

•The written findings letter will serve as the legal notification regarding any findings and will document who caused the Abuse, who the victim(s) of the Abuse were, what the Abuse to the victim was (Abuse type, i.e. – Neglect, physical Abuse, emotional Abuse or sexual Abuse), the severity of the Abuse, and what conduct on the part of the individual constituted the Abuse and/or Neglect pursuant to the definition of the finding. This letter is a legal document and will be used should the individual appeal his/her finding. A draft of the letter must be approved by the caseworker’s supervisor and signed by the supervisor upon approval of the investigation. The letter will be documented on the Findings Letter Template and saved in MACWIS in event tracking. It will be sent to the individual by certified mail within 10 days of the findings decision.

•The written no findings letter will be documented on the No Findings Letter Template and saved in MACWIS in narrative log. A draft of the letter must be approved by the caseworker’s supervisor and signed by the supervisor upon approval of the investigation. It will be sent to the individual by certified mail within 10 days of the findings decision.

VII.POLICY SUPERSEDES

Policy (PL) IV. D. Child Protection Assessment Policy Effective date 12/30/2007

VIII.LINKS TO RELATED POLICIES

II.B Staff Safety and Critical Safety Cases

III.A Indian Child Welfare

IV. C-2. Response to Infants Affected by Illegal Substance Abuse

IV. C-3. Procedural Guidelines to Assist Safe Haven Providers

IV. D-1. Child Abuse and Neglect Findings

IV. D-2A. Audio Recording Interviews

IV.D-2B. Human Trafficking Commercial Sexual Exploitation

IV. D-4. Domestic Violence and Child Abuse and Neglect

IV. D-4 A. Domestic Violence Homicide Emergency Investigation