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Child Protective Services: A Guide for Caseworkers. 2003.
User Manual Series (2003)

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Online Index of this Guide: http://www.childwelfare.gov/pubs/usermanuals/cps/index.cfm
 

Author(s):  Office on Child Abuse and Neglect (DHHS) DePanfilis, Salus

Year Published:  2003

Chapter One: Purpose and Overview

Child protective services (CPS), a division within State and local social services, is at the center of every community's child protection efforts. In most jurisdictions, CPS is the agency mandated by law to conduct an initial assessment or investigation of reports of child abuse and neglect. It also offers services to families and children where maltreatment has occurred or is likely to occur.

CPS does not work alone. Many community professionals—including law enforcement officers, health care providers, mental health professionals, educators, legal and court system personnel, and substitute care providers—are involved in efforts to prevent, identify, investigate, and treat child abuse and neglect. In addition, community-based and faith-based organizations, substance abuse treatment facilities, advocates for victims of domestic violence, extended family members, and concerned citizens, among others, also play important roles in supporting families and keeping children safe from harm. Typically, CPS is the lead agency in coordinating the efforts of the various disciplines working to protect children and to educate the community about the problems of child abuse and neglect.

This manual, Child Protective Services: A Guide for Caseworkers, provides the fundamental information that CPS professionals must know to perform essential casework functions. The manual describes:

       The philosophical basis on which CPS is founded;

       The responsibilities of CPS and its roles and relationships with other community agencies and professionals;

       The nature of the "helping relationship" and use of authority in working with children and families;

       The purposes, key decisions, and practice issues for the following stages of the CPS process:

  -     Intake
  -     Initial assessment or investigation
  -     Comprehensive family assessment
  -     Planning
  -     Service provision
  -     Evaluation of family progress
  -     Case closure

       The effective documentation of actions in case records and information systems;

       The strategies for casework supervision, training, consultation, and support.

Appendices to this manual include a glossary, sample casework tools, and references to additional publications and organizations with information on child protection.

Child abuse and neglect is a complex problem, and child protection is a challenging responsibility. No single publication can provide all the information needed to promote effective CPS practice, explore all of the relevant issues, or reflect the multitude of policy and practice variations in place across the country. This manual, however, provides a starting point and a solid foundation for casework practice that should be augmented through training, other professional development activities, and experience.

CPS workers are encouraged to read A Coordinated Response to Child Abuse and Neglect: The Foundation for Practice. That manual, the first in the series, answers the following 10 questions:

       What are the philosophical tenets of child protection?

       What is child maltreatment?

       What is the scope of the problem?

       What factors contribute to abuse and neglect?

       What are the consequences of abuse and neglect?

       What can be done to prevent abuse and neglect?

       Which laws and policies guide public intervention in child maltreatment?

       What does the child protection process look like?

       Who should be involved in child protection at the community level?

       How can organizations work together to protect children?

This manual, the second in the series, recapitulates some of the most important points of the first manual.

 

Chapter Two: Child Protective Services Theory and Practice

The basis for child protective services (CPS) is a concern for the care of children, which is expressed through laws established in every State. The legal authority and the mandates that evolved from child abuse laws are described in A Coordinated Response to Child Abuse and Neglect: The Foundation for Practice. These laws do not specify all that must be done to assist families and children, but they do provide a framework within which action can be taken.

This chapter further explores how CPS staff fulfill their responsibilities of protecting children at risk of child maltreatment. It begins with an expanded discussion of the philosophical tenets of child protection that are described in A Coordinated Response to Child Abuse and Neglect: The Foundation for Practice. The chapter continues with a discussion of the theoretical and practical framework for CPS practice. Finally, there is an examination of the competencies required of CPS workers.

Philosophy of Child Protective Services

The basic philosophical tenets of CPS include the following:

A safe and permanent home and family is the best place for children to grow up. Every child has a right to adequate care and supervision and to be free from abuse, neglect, and exploitation. It is the responsibility of parents to see that the physical, mental, emotional, educational, and medical needs of their children are adequately met. CPS should intervene only when parents request assistance or fail, by their acts or omissions, to meet their children's basic needs and keep them safe.

Most parents want to be good parents and, when adequately supported, they have the strength and capacity to care for their children and keep them safe. Most children are best cared for in their own family. Therefore, CPS focuses on building family strengths and provides parents with the assistance needed to keep their children safe so that the family may stay together.

Families who need assistance from CPS agencies are diverse in terms of structure, culture, race, religion, economic status, beliefs, values, and lifestyles. CPS agencies and practitioners must be responsive to and respectful of these differences. Further, CPS caseworkers should build on the strengths and protective factors within families and communities. They should advocate for families and help families gain access to the services they need. Often, securing access means helping families overcome barriers rooted in poverty or discrimination, such as readily accessible transportation to services.

CPS agencies are held accountable for achieving outcomes of child safety, permanence, and family well-being. To achieve safety and permanence for children, CPS must engage families in identifying and achieving family-level outcomes that reduce the risk of further maltreatment and ameliorate the effects of maltreatment that has already occurred.

CPS efforts are most likely to succeed when clients are involved and actively participate in the process. Whatever a caseworker's role, he or she must have the ability to develop helping alliances with family members. CPS caseworkers need to work in ways that encourage clients to fully participate in assessment, case planning, and other critical decisions in CPS intervention.

When parents cannot or will not fulfill their responsibilities to protect their children, CPS has the right and obligation to intervene directly on the children's behalf. Both laws and good practice maintain that interventions should be designed to help parents protect their children and should be as unobtrusive as possible. CPS must make reasonable efforts to develop safety plans to keep children with their families whenever possible, although they may refer for juvenile or family court intervention and placement when children cannot be kept safely within their own homes. To read more about the working relationship between CPS and the court system, please refer to the user manual on working with the courts.

When children are placed in out-of-home care because their safety cannot be assured, CPS should develop a permanency plan as soon as possible. In most cases, the preferred permanency plan is to reunify children with their families. All children need continuity in their lives, so if the goal is family reunification, the plan should include frequent visits between children and their families as well as other efforts to sustain the parent-child relationship while children are in foster care. In addition, the CPS agency must immediately work with the family to change the behaviors and conditions that led to the maltreatment and necessitated placement in out-of-home care.

To best protect a child's overall well-being, agencies want to assure that children move to permanency as quickly as possible. Therefore, along with developing plans to support reunification, agencies should develop alternative plans for permanence once a child enters the CPS system. As soon as it has been determined that a child cannot be safely reunited with his or her family, CPS must implement the alternative permanency plan.

Philosophical Underpinnings of CPS

Additional sources of information on the philosophical underpinnings of CPS and other child welfare service programs include:

       Pecora, P. J., Whittaker, J. K., Maluccio, A. N., Barth, R. P., & Plotnick, R. D. (2000). The child welfare challenge (2nd ed.). New York, NY: Aldine de Gruyter.

       National Association of Public Child Welfare Administrators. (1999). Guidelines for a model system of protective services for abused and neglected children and their families. Washington, DC: American Public Human Services Association.

       Child Welfare League of America. (1999). CWLA standards of excellence for services for abused and neglected children and their families (revised edition). Washington, DC: Author.

       Waldfogel, J. (1998). The future of child protection: How to break the cycle of abuse and neglect. Cambridge, MA: Harvard University Press.

       Horejsi, C. (1996). Assessment and case planning in child protection and foster care services. Englewood, CO: American Humane Association, Children's Division.

Framework for Practice

This section explains how practitioners apply the philosophical tenets described above to practice. Practitioners generally agree that a "child-centered, family-focused, and culturally responsive" framework for child welfare practice will promote the best outcomes for children.¹ This integrative framework for practice builds on five main perspectives described below:

       Ecological perspective. This perspective conceptualizes human behavior and social functioning within an environmental context. Personal, family, and environmental factors interact with each other to influence the family. Child maltreatment is viewed as the consequence of the interplay between a complex set of risk and protective factors at the individual, family, community, and society levels.

       Strength-based perspective. This perspective refers to practice methods and strategies that draw upon the strengths of children, families, and communities. Strength-based practice involves a shift from a deficit approach, which emphasizes problems and pathology, to a positive partnership with the family. The assessments focus on the complex interplay of risks and strengths related to individual family members, the family as a unit, and the broader neighborhood and environment.

       Developmental perspective. This perspective refers to understanding individual growth and development and family development from a lifespan perspective, and examines individuals and families interacting with their environments over the course of time. Effective case planning takes into account which interventions are effective with a specific child or family problem, in a specific environmental setting, and at a particular developmental stage.²

       Permanency planning orientation. This orientation holds that all children have a right to a permanent home. Child welfare service delivery should focus on safely maintaining children in their own homes or, if necessary, placing them permanently with other families. Interventions include a set of goal-directed activities designed to help children live in safe families who offer a sense of belonging and legal, lifetime family ties.

       Cultural competence perspective. This perspective requires CPS practitioners to understand the perspective of clients or peers who may come from culturally diverse backgrounds and to adapt their practice accordingly. Basic cultural competence is achieved when organizations and practitioners accept and respect differences, engage in ongoing cultural self-assessment, expand their diversity knowledge and skills, and adapt service models to fit the target populations, culture, situation, and perceived needs.³

Caseworker Competence

Developing CPS caseworker competence is an ongoing process. Caseworkers build competence through education, training, experience, and supervision. Examples of the core qualities, values, knowledge, and skills associated with competency in CPS are included in Exhibit 2-1.

Since the 1990s, the need for competent workers has increased. This reflects concerns about the quality of the delivery of services; the increasing complexity of child welfare cases; and the need for inter- and intra-system collaboration and coordination with the courts as well as mental health, juvenile justice, education, domestic violence, health care, and substance abuse services. It also stems from the legislative mandates of the Adoption and Safe Families Act (ASFA) of 1997, which requires the provision of timely assessment and intervention services to the children and families served within the CPS system.⁵

In response to ongoing staffing crises, some child welfare agencies are trying to address organizational problems and overburdened staff by setting standards for worker educational background and licensure—an effort toward "re-professionalization" of child welfare.⁶ To increase the competency of CPS staff, many States have developed and implemented competency-based training and certification programs. Some of these programs include readiness assessments and competency exams.

There is research that strongly suggests that higher education is essential for developing caseworker competencies. Both the National Association of Public Child Welfare Administrators (NAPCWA) and the Child Welfare League of America (CWLA) suggest that CPS staff should have a bachelor's or master's degree in social work (B.S.W. or M.S.W.) or a degree in a closely related field. Social work education appears to be related to job retention and staff stability, which helps produce better child welfare practice.⁷

The Link Between Higher Education and Improved Child Welfare Practice

Research findings support the efficacy of social work education for public-sector child welfare practice. The following are highlights of several key studies:

       A national study of job requirements for child welfare workers found that turnover was consistently higher in States that do not require any academic social work preparation for child welfare positions and is consistently lower in States that require an M.S.W.⁸

       A Florida study suggested that workers without education in child welfare work were most likely to leave before 1 year.⁹

       A study by Hess, Folaron, and Jefferson found that caseworker turnover was a major factor in failed reunification efforts.¹⁰

       A Maryland study found that having an M.S.W. degree appeared to be the best predictor of overall performance in social service work.¹¹

       A study of social service workers in Kentucky found that staff members with social work degrees were better prepared for their work than those without them.¹²

       Abers, Reilly, and Rittner found that child welfare staff with B.S.W. and M.S.W. degrees were more effective in developing successful permanency plans for children who had been in foster care for more than 2 years than were staff without these degrees.¹³

An important strategy for increasing the preparedness of CPS workers is to direct Federal funding toward the education and recruitment of social work students into public child welfare work. The Title IV-E Public Child Welfare Education Program represents a shift in Federally funded education and training of public child welfare workers from an emphasis on traditional inservice training through workshops, conferences, consultation, and staff development, to an emphasis on university and public agency collaboration and partnership.¹⁴ B.S.W. students report that financial support opportunities (such as loan forgiveness or stipends) and exposure to child welfare practice during their social work education program are important factors in helping them choose child welfare as a future career.¹⁵

For examples of State and Federal initiatives focused on increasing the competency of child welfare personnel, see Partnerships for Child Welfare newsletters published by the Council on Social Work Education. Available at: www.cswe.org.

Child welfare training information and materials can be found on the Online Network of Child Welfare Training Resources: http://www.childwelfare.gov/systemwide/workforce/index.cfm.

 

Chapter Three: The Helping Relationship

Developing a helping relationship with abused and neglected children and their families is critical to changing the conditions or patterns of behavior that contributed to the risk of maltreatment. Experience has demonstrated that successful intervention and treatment depend heavily on the quality of the caseworker's relationship with the children and family.

Developing helping alliances with families and children at risk for child maltreatment is challenging because they may have a history of difficulties in forming and sustaining mutually supportive, interpersonal relationships, and they may not have had positive relationships with formal systems, such as schools, social services, or counseling services.¹⁶ Whether one's role is interviewing family members as part of the initial assessment or investigation, or determining what must change to reduce the risk of maltreatment and improve outcomes for risk reduction, the quality of the caseworker's effort is directly dependent on his or her ability to develop a collaborative relationship.¹⁷

This relationship begins with the very first contact and continues to develop with ongoing caseworker and client communication and interaction. By definition, relationships have a strong emotional component. Good relationships do not just happen; they must be built. The relationship does not result from a caseworker's charismatic personality or a mystical connection between people. Rather, it is a product of the caseworker's commitment to helping the children and family, his or her ability to relate effectively on an interpersonal level, and the children and the family's willingness to be open and risk "relating" to the caseworker. Caseworkers' behavior can significantly increase the chances that a positive relationship will develop.¹⁸

Core Conditions of the Helping Relationship

Researchers have defined three core conditions that are essential to the helping relationship:

       Empathy

       Respect

       Genuineness¹⁹

A caseworker's ability to communicate these three core conditions will strongly influence whether they will build a relationship with the children and family that is characterized by cooperation or a relationship that is hostile and distrustful. Each of the conditions is described below.

Empathy

Empathy is the ability to perceive and communicate with sensitivity the feelings and experiences of another person by being an active responder rather than a passive listener. Empathy is a process of attempting to experience another person's world and then communicating an understanding of, and compassion for, the other's experience. The caseworker should focus on the verbal and nonverbal cues, such as smiling or eye-rolling, presented by the children and family and frequently share his or her understanding of what the client has communicated. The content of the message is never ignored, but empathy goes beyond the facts, circumstances, and events of the children's and family's life and conveys an understanding of how those circumstances uniquely affect them.

Empathy builds trust and openness and helps to establish rapport between the children and family and the caseworker. Caseworkers can demonstrate empathy by:

       Paying attention to verbal and nonverbal cues;

       Communicating an understanding of the children's and family's message;

       Showing a desire to understand;

       Discussing what is important to the children and family;

       Referring to the children's and family's feelings.

In their effort to be empathetic, some new caseworkers may lose their objectivity and "over-identify" with the children's perspective or, in other cases, be so family-centered as to ignore some risk factors. It also should be recognized that some in the helping profession have been abused and may over-identify with either the child or the parent. Some signs of over-identification may include a difficulty or inability seeing a parent's strengths or being unable to see any possible positive intention behind the parent's behavior. This may make it difficult to be empathetic to other family members, which may lead to counterproductive outcomes for the family as a whole.²⁰

Respect

Respect refers to the caseworker's communication of acceptance, caring, and concern for the children and family. It involves valuing the individual family members as people, separate from any evaluation of their behavior or thoughts, although this does not mean that caseworkers sanction or approve thoughts or behaviors that society may disapprove.

All human beings need to feel accepted and respected; it is especially important for abused and neglected children and their families to feel accepted and respected by their caseworker. Many abused and neglected children and their families fear or mistrust caseworkers and the social service system. The helping relationship will not be established unless the caseworker communicates respect for each person's potential. Caseworkers should believe that all people have the strength, internal resiliency, and capacity to become more competent.

Respect also means using culturally competent practice. Culturally competent practice entails:

       Cultural awareness. Caseworkers should understand and identify the critical cultural values important to the children and family as well as to themselves.

       Knowledge acquisition. Caseworkers should understand how these cultural values function as strengths in the children and family.

       Skill development. Caseworkers should be able to match services that support the identified cultural values and then incorporate them in the appropriate interventions.

       Inductive learning. Caseworkers should continue to seek solutions that include considering indigenous interventions and matching cultural values to Western interventions.²¹

Genuineness

Genuineness refers to caseworkers being themselves. This means simply that caseworkers are consistent in what they say and do, nondefensive, and authentic. They must have clear knowledge and an acceptance of the agency's authority, procedures, and policies, and of their professional role—both in its meaning to the worker and the meaning to abused and neglected children and their families. Genuineness means integrating who we are and our role in the agency with acceptance of children and families and a commitment to their welfare. If this occurs, then what caseworkers say will match their attitudes and beliefs.

However, a worker must use discretion. For example, if a caseworker feels shock, horror, or anger over a parent's abusive behavior, expressing these feelings would not be productive. In fact, it may alienate parents, causing them to be angry, defensive, or resistant. Rather, caseworkers need to be aware of their feelings and at the same time respond in a respectful manner that opens rather than closes communication.

Genuineness contributes to the helping relationship by reducing the emotional distance between the caseworker and the children and family and by helping them to identify the caseworker as another human being similar to himself or herself. Caseworkers can demonstrate genuineness by:

       Being themselves and not taking on a role or acting contrary to how they believe or feel;

       Making sure that their nonverbal and verbal responses match;

       Using nonverbal behaviors—such as eye contact, smiles, or sitting forward in the chair—to communicate trustworthiness and acceptance;

       Being able to express themselves naturally without artificial behaviors;

       Being nondefensive.²²

Another means by which caseworkers can demonstrate genuineness is through the use of self-disclosure. When used carefully, this can be an effective method for establishing a connection between the caseworker and the client. It is important, however, that self-disclosure is used judiciously to prevent a shift in the focus from the client to the caseworker.

Techniques for Building Rapport

In addition to the core conditions and guiding principles for developing a helping relationship, there are specific techniques caseworkers can use to build rapport. The following list provides some examples:

       Approach each individual involved with an open mind.

       Find out what is important to the child and to the family. For example, do not press the issue of staying sober as the priority if that is not important to the parent or caretaker, but do explain that staying sober will speed up getting the children back if that is their priority.

       Use mirroring. Take note of words used by the child or family and try to incorporate them into your conversations.

       Listen to the child or parent's explanation of the situation without correcting or arguing.

       Ask questions rather than issuing threats or commands.

       Clarify expectations and purposes. Clearly explain the helping process and the caseworker's role in working together toward solutions.

       Help the child and parent or caretaker retain a sense of control; for example, involve them in scheduling appointments and ask how they would like to be addressed.

       Clarify commitment and obligations to the working relationship.

       Acknowledge difficult feelings and encourage open and honest discussion of feelings.

       Be consistent, persistent, and follow through.

       Promote participatory decision-making for meeting needs and solving problems.²³

These are only a few key techniques; there are many other methods that will help build rapport.

Use of Authority in Child Protective Services

Child protective services (CPS) is an expression of a community's concern for the welfare of its citizens. Child protective services are provided because the community recognizes that children have the right to safety and that parents have obligations and responsibilities. The authority to provide these services is vested in the CPS agency and staff through laws and government policies. Competent CPS practice involves using this authority effectively. The use of CPS authority has special relevance at the initial assessment or investigation stage of the casework process, but is applicable at all other stages as well. In fact, effective use of authority is an essential ingredient in establishing helping relationships with all involuntary clients.

Authority, whatever its source, can impede or enable the development of trust between the CPS caseworker and the children and family. The constructive and positive use of authority involves (1) stating one's purpose and function clearly at all times, (2) supporting and challenging the children and family, and (3) expressing feelings. This approach provides the children and family with a feeling of confidence that the caseworker:

       Knows what he or she is doing;

       Is secure in his or her position;

       Intends the best for the child, parents, family, and society.²⁴

Difficulties in Using Authority Effectively

The caseworker's effective use of authority reduces opposition and assists in engaging children and families. There are several factors in CPS work that may make this difficult:

       Even though CPS caseworkers have the legally mandated authority to investigate abuse and neglect, if they lack the children's and family's respect, they may experience difficulty influencing the change process.

       There may not be agreement between CPS, the children, and the family about what constitutes appropriate and effective intervention.

       If the caseworker is not able to overcome any negative perceptions he or she has of the children and family, it may influence engagement.

       Caseworkers may not be adequately prepared to engage families of different cultural backgrounds. As a result, families may feel "invaded" by caseworkers.²⁵

Engaging the Resistant Client

Due to the involuntary nature of the majority of CPS cases, it is not unusual for families to resist offers of help. Resistance is a normal and predictable response when people feel forced to change. Caseworkers should not personalize resistance. To deal with resistance effectively, caseworkers should first change their perspective of resistance and try to see the behavior as a potential strength. How the caseworker responds to the resistance is crucial in avoiding continued abuse or escalation of inappropriate behavior. To assist in engaging resistant clients:

       Be clear, honest, and direct. Caseworkers should maintain a nondefensive stance.

       Acknowledge the involuntary nature of the arrangement. Caseworkers should explain the structure and content of intervention to the children and family.

       Be matter-of-fact and nondefensive in explaining the legal authority that permits intervention. Caseworkers should not get into a debate about authority; instead caseworkers should state what their authority is and what legal recourse the children and family may have to challenge it.

       Contact children and families in a manner that is courteous and respectful, and assess strengths as well as risks.

       Elicit the parent's concerns and wishes for assistance and convey understanding of the parent's viewpoint, including reservations about CPS involvement.

       Reduce the children's and family's opposition to contact by clarifying available choices, even when choices are constrained, by emphasizing freedoms still available and by avoiding labeling.

       Earn the respect of the children and family (and gain psychological influence) by being a good listener who strives to understand their point of view.

       Respect the right of the children and family to express values and preferences different from those of the caseworker.

       Establish feasible, small steps to help build in early success in order to recognize client efforts and progress.

       Acknowledge difficult feelings and encourage open and honest discussion of feelings.

       Reframe the family's situation. This is particularly useful when the children and family are making arguments that deny a problem or risk; it acknowledges their statements, but offers a new meaning or interpretation for them. The children's and family's information is recast into a new form and viewed in a new light that is more likely to be helpful and support change.

Techniques for Handling Hostile and Angry Situations

One form of client resistance that is particularly difficult for CPS caseworkers to manage is anger and hostility. The following are techniques for deescalating anger:

       Remain calm; try not to show fear or anxiety.

       Be firm without raising one's voice.

       Make statements simple and direct.

       Recognize and address feelings and do not take hostile statements personally.

       Offer the person a choice between positive alternatives.

       Be alert for the possibility of aggression.

       Attempt to have the person sit down, and distract him or her from the source of anger.

       Give the person lots of space; do not touch them.

       If the person attacks, use only enough force to protect yourself or restrain him or her.

       Remember it takes a person 30-40 minutes to calm down physiologically.

       After the visit, do not sit in front of the house to write notes.

       Carry a cell phone, whistle, or personal alarm and use it, if appropriate.

       Pay attention to intuition or "gut instinct," and leave if warranted.²⁶

Stages of Change

All human beings are motivated to meet basic needs. Individuals frequently differ in their state of readiness to change. In addition, client readiness to change may fluctuate over time. Motivation is clearly linked to the degree of hope that change is possible. The degree to which clients are ready to change varies over time and is described in the pattern presented in Exhibit 3-1 (i.e., precontemplation, contemplation, determination, action, and maintenance).

Since most children and families are involved with CPS involuntarily, they enter the CPS system at the precontemplation stage. By the end of the initial assessment or investigation phase, it is hoped that caseworkers will have moved children and families to the contemplation stage or, even better, to the determination stage. It is essential for children and families to be at the determination stage when developing the intervention plan. If children and families have not moved to that point, the likelihood of change is compromised.

 

 

Chapter Four: Responsibilities of Child Protective Services

According to the National Association of Public Child Welfare Administrators (NAPCWA), the mission of the child protective services (CPS) agency is to:

       Assess the safety of children;

       Intervene to protect children from harm;

       Strengthen the ability of families to protect their children;

       Provide either a reunification or an alternative, safe family for the child.²⁸

CPS is the central agency in each community that receives reports of suspected child abuse and neglect; assesses the risk to and safety of children; and provides or arranges for services to achieve safe, permanent families for children who have been abused or neglected or who are at risk of abuse or neglect. The CPS agency also facilitates community collaborations and engages formal and informal community partners to support families and protect children from abuse and neglect. To fulfill its mission, CPS must provide services, either directly or through other agencies, which are child-centered, family-focused, and culturally responsive to achieve safety, well-being, and permanency for children.²⁹ When families are unable or unwilling to keep children safe, CPS petitions juvenile or family court on the child's behalf either to recommend strategies to keep children safe at home or to be placed in out-of-home care.

This chapter provides an overview of the seven stages of the CPS process, which are described in more detail throughout the manual.

Intake

CPS is responsible for receiving and evaluating reports of suspected child abuse and neglect, determines if the reported information meets the statutory and agency guidelines for child maltreatment, and judges the urgency with which the agency must respond to the report. In addition, CPS educates individuals who report allegations of child abuse or neglect (frequently referred to as "reporters") about State statutes, agency guidelines, and the roles and responsibilities of CPS.

Initial Assessment or Investigation

After receiving a report, CPS conducts an initial assessment or investigation to determine:

       If child maltreatment occurred;

       If the child's immediate safety is a concern and, if it is, the interventions that will ensure the child's protection while keeping the child within the family or with family members (e.g., kinship care or subsidized guardianship), if at all possible;

       If there is a risk of future maltreatment and the level of that risk;

       If continuing agency services are needed to address any effects of child maltreatment and to reduce the risk of future maltreatment.

The terms "assessment" and "investigation" are used interchangeably in many States and territories, but they are not synonymous. Investigation encompasses the efforts of the CPS agency to determine if abuse or neglect has occurred. Assessment goes beyond this concept to evaluate a child's safety and risk, and to determine whether and what services are needed to ameliorate or prevent child abuse and neglect.³⁰

The initial assessment or investigation is not just a fact-finding process; it establishes the tone for all future work that may take place with a particular family. During the initial assessment or investigation, CPS must determine whether child abuse and neglect occurred and can be substantiated and whether to conduct an evaluation to determine the risk of maltreatment occurring in the future. CPS also must establish rapport with family members and engage them in the intervention process.

Family Assessment

Once a determination of child abuse or neglect has been made and the child's immediate safety has been ensured, the next step is to conduct a family assessment. During this step, the caseworker engages family members in a process to understand their strengths and needs. In particular, the caseworker works with the family to:

       Identify family strengths that can provide a foundation for change;

       Reduce the risk of maltreatment by identifying and addressing factors that place children at risk;

       Help children cope with the effects of maltreatment.

Since the impact of child maltreatment depends on the interaction of risk and protective factors, using an ecological developmental framework for this assessment is often appropriate.³¹

Case Planning

In order to achieve the desired programmatic outcomes of CPS (i.e., child safety, child permanency, child and family well-being), interventions must be well planned and purposeful. These outcomes are achieved through three types of plans:

       A safety plan, which is developed whenever it is determined that the child is at risk of imminent harm;

       A case plan, which follows the family assessment and sets forth goals and outcomes and describes how the family will work toward these outcomes;

       A concurrent permanency plan, which identifies alternative forms of permanency and addresses both how reunification can be achieved and how legal permanency with a new family might be achieved if reunification efforts fail.

All three plans should be developed collaboratively, when possible, among the CPS caseworker, the family, and community professionals who will provide services to the family.

Service Provision

This is the stage during which the case plan is implemented. It is CPS's role to arrange, provide, and coordinate the delivery of services to children and families. When possible, the services that are selected to help families achieve goals and outcomes should be based on an appropriate match of services to goals and should use best practice principles. When needed services are not readily available or accessible, an interim or alternative plan must be made with families.

Family Progress

Assessment is an ongoing process that begins with the first client contact, continues throughout the life of the case, and should incorporate reports from other service providers. When evaluating family progress, caseworkers focus on:

       Ensuring the child's safety;

       Reducing the risk of maltreatment;

       Addressing successfully any of the effects of maltreatment on the child and family;

       Achieving the goals and tasks in the case plan;

       Achieving family-level outcomes.

Case Closure

The process of ending the relationship between the CPS worker and the family involves a mutual review of the progress made throughout the helping relationship. Optimally, cases are closed when families have achieved their goals and the risk of maltreatment has been reduced or eliminated.

Some closings occur because the client discontinues services, and the agency does not have a sufficient basis to refer the situation to juvenile or family court. Other cases are closed, however, when families still need assistance. When this happens, the caseworker should carefully document what risks may still be present so this information is available should the family be referred to the agency at a later time. At the time of closure, workers should involve the family in a discussion about what has changed over time and what goals they may still have. When family needs are still apparent and are outside the scope of the CPS system, every effort should be made to help the family receive services through appropriate community agencies.

Chapter Five: Intake

Intake is the first stage of the child protective services (CPS) process and is one of the most important decision-making points in the child protection system. It is the point at which reports of suspected child abuse and neglect are received. Information gathered by caseworkers is used to make decisions regarding safety (e.g., Is the child at risk of imminent harm?), risk (e.g., What is the likelihood that maltreatment will occur sometime in the future?), and the type of CPS response required. At intake, caseworkers also perform a critical public relations function by responding professionally and sensitively to the concerns raised by community professionals and citizens, and by clarifying the role of the agency regarding referrals of suspected abuse or neglect. Referrals are accepted from all sources, and each report is treated as a potential case of child maltreatment.³²

Intake Process

Specific guidelines for conducting the intake process vary from State to State and community to community. In general, caseworkers must:

       Gather sufficient information from the reporter and agency records to be able to:

  -     Identify and locate the children and the parents or primary caregiver;
  -     Determine if the report meets the statutory and agency guidelines for child maltreatment;
  -     Assess whether the child is safe;
  -     Evaluate the motives of the reporter.

       Provide support and encouragement to the reporter by:

  -     Explaining that the purpose of CPS is to protect children and strengthen families;
  -     Emphasizing the importance of reporting and explaining the process in which the report will be tracked;
  -     Describing the types of cases accepted by CPS as well as the types of information needed from the reporter;
  -     Responding sensitively to the fears and concerns of the reporter;
  -     Discussing the State's regulations regarding confidentiality, including the circumstances under which a reporter's identity may be revealed (e.g., if required by court action in a particular case).

       Handle emergency situations such as:

  -     Calming the caller;
  -     Determining how to meet the immediate needs of the child and family being reported.

       Check agency records and the State's central registry (if appropriate) to determine if the family or child is known or has been reported to the agency previously.

Gathering Information from Reporters

The more comprehensive the information provided by the reporter, the more experienced caseworkers are able to determine the appropriateness of the report for CPS intervention; whether the child is safe; and the urgency of the response needed. State and local child protection agencies have guidelines for information-gathering at intake. In general, caseworkers should obtain information on:

       The contact information for the child and family, which helps to locate the child and family and determine if the child is at immediate risk of harm;

       The alleged maltreatment, including type, nature, severity, chronicity, and where it occurred;

       The child, including the child's condition and behavior, which helps in evaluating whether the child is in immediate risk of harm or danger and determining the urgency and type of the response;

       The parent or caregiver, including their emotional and physical condition, behavior, history, view of the child, child-rearing practices, and relationships outside the family;

       The family, including family characteristics, dynamics, and supports.

Exhibit 5-1 presents more detailed information that should be collected from the reporter within each of these areas. Although not every reporter will have all the information described, it is important to attempt to gather it to guide the investigation and ensure the appropriate decisions at intake. This may be the only opportunity the agency has to talk with the reporter.

Gathering this detailed information is essential to determine if the child is safe and how quickly contact with the family must be made to assure safety. It also enables caseworkers to identify the victim, the parent or caregiver, and the maltreater (if different from the parent or caregiver), and to determine how to locate them so that the initial assessment or investigation can be conducted. In addition, information from the reporter may identify other possible sources of information about the family and the possibility of past, current, or future abuse or neglect. Finally, it will assist the caseworker responsible for the initial assessment or investigation in planning the approach to the investigation in an accurate and effective manner.

Providing Support to Reporters

Reports of child abuse and neglect are most often initiated by telephone and may come from any number of sources. Each reporter should be given support and encouragement for making the decision to report. In addition, the reporter's fears and concerns should be elicited and addressed. These can range from fear that the family will retaliate to fear of having to testify in court.

It is often very difficult for the reporter to make the call. The telephone call usually comes after much thought has been given to the possible consequences to the child and family. More than likely, the reporter has considered that it would be easier just to do nothing or that the CPS system may not be able to help the family. It may be difficult for a reporter to think that this call will actually help the family rather than hurt it. Simple verbal reassurances or a follow-up letter that expresses the agency's gratitude to the reporter for taking the initiative to call can make the difference in the reporter's future willingness to cooperate.

Intake Information Analysis

Upon receiving a referral, the intake worker or caseworker attempts to gather as much information as possible about each family member; the family as a whole; and the nature, extent, severity, and chronicity of the alleged child maltreatment. Once the initial intake information is collected, the caseworker conducts a check of agency records or, in some States, a central registry to determine any past reports or contact with the family. Then the caseworkers must collect and analyze the information and determine if it meets the following criteria.

Statutory and Agency Guidelines

This determination is made by comparing the data collected to State law regarding the definition of child abuse and neglect and the requirements for State or county response; agency policies interpreting the laws and practice standards; agency or office customs regarding further refinement of definitions; required response times; and practical issues, such as jurisdictional authority or caseload management.³³

Credibility

An essential step in the intake process is determining the consistency and accuracy of the information being reported. In some locations, the intake workers take all reports and the investigator determines the credibility of the report; in other locations, the intake workers determine the credibility of the report. Sometimes caseworkers question the validity of the report suspecting it may be influenced by a contentious divorce, custody battle, or bad neighbor relationships. Regardless of suspicions about the motives of the reporter, if the allegations meet the statutory and agency guidelines, the case must be accepted.

A number of questions will help caseworkers evaluate the credibility of the report:

       Is the reporter willing to give his or her name, address, and telephone number?

       What is the reporter's relationship to the victim and family?

       How well does the reporter know the family?

       Does the reporter know of previous abuse or neglect? What has led him or her to report now?

       How does the reporter know about the case?

       Does the reporter stand to gain anything from reporting?

       Has the reporter made previous unfounded reports on this family?

       Is the reporter willing to meet with a caseworker in person if needed?

       Does the reporter appear to be intoxicated, extremely bitter, angry, or exhibiting behavior that makes the caseworker question his or her competency?

       Can or will the reporter refer CPS to others who know about the situation?

       What does the reporter hope will happen as a result of the report?

       Does the reporter fear reprisal from family?

       Does the reporter fear self-incrimination? For example, due to substance-abusing behavior or participation in physically abusive behavior.

When an Initial Assessment or Investigation Is Warranted

One of the primary decisions in the intake process is whether or not to accept a report for a CPS investigation. This decision is based on the law, agency policy, and information about the characteristics of the case that are likely to indicate, or result in, harm to the child. The appropriateness of this decision depends on the ability of the caseworker to gather critical and accurate information about the family and the alleged maltreatment and to apply law and policy to the information gathered.³⁴

States have different criteria and tools for acceptance of the report. Some of the steps caseworkers should take in making this decision include:

       Referring to State law. The law defines what is considered child maltreatment under State statutes. These definitions are the caseworkers' ultimate source of guidance.

       Reviewing agency policies. Agency policies include State and local guidelines. They may have additional information regarding definitions and how to respond to different types of reports.

       Discussing with the supervisor how these guidelines are implemented in the office. Sometimes customs develop among caseworkers or units that may not reflect agency guidelines. This often occurs as a result of many years of practice and improvisation over time. Unfortunately, these adaptations to circumstances may lead caseworkers away from carrying out their mandated responsibilities.

Whether to accept a case for initial assessment or investigation or to refer it to other community agencies depends on the following:

       If the child appears to be at risk of harm due to circumstances other than direct parental or caregiver maltreatment, are there other agencies that can intervene quickly enough to guard the safety of the child? For example, in cases of partner abuse with the child in the home, the police are often the most appropriate first responders. CPS also may need to be involved if it is determined that there is potential for harm to the child.

       Problems that may be more appropriately served by other agencies include parental substance abuse, parental or child physical or mental illness, developmental disability, lack of resources to meet basic needs, lack of information about appropriate parenting, lack of sufficient support systems during a crisis, lack of daycare, the child's constant truancy, or severe learning problems that do not endanger the child.

       The circumstances that could result in imminent danger to the child should be determined, as well as whether a referral to an appropriate agency will ensure service delivery; whether the connection between appropriate services and the family is so tenuous that the child may not receive the needed intervention, thereby requiring protective intervention; or whether an initial report focused on the need for other services is masking other, more serious, dangers to the child.

This decision is based on having accurate and comprehensive information as well as the ability of the worker to assess and use the information to develop a clear picture of the situation and to apply the law and policy to the case. Agency screening tools can be helpful in making this decision.³⁵

Immediate Risk

Determining the urgency of the response to the report is essential to the safety assessment. CPS's primary concern should be to establish whether the child is safe, pending a face-to-face contact by the agency or another professional trained in assessing safety.³⁶ Many States have their own criteria for response times based on the nature of the report. The criteria considered are the level of severity of the incident or the harm to the child, the person responsible for the alleged abuse or neglect, and the family's situation.³⁷

Response Time

Once it has been determined that an initial assessment or investigation is warranted, the next step is to determine the safety of the child and how quickly CPS must respond to the case. Many States have their own criteria for response times based on the nature of the maltreatment and the family situation.

The following factors generally are used by CPS agencies to distinguish between reports that require an immediate response, reports requiring a response within 24 hours, and reports that require a CPS response but do not involve immediate or continuing danger of serious harm to the child. CPS should respond immediately when:

       The child's injury is severe or the alleged maltreatment could have resulted in serious harm—for example, shooting a gun, pushing a child down the stairs, locking a child in a small enclosed space, not providing enough food to eat over an extended period of time, or locking a toddler out of the house without supervision.

       The child is particularly vulnerable because of age, illness, disability, or proximity to the alleged perpetrator, or the child is a danger to himself or herself, or others.

       The behavior of the parent or caregiver, including an inability to take care of the child, is known to have caused harm or endangered the child or others. Or the behavior of the parent or caregiver is unpredictable and could result in serious harm to the child.

       There is no person who is able and willing to act on the child's behalf in the time that is required to keep the child safe long enough for CPS to intervene within normal time frames.

       The family is likely to flee the area with the child or abandon the child.

       The report involves child sexual abuse, and the child continues to have contact with the alleged perpetrator.

       The child has current physical injuries that need to be documented, such as photographing injuries or measuring bruises.³⁸

Case Examples

The caseworker must examine the total picture to evaluate if there is a clear opportunity for the child to be seriously harmed if there is no immediate intervention. To determine how quickly the agency must respond to a particular case, caseworkers must consider the factors that individually present a risk to the child, as well as any factors (such as domestic violence or substance abuse) that in combination present an even greater risk to the child. The presence of several factors and one or more combinations of factors requires an immediate response by CPS.

Case Examples

A Case Requiring an Immediate CPS Response:

A single mother who has been diagnosed as having paranoid schizophrenia is having delusions of killing her 6-month-old infant. The mother stopped taking her medication (often required when pregnant) and has been drinking heavily. The community psychiatric nurse who has been visiting the home weekly was told by the mother never to come back.

A Case Requiring a CPS Response Within 24 Hours:

A daycare provider reports a 3½-year-old child because he has bruises and welts on his buttocks. The child provides three different stories of how they occurred, none of which seem plausible. There are no previous reports of maltreatment and the daycare provider who has been caring for this child for 18 months has never seen bruises before. The daycare provider reports that the mother drops off and picks up the son. The child is very active, difficult to manage, and has attempted to hurt other children.

A Case Not Requiring a CPS Response Within 24 Hours:

During the first 3 months of school, the children of a single mother were absent over one-half of the days. When the 7-year-old girl and 10-year-old boy do come to school, they have severe body odor and dirty clothes. The school nurse treated the children for lice and scabies, and the 7-year-old falls asleep in class. The school has contacted the mother, who has not followed through with any of her commitments regarding the children.

Importance of Community Education in Reporting

CPS is dependent on the general public and community professionals to report suspected child abuse and neglect. CPS is responsible for educating the community on how to identify suspected child maltreatment and what types of referrals are appropriate. Intake provides an important opportunity to educate the public regarding the types of cases that should be reported to CPS, the type of information needed in a report, and CPS's initial assessment or investigation and intervention efforts. In addition, it is essential to treat reporters professionally and with respect and sensitivity. Communication and interaction at the intake stage affect how the community views CPS and influence the community's willingness to report cases in the future.

Community Partners in Child Protection

Because child abuse and neglect is complex and multidimensional, CPS alone cannot effectively intervene in the lives of maltreated children and their families. A coordinated effort that involves a broad range of community agencies and professionals is essential for effective child protection. (These roles and responsibilities are outlined in more detail in the user manual, A Coordinated Response to Child Abuse and Neglect: The Foundation for Practice.) CPS must take a lead role in developing and maintaining collaborative relationships with potential referral sources, law enforcement officials, and other professionals who investigate the presence of maltreatment, and with professionals and agencies that provide medical and mental health evaluation and treatment.

Over the past 10 years, promising, community-based child protection initiatives have been implemented that broadened the base of responsibility for supporting families and protecting children. Initially, model programs evolved from targeting intervention activities in high-risk neighborhoods and rebuilding a sense of community toward empowering individual families by teaching and mentoring, building on strengths, and respecting cultural diversity.³⁹ More recent child welfare reforms have focused on a more flexible and differential response for investigating reports of child abuse and neglect, including the diversion of low- and moderate-risk families to community-based services.⁴⁰

For more information on developing partnerships, check other manuals in the series by visiting www.childwelfare.gov/pubs/usermanual.cfm.

 

Chapter Six: Initial Assessment or Investigation

Caseworkers feel pressure from many different directions—children, families, statutory and agency expectations, and themselves. Family members who are reported to child protective services (CPS) typically feel embarrassed, defensive, angry, confused, threatened, and helpless. As families experience these feelings, they need the CPS caseworker to provide them with information to understand what they are accused of, what may happen, what the next steps are, what they can expect from the agency, and what they are expected to do. The agency expects the caseworker to meet the statutory deadlines by quickly gathering information about the children and family and determining if maltreatment occurred, the likelihood that it will occur again, and the threat of immediate serious harm to the child. At the same time caseworkers should manage their own fears and doubts—Is the child really safe? What else could I have done?⁴¹

This chapter describes the purposes of the initial assessment or investigation—to gather and analyze information in response to CPS reports, to interpret the agency's role to the children and families, and to determine which families will benefit from further agency intervention. After interviewing all parties and gathering all relevant information, CPS caseworkers must determine whether maltreatment has occurred and can be substantiated. In most States, CPS staff are mandated by law to determine whether the report is substantiated or founded (meaning that credible evidence indicates that abuse or neglect has occurred) or whether the report is unsubstantiated or unfounded (meaning that there is a lack of credible evidence to substantiate child maltreatment—but does not mean it did not necessarily occur). Depending on State law, CPS agencies usually have up to 30, 60, or 90 days after receiving the report to complete the initial assessment or investigation. A major part of the initial assessment or investigation includes determining whether there is a risk or likelihood of maltreatment occurring in the future and whether the child is safe (not at risk of imminent, serious harm). In addition, CPS caseworkers must decide whether ongoing services to reduce risk and assure child safety should be provided by the CPS agency or other community partners. This chapter addresses the following:

       Effective initial assessment or investigation characteristics

       Initial assessment or investigation decisions

       Initial assessment or investigation processes

       Interviewing techniques

       Community involvement

       Special practice issues

Effective Initial Assessment or Investigation Characteristics

In cooperative investigations, CPS workers form an alliance with both the children and family. In a well-handled investigation, the worker:

       Involves the children and family during the exploration of the allegations to gain their perceptions of the allegations;

       Focuses on the children's, the parent's, and the family's strengths and resources; their plans for building protective factors; and past and present actions to protect the children;

       Listens carefully to the family's experience to make sure they know they have been heard and understood;

       Demonstrates sensitivity and empathy regarding the anxiety experienced by the children and family;

       Communicates clearly and openly CPS's statutory role;

       Focuses on small steps, making sure the children and family understand each one;

       Involves the children and family in the decisions that affect them by providing choices and opportunities for input;

       Demonstrates flexibility in the interview;

       Focuses on gathering comprehensive information rather than trying to identify solutions, which is best left for later in the casework process.⁴²

Initial Assessment or Investigation Decisions

To make effective decisions during the initial assessment or investigation process, the CPS caseworker must have competent interviewing skills; be able to gather, organize, and analyze information; and arrive at accurate conclusions. Critical decisions that must be made at this stage of the CPS process include the following:

       Is child maltreatment substantiated as defined by State statute or agency policy?

       Is the child at risk of maltreatment, and what is the level of risk?

       Is the child safe and, if not, what type of agency or community response will ensure the child's safety in the least intrusive manner?

       If the child's safety cannot be assured within the family, what type and level of care does the child need?

       Does the family have emergency needs that must be met?

       Should ongoing agency services be offered to the family?

Decision Point One: Substantiating Maltreatment

The substantiation decision depends on the answers to two questions: "Is the harm to the child severe enough to constitute child maltreatment?" and "Is there sufficient evidence to support this being a case of child maltreatment?"⁴³ Even in those cases lacking evidence, CPS caseworkers should still document information since unsubstantiated reports may eventually show a pattern that can be substantiated. Due to varying State regulations regarding the expungement of records, this may not be possible for all agencies.

Upon completion of the initial assessment, the caseworker must determine the disposition of the report based on State laws, agency guidelines, and the information gathered. CPS agencies use different terms for this decision—substantiated, confirmed, unsubstantiated, founded, or unfounded. To guide caseworker judgment in making the substantiation decision, each State has developed policies that outline what constitutes credible evidence that abuse or neglect has occurred. Most States have a two-tiered system: substantiated-unsubstantiated or founded-unfounded. Some States have a three-tiered system of substantiated, indicated, or unsubstantiated. The indicated classification means the caseworker has some evidence that maltreatment occurred, but not enough to substantiate the case.

At this point in the decision-making process, caseworkers should ask themselves:

       Have I obtained enough information from the children, family, and collateral contacts to adequately reach a determination about the alleged abuse or neglect?

       Is my decision on substantiation based upon a clear understanding of State laws and agency policies?

       Have I assessed the need for other agency or community services when CPS intervention is not warranted?

The following sections discuss substantiation decisions for different types of maltreatment—child neglect, physical abuse, sexual abuse, and psychological maltreatment.⁴⁴

Determining Child Neglect

Determining child neglect is based on the answers to two questions: "Do the conditions or circumstances indicate that a child's basic needs are unmet?" and "What harm or threat of harm may have resulted?"⁴⁵ Answering these questions requires sufficient information to assess the degree to which omissions in care have resulted in significant harm or significant risk of harm. Unlike the other forms of maltreatment, this determination may not be reached by looking at one incident; the decision often requires looking at patterns of care over time. The analysis should focus on examining how the child's basic needs are met and identifying situations that may indicate specific omissions in care that have resulted in harm or the risk of harm to the child.⁴⁶

Affirmative answers to the following questions may indicate that a child's physical and medical needs are unmet:

       Have the parents or caregivers failed to provide the child with needed care for a physical injury, acute illness, physical disability, or chronic condition?

       Have the parents or caregivers failed to provide the child with regular and ample meals that meet basic nutritional requirements, or have the parents or caregivers failed to provide the necessary rehabilitative diet to the child with particular health problems?

       Have the parents or caregivers failed to attend to the cleanliness of the child's hair, skin, teeth, and clothes? It is difficult to determine the difference between marginal hygiene and neglect. Caseworkers should consider the chronicity, extent, and nature of the condition, as well as the impact on the child.

       Does the child have inappropriate clothing for the weather and conditions? Caseworkers must consider the nature and extent of the conditions and the potential consequences to the child.

       Does the home have obvious hazardous physical conditions? For example, homes with exposed wiring or easily accessible toxic substances.

       Does the home have obvious hazardous unsanitary conditions? For example, homes with feces- or trash-covered flooring or furniture.

       Does the child experience unstable living conditions? For example, frequent changes of residence or evictions due to the caretaker's mental illness, substance abuse, or extreme poverty?

       Do the parents or caregivers fail to arrange for a safe substitute caregiver for the child?

       Have the parents or caregivers abandoned the child without arranging for reasonable care and supervision? For example, have caregivers left children without information regarding their whereabouts?⁴⁷

While State statutes vary, most CPS professionals agree that children under the age of 8 who are left alone are being neglected. It is also agreed that children older than 12 are able to spend 1 to 2 hours alone each day. In determining whether neglect has occurred, the following issues should be considered, particularly when children are between the ages of 8 and 12:

       The child's physical condition and mental abilities, coping capacity, maturity, competence, knowledge regarding how to respond to an emergency, and feelings about being alone.

       Type and degree of indirect adult supervision. For example, is there an adult who is checking in on the child?

       The length of time and frequency with which the child is left alone. Is the child being left alone all day, every day? Is he or she left alone all night?

       The safety of the child's environment. For example, the safety of the neighborhood, access to a telephone, and safety of the home.

Determining Physical Abuse

In determining whether physical abuse occurred, the key questions to answer are "Could the injury to the child have occurred in a nonabusive manner?" and "Does the explanation given plausibly explain the physical findings?"⁴⁸ The caseworker must gather information separately from the child, the parents, and other possible witnesses regarding the injuries. The following questions may help determine if abuse occurred:

       Does the explanation fit the injury? For example, the explanation of a baby falling out of a crib is not consistent with the child having a spiral fracture. It is important to know the child's age and developmental capabilities to assess the plausibility of some explanations. It is also crucial to receive input from medical personnel and exams.

       Is an explanation offered? Some caregivers may not offer an explanation, possibly due to denial or an attempt to hide abuse.

       Is there a delay in obtaining medical care? Abusive caregivers may not immediately seek medical care for the child when it is clearly needed, possibly to deny the seriousness of the child's condition, to try to cover up the abuse, or in hope that the injury will heal on its own.

Caseworkers must also examine the nature of the injury, such as bruises or burns in the shape of an implement, e.g., a welt in the shape of a belt buckle or a cigarette burn.

Determining Sexual Abuse

In addition to the factors mentioned in determining physical abuse, the caseworker should ask the following questions to determine whether sexual abuse has occurred:

       Who has reported that the child alleges sexual abuse? For example, caseworkers should be alert to separated or divorced parents making allegations against each other.

       What are the qualifications of the professional reporting the physical findings? For example, if the health care providers do not routinely examine the genitalia of young children, they may mistake normal conditions for abuse or vice versa.

       What did the child say? Did the child describe the sexual abuse in terms that are consistent with their developmental level? Can the child give details regarding the time and place of the incident?

       When did the child make a statement or begin demonstrating behaviors suspicious of sexual abuse and symptoms causing concern? Was the child's statement spontaneous? Has the child been exposed to adult sexual acts?

       Where does the child say the abuse took place? Is it possible for it to have occurred in that setting? Is it possible that the child is describing genital touching that is not sexual in nature? For example, bathing the child.⁴⁹

Determining Psychological Maltreatment

Psychological maltreatment has been given relatively little serious attention in research and practice until recently. There are many reasons for this, including problems with inadequate definitions, failure to establish cause-and-effect relationships, and the difficulty of clarifying the cumulative impact of psychological maltreatment.⁵⁰ In order to determine if psychological maltreatment or emotional abuse occurred, caseworkers must have information on the caregiver's behavior over time and the child's behavior and condition. Caseworkers must determine whether there is a chronic behavioral pattern of psychological maltreatment, such as caregivers who place expectations on the child that are unrealistic for the child's developmental level, threaten to abandon the child, or direct continually critical and derogatory comments toward the child. There also must be indicators in the child's behavior suggestive of psychological maltreatment; however, the child's behavior alone is often insufficient to substantiate a case. Caseworkers must determine whether the child has suffered emotional abuse. The following questions may help determine if psychological maltreatment has occurred:

       Is there an inability to learn not explained by intellectual, sensory, or health factors?

       Is there an inability to build or maintain satisfactory interpersonal relationships with peers or adults?

       Are there developmentally inappropriate behaviors or feelings in normal circumstances?

       Is there a general pervasive mode of unhappiness, depression, or suicidal feelings?

       Are there physical symptoms or fears associated with personal or school functioning, such as bedwetting or a marked lack of interest in school activities?⁵¹

Demonstrating a causal connection between the caregiver's behavior and the child's behavior is often difficult to substantiate. This minimally necessitates that the caseworker observe caregiver-child interaction on several occasions, as well as be informed from other sources' observations (e.g., school personnel, relatives, and neighbors).

Decision Point Two: Assessing Risk

Risk factors are influences present in the child, the parents, the family, and the environment that may increase the likelihood that a child will be maltreated. Risk assessment involves evaluating the child and family's situation to identify and weigh the risk factors, family strengths and resources, and agency and community services.⁵² While risk assessment has been an integral part of CPS since the field's inception, the formalization of the process and decision-making, through the development of risk assessment instruments, has taken place just within the last 12 to 15 years.⁵³

This section describes risk assessment models and its key elements, the analysis of risk assessment information, special cases of risk assessment (when substance abuse or domestic violence coexist with maltreatment), and cultural factors for consideration.

Risk Assessment Models

The majority of States use risk assessment models or systems that are designed to:

       Guide and structure decision-making;

       Predict future harm and classify cases;

       Aid in resource management by identifying service needs for children and families served;

       Facilitate communication within the agency and with other community stakeholders.⁵⁴

Exhibit 6-1 presents additional detail of the types of risk assessment information in each area.

Analysis of Risk Assessment Information

Caseworkers analyze the information collected to determine what information is significant as it relates to the risk of maltreatment. The following are suggested steps for assessing risk:

       Organize the information by defined category (e.g., education level, stressors);

       Determine if there is sufficient and believable information to confirm the risk factors, strengths and resources, and their interaction;

       Use the risk model to assign significance to each of the risk factors and strengths.⁵⁶

The caseworker groups this information into an overall picture of the family and its dynamics and analyzes it to assess the current level of risk of maltreatment. This dictates the next steps in service provision and interaction with the family.

Risk Assessment in Cases of Substance-Abusing Families

Risk assessment in these cases also examines the extent of substance use, its impact on lifestyle, and its impact on parenting. The following scales are often used to assess risk in families where there is substance abuse:

       Parent's commitment to recovery. This scale assesses a parent's stage of recovery, willingness to change behavior, and desire to live a life free from alcohol and other drugs.

       Patterns of substance use. This scale assesses the parent's pattern of alcohol and other drug use—ranging from active use without regard to consequences to significant periods of abstinence.

       Effects of substance use on child caring. This scale assesses the parent's ability to care for his or her children and meet their emotional and physical needs.

       Effects of substance use on lifestyle. This scale assesses a parent's ability to carry out his or her everyday responsibilities and any consequences that may have for the family.

       Support for recovery. This scale assesses parent's social network and how that network may support or interfere with recovery.⁵⁷

The Child Welfare League of America (CWLA) suggests some questions caseworkers can ask regarding alcohol and other drug abuse to facilitate risk assessment in these cases:

       Do you use any drugs other than those prescribed by a physician?

       Have you ever felt you should cut down on your drinking or drug use?

       Has a physician ever told you to cut down or quit the use of alcohol or drugs?

       Have people annoyed you by criticizing or complaining about your drinking or drug use?

       Have you ever felt bad or guilty about your drinking or drug use?

       Have you ever had a drink or drug in the morning ("eye opener") to steady your nerves or to get rid of a hangover?

       Has your drinking or drug use caused a family, job, or legal problem?

       When drinking or using drugs, have you had a memory loss or blackout?⁵⁸

Risk Assessment in Cases in Which Partner Abuse and Child Maltreatment Coexist

The following factors should be considered to assess risk in cases where partner abuse and child abuse and neglect coexist:

       An abuser's access to the child or adult victim

       The abuser's pattern of abuse
  -     Frequency or severity of the abuse in current and past relationships
  -     Use and presence of weapons
  -     Threats to kill the victim or other family members
  -     Stalking or abduction
  -     Past criminal record
  -     Abuse of pets
  -     Child's exposure to violence

       The abuser's state of mind
  -     Obsession with the victim
  -     Jealousy
  -     Ignoring the negative consequences of the violence
  -     Depression or desperation

       Individual factors that reduce the behavioral controls of either the victim or abuser
  -     Abuses alcohol or other substances
  -     Uses certain medications
  -     Suffers from psychosis or other major mental illnesses
  -     Suffers from brain damage

       A victim, child, or abuser thinking about or planning suicide

       An adult victim's use of physical force or emotional abuse

       A child's use of violence

       Situational factors
  -     Presence of other major stresses, such as poverty, loss of a job, or chronic illness
  -     Increased threat of violence when victim leaves or attempts to leave abuser
  -     Increased risk when abuser has ongoing or easy access to victims
  -     Physical inability of nonabusing parent to protect child due to assault
  -     Nonabusing parent's fear of leaving or inability to leave due to economic status or lack of place to go

       Past failures of response systems (e.g., courts, law enforcement) to react appropriately.⁵⁹

The following are areas to assess with a child regarding partner abuse and child maltreatment:

       Pattern of the abusive conduct. What happens when your parents (the adults) fight? Does anyone hit, shove, or push? Are serious threats made? Does anyone throw things or damage property? Has anyone used a gun or knife? When was the last big fight between your parents?

       Impact of domestic violence on the adult victim. Has anyone been hurt or injured? Is your mom or dad afraid? How do your parents act after a bad fight? Have you ever seen the police or anyone come over because of their fights? Have you seen injuries or damaged property?

       Impact of domestic violence on the child. Have you ever been hurt by any of their fights? What do your brothers or sisters do during fights? Are you ever afraid when your parents fight? How do you feel during a fight? After the fight? Do you worry about the violence? Do you talk to anyone about the fights? Do you feel safe at home? Have you ever felt like hurting yourself or someone else?

       Child's protection. Where do you go during their fights? Have you tried to stop a fight? Have you ever had to take sides? In an emergency for your parent or yourself, what would you do? Who would you call? Have you ever called for help? What happened?

       Child's knowledge of danger. Has anyone needed to go to a doctor after a fight? Do the adults use guns or knives? Do you know where the gun is? Has anyone threatened to hurt someone? What did the person say?⁶⁰

Cultural Factors in Risk Assessment

Caseworkers should integrate cultural sensitivity into the risk assessment process by:

       Considering the family's cultural identification and perception of the dominant culture;

       Inquiring about the family's experience with mainstream institutions, including CPS and other service providers in the community;

       Assuring clarity regarding language and meanings in verbal and nonverbal communication;

       Understanding the family's cultural values, principles of child development, child caring norms, and parenting strategies;

       Gaining clarity regarding the family's perceptions of the responsibilities of adults and children in the extended family and community network;

       Determining the family's perceptions of the impact of child abuse or neglect;

       Assessing each risk factor with consideration to characteristics of the cultural or ethnic group;

       Considering the child and family's perceptions of their response to acute and chronic stressors;

       Explaining why a culturally accepted behavior in the family's homeland may be illegal here.⁶¹

Decision Point Three: Determining Child Safety

A child is considered unsafe when he or she is at imminent risk of serious harm. Safety is an issue throughout the life of a case. The Adoption and Safe Families Act (ASFA) requires that States assess and assure a safe environment for children in birth families, out-of-home placements, and adoptive homes. It is important to remember that determining the risk of maltreatment and the child's safety are two separate decisions. Children may be at risk of harm some time in the future (risk assessment) and they may currently be safe (no threat of imminent serious harm). The following sections describe the key safety decision points, the steps for arriving at the safety decision, and the development of a safety plan.

Safety Decision Points

There are two key decision points during the initial assessment or investigation in which the child's safety is evaluated. During the first contact with the child and family, the caseworker must decide whether the child will be safe during the initial assessment or investigation. The question caseworkers must ask themselves is, "Is the child in danger right now?" Caseworkers assess current danger by searching for factors in the family situation and caregiver behavior or condition, including emotions, physical circumstances, and social contexts. Examples include: young children with serious injuries that are inconsistent with the caregiver's explanation; children in the care of people who are out of control or violent; and premeditated maltreatment or cruelty.

The second critical time for evaluating safety is at the conclusion of the initial assessment. This safety assessment follows the determination of the validity of the report and the level of risk. Caseworkers must determine:

       Whether the child will be safe in his or her home with or without continuing CPS services;

       Under what circumstances a case can be diverted to community partners;

       Under what circumstances intensive, home-based services are necessary to protect a child;

       Whether the child needs to be placed in out-of-home care.

To determine safety at this point, the caseworker uses the findings of the risk assessment. The caseworker identifies the risk factors that directly affect the safety to the child; the risk factors that are operating at a more intense, explosive, immediate, or dangerous level; or those risk factors that in combination present a more dangerous mix. The caseworker weighs the risk factors directly affecting the child's safety against the family protective factors (i.e., strengths, resiliencies, resources) to determine if the child is safe.⁶²

Steps for Arriving at the Safety Decision

The sequential steps for arriving at the safety decision include:

1. Identifying the behaviors and conditions that increase concern for the child's safety, and considering how they affect each child in the family.

2. Identifying the behaviors or conditions (i.e., strengths, resiliencies, resources) that may protect the child.

3. Examining the relationship among the risk factors. When combined, do they increase concern for safety?

4. Determining whether family members or other community partners are able to address safety concerns without CPS intervention.

5. Considering what in-home services are needed to address the specific behaviors or conditions for each risk factor directly affecting the child's safety.

6. Identifying who is available (CPS or other community partners) to provide the needed service or intervention in the frequency, time frame, and duration the family needs to protect the child.

7. Evaluating the family's willingness to accept and ability to use the intervention or service at the level needed to protect the child.⁶³

If the services or interventions are not available or accessible at the level necessary to protect the child, or if the caregivers are unable or unwilling to accept the services, the caseworker should consider whether the abusive caregiver can leave home and the nonoffending caregiver can protect the child. If not, the caseworker should consider whether out-of-home care and court intervention is needed to assure the child's protection.

Development of a Safety Plan

The safety plan and the case plan have two different purposes. The interventions in the safety plan are designed to control the risk factors posing a safety threat to the child. Interventions in the case plan, however, are designed to facilitate change in the underlying conditions or contributing factors resulting in maltreatment. To control the risk factors directly affecting child safety, the safety interventions must:

       Have a direct and immediate impact on one or more of the risk factors;

       Be accessible and available in time and place;

       Be in place for the duration of the threat of harm;

       Fill the gaps in caregiver protective factors.

In identifying safety interventions and developing a safety plan, CPS caseworkers are required to make reasonable efforts to preserve or reunify families. Child safety is the most important consideration in these efforts. ASFA also states that when certain factors are present (e.g., abandonment, torture, chronic abuse, some forms of sexual abuse, killing of another person or the child's sibling, or termination of parental rights for another child), they constitute enough threat to a child's safety that reasonable efforts are not required to prevent placement or to reunify the family. The sequence of least intrusive to most intrusive safety interventions include:

       In-home services, perhaps combined with partial out-of-home services (e.g., daycare services);

       Removal of abusive caregiver;

       Relative or kinship care;

       Out-of-home-placement.

When possible, the safety assessment should be conducted jointly with the family; it may not, however, be safe to include the perpetrator. The safety plan also should be negotiated with the family. This accomplishes the following:

       Caseworker and caregiver can assess the feasibility of the caregiver following the safety plan.

       Caseworker can be assured that the caregiver understands the consequences of his or her choices.

       Caregiver is provided with a sense of control over what happens.

       Caregiver is able to salvage a sense of dignity.⁶⁴

Decision Point Four: Determining Emergency Needs

Child maltreatment is often not an isolated problem; many families referred to CPS experience multiple and complex problems, often at crisis levels. Due to any number of these problems that may be identified during the initial assessment or investigation, the CPS caseworker is often in the position of determining whether a family has emergency needs and of arranging for emergency services for the child and family. Examples of emergency services can include:

       Medical attention

       Food, clothing, and shelter

       Mental health care

       Crisis counseling

Decision Point Five: Offering Services

The decision that a caseworker makes at the end of the initial assessment or investigation is whether a family should be offered ongoing child protective services or other agency services. Who is offered services and on what basis that decision is made depend on the guidelines and availability of services that vary from State to State and sometimes county to county. In some cases, the decision is made based on whether a report is substantiated. In other instances, the decision to offer services is based on the level of perceived risk of maltreatment in the future since substantiation alone is not the best predictor of future maltreatment.

Noninvestigative or Alternative Responses

Traditionally CPS agencies are required to respond to all reports of child maltreatment with a standard investigation that is narrowly focused on determining whether a specific incident of abuse actually occurred.⁶⁵ States are attempting to enhance CPS practice and build community partnerships in responding to cases of child maltreatment. One changing area of CPS practice is greater flexibility in responding to allegations of abuse and neglect. A "dual track" or "multi-track" response permits CPS agencies to respond differentially to children's needs for safety, the degree of risk present, and the family's need for support or services. Typically, in cases where abuse and neglect are serious or serious criminal offenses against children have occurred, an investigation will commence. An investigation focuses on evidence gathering and will include a referral to law enforcement. In less serious cases of child maltreatment where the family may benefit from services, an assessment will be conducted. In these cases, the facts regarding what happened will be obtained, but the intervention will emphasize a comprehensive assessment of family strengths and needs. The assessment is designed to be a process where parents or caregivers are partners with the CPS agency, and that partnership begins with the very first contact. States that have implemented the "dual track" approach have shown that a majority of cases now coming to CPS can be safely handled through an approach that emphasizes service delivery and voluntary family participation in addition to the fact finding of usual CPS investigations.⁶⁶ CPS can switch a family to the investigative track at any point if new evidence is uncovered to indicate that the case is appropriate for investigation rather than assessment.⁶⁷

Initial Assessment or Investigation Process

To make accurate decisions during the initial assessment or investigation, caseworkers must:

       Employ a protocol for interviewing the identified child, the siblings, all of the adults in the home, and the alleged maltreating parent or caregiver;

       Observe the child, the siblings, and the parent or caregiver's interaction among family members, as well as the home, the neighborhood, and the general climate of the environment;

       Gather information from any other sources who may have information about the alleged maltreatment or the risk to and safety of the children;

       Analyze the information gathered in order to make necessary decisions.

Using Interview Protocols

The initial assessment or investigation of alleged maltreatment of children requires that CPS respond in an orderly, structured manner to gather sufficient information to determine if maltreatment took place and to assess the risk to and safety of the child. Employing a structured interview protocol ensures that all family members are involved and that information-gathering is thorough; increases staff control over the process; improves the capacity of CPS staff to collaborate with other disciplines; and increases staff confidence in the initial assessment or investigation conclusions. If at all possible, family members should be interviewed separately in the following order:

       Identified child

       Any siblings or other children in the home

       Alleged perpetrator

       All other adults in the home separately

       Family as a whole

Depending on the circumstances of the report, it must be determined whether it is in the child's best interest for the CPS worker to initiate an unannounced visit to interview the parent or to contact the parent to schedule an interview.⁶⁸ If the child is out of the home at the time (e.g., the child is at school), the process should begin with an introduction to the parent(s) to explain the purposes of the initial assessment or investigation and, if required by law, request permission to interview all family members individually, beginning with the identified child. It is important to remember that the safety of the child is of paramount importance in every case. If there is concern that talking with the parents first or obtaining their permission to interview the child places the child at risk of imminent harm, then the CPS caseworker should proceed in a manner that assures the child's safety. All family members should be interviewed alone to establish rapport and a climate of trust and openness with the caseworker, which is designed to increase the accuracy of the information gathered. A benefit noted across professional boundaries regarding the use of individual interviewing protocols is that it enables the caseworker to utilize information gathered from one interview to assist in the next interview.

Planning the Interview Process

Based on the information gathered at intake, each initial assessment or investigation should be planned with consideration given to:

       Where the interviews will take place;

       When the interviews will be conducted;

       How many interviews will likely be needed;

       How long each interview will likely last;

       Whether other agencies should be notified to participate in the interviews.

Interviewing the Sources

During the initial assessment or investigation process, caseworkers should conduct interviews with the following individuals:

       Identified child victim. The purpose of the initial interview with the identified child is to gather information regarding the alleged maltreatment and any risk of future maltreatment, and to assess the child's immediate safety. Because CPS's purpose is beyond just finding out what happened with respect to any allegations of maltreatment, the interview with the child addresses the strengths, risks, and needs regarding the child, his or her parents, and his or her family.

       Siblings. Following the interview with the identified child, the next step in the protocol is to interview siblings. The purpose of these interviews is to determine if siblings have experienced maltreatment, to assess the siblings' level of vulnerability, to gather corroborating information about the nature and extent of any maltreatment of the identified child, and to gather further information about the family that may assist in assessing risk to the identified child and any siblings.

       All of the nonoffending adults in the home. The primary purpose of these interviews is to find out what adults know about the alleged maltreatment, to gather information related to the risk of maltreatment and the safety of the child, to gather information regarding family strengths or protective factors, and to determine the adults' capacity to protect the child, if indicated.

       Alleged maltreating parent or caregiver. The purpose of this interview is to evaluate the alleged maltreating caregiver's reaction to allegations of maltreatment as well as to the child and his or her condition, and to gather further information about this person and the family in relation to the risk to and safety of the child.

Examples of the types of information that a caseworker should gather from each of these sources are presented in Exhibit 6-2.

Obtaining Information from Other Sources

Other sources may have information that will help in understanding the nature and extent of the alleged maltreatment and in assessing the risk to and safety of the child. According to CWLA's Standards for Service for Abused or Neglected Children and Their Families, other potential sources include, but are not limited to, professionals such as teachers, law enforcement officers, and physicians. Other community agencies, institutions, caretakers, or individuals known to the child and the family, such as relatives and neighbors, also may be consulted.⁶⁹ It also may be advisable to run a criminal background check on all adults in the home to ascertain prior abuse or other illegal activity. To protect the family's confidentiality, however, interviews or contacts with others should not be initiated without cause. The family also may disclose other persons who may have information about the alleged maltreatment or about the family in general. These contacts should be pursued within the constraints of the State law that mandates the scope of the initial assessment or investigation or, if indicated, clients may give permission for others to be contacted.

Following Up with the Children and Family

Following the completion of the interviews, the caseworker should reconvene the child and family, as appropriate, to:

       Share with them a summary of the findings and impressions;

       Seek individual responses concerning perceptions and feelings;

       Indicate interest in the children and family;

       Provide information about next steps, including whether ongoing services will be offered and whether court intervention will occur;

       Demonstrate appreciation for their participation in the process.

Interviewing Techniques

Part of the caseworker's responsibility is to increase the likelihood that the family will engage with the agency and follow a recommended course of action. This section describes techniques for interviewing and observing children and families. Exhibit 6-3 delineates principles underlying motivational interviewing.

Interviewing Young Children

The primary goals of interviewing young children are increasing the accuracy and reliability of information, decreasing potential suggestibility, and minimizing trauma. Very young children are often more compliant, suggestible, and easily confused than older children. In addition to various emotions such as fear and anxiety, the accuracy of the interview is influenced by the child's age, understanding of events, interviewer style and demand for details, as well as by the structure and nature of questions.⁷¹ Interviewing young children involves special considerations that include the use of age-appropriate interviewing techniques and tools to minimize the trauma of the initial assessment or investigation process. Use of these tools also increases the reliability of the information obtained. In addition, the child may have already had to go through numerous earlier interviews, which will affect the caseworker's interview. Since investigatory interviews determine the need for protection and can influence the legal viability and the outcome of court cases, only caseworkers trained in interviewing young children should conduct these interviews.

Basic Interviewing Principles

Regardless of what methods the caseworker uses to interview children, there are some basic principles to consider in all such interviews:

       Establish credibility and attempt to develop rapport with the child.

       Help the child relax by playing with available toys, sit with the child at his or her eye-level, and wait patiently until the child is relatively comfortable.

       Assess the child's understanding of key concepts that will help to establish credibility as the interview proceeds into sensitive areas.

       Reduce vocabulary problems by using the child's language and clarify any areas of confusion.

       Be attuned to the capacities and limitations of a young child as the interview progresses.

It is important to be aware of the child's level of comfort, and, if he or she becomes distracted or fidgety, take a break and continue the interview at a later time. The caseworker should directly address any fears that the child may have.

Developmental Considerations

Children go through a series of normal developmental stages and changes. Therefore, it is important to consider the following stages when interviewing young children:

       Preschool children's thinking is very concrete, and their ability to think abstractly is still developing. Since irony, metaphor, and analogy are beyond their grasp, it is very important not to assume that children understand concepts presented.

       Preschool children do not organize their thinking or speech logically. Instead, they say whatever enters their mind at the moment, with little censoring or consideration . Therefore, their narratives tend to be disjointed and rambling, resulting in the need for the interviewer to sort out relevant from irrelevant data; it is beyond the children's cognitive capacities to do this alone. It is important not to ask them leading questions, however.

       Preschool children's understanding of space, distance, and time is not logical or linear, generally. Their memory will not work chronologically, since they have not learned units of measurement. To help place the time of an incident, use reference points such as birthdays, holidays, summer, night or day, lunchtime, or bedtime.

       Issues of truth versus lying are particularly complex in the preschool years. Children in this age group may tell lies under two circumstances: to avoid a problem or punishment, or to impress adults or get attention. Research varies, however, on whether children can manufacture stories based on information that they have not learned or experienced. Despite their occasional tendency to tell false stories, children in the preschool years usually do know the difference between fact and fantasy and between the truth and a lie. Gentle probing and nonleading questions from the interviewer will usually help children reveal what is true and what is false.

       Preschool children are generally egocentric. They think the world revolves around them and they relate all that happens to personal issues. These children do not usually think of what effect their actions will have on others, nor do they usually worry about what others think. As a result, interviewers of young children must be aware that children may be emotionally spontaneous in ways that are occasionally disconcerting to adults.

       The attention span of preschool children is limited. Long interviews are often not possible because the child simply cannot concentrate or sit in one place for long periods of time. The interviewer should be flexible, conducting several short sessions over a period of time.

       Many 2- and 3-year-olds are afraid to talk with an unfamiliar person without a parent present. The interviewer should work slowly to help children separate from the parent, when possible. If this process is difficult, the interview may need to begin with a parent present, working toward separate interviews at a later time once the child feels more comfortable. Interviewers should be flexible and follow a child's lead, as long as it is within the protocol and policies established by their agency.⁷²

Techniques and Tools for Interviewing Young Children

The most important tool in any interview is individualizing the approach based on the circumstances and the child's developmental status and level of comfort with the interviewer. Planning for the interview should take the setting into consideration. The ideal interview setting is a comfortable room where stress is minimized for the child. The following should be employed in creating the setting:

       A neutral setting where the child does not feel pressured or intimidated. The alleged maltreating person should not be in the vicinity.

       A room with a one-way mirror. This enables one person to be with the child while other professionals who need information can observe.

       A small table and chairs or pillows or rugs for sitting on the floor.

       Availability of anatomical dolls, felt-tipped markers or crayons and paper, toy telephones, doll house with dolls, Playdough, puppets, etc.

Anatomically Correct Dolls

The use of anatomically correct dolls can be useful when interviewing children regarding alleged sexual abuse. Anatomical dolls have genitalia and breasts proportional to body size and appropriate to the gender and age of the child. The clothes the dolls wear can be easily removed and are appropriate to the child's age and gender. The uses of dolls include:

       Icebreaker. The dolls can be used to begin the conversation, cueing the child that the interviewer wants to talk about body parts. It can enhance the child's comfort level.

       Anatomical model. This is one of the most common uses of the dolls. The interviewer can use the dolls to determine the child's labels for different body parts. They can also be used to help the child show where any touching occurred.

       Demonstration aid. This is the most common function of the dolls. It enables the child to show behaviors that he or she has described to confirm the interviewer's understanding and help reduce any miscommunication. The dolls may be used with children who have limited verbal skills to help them show, rather than tell, what happened.

       Memory stimulus and screening tool. The dolls may trigger a child's recall of specific events of a sexual nature. The child may either demonstrate a specific sexual act while interacting with the dolls or have a strong negative reaction.⁷³

Observing Young Children

Part of the process of gathering adequate information includes the caseworker's responsibility to observe the identified child, other family members, and the environment. Specific areas for observation are:

       Physical condition of the child, including any observable effects of maltreatment;

       Emotional status of the child, including mannerisms, signs of fear, and developmental status;

       Reactions of the parents or caregivers to the agency's concerns;

       Emotional and behavioral status of the parents or caregivers during the interviewing process;

       Interactions between family members, including verbal and body language;

       Physical status of the home, including cleanliness, structure, hazards or dangerous living conditions, signs of excessive alcohol use, and use of illicit drugs;

       Climate of the neighborhood, including level of violence or support, and accessibility of transportation, telephones, or other methods of communication.

Community Involvement

While CPS agencies have the primary responsibility for conducting initial assessment or investigation, other agencies or professionals may be integrally involved in the process.

Coordinating with Law Enforcement

Since CPS and law enforcement often work together in responding to child abuse and neglect (in some States, all abuse and neglect reports go initially to the police), it is vital for them to establish strong working relationships and collaborate effectively. A memorandum of understanding (MOU) and protocols should be established between CPS and law enforcement agencies to identify roles and responsibilities as well as the circumstances that dictate when:

       Reports should be initiated and shared between agencies;

       Joint initial assessment or investigation should be initiated;

       Cases necessitate immediate notification to other agencies;

       Oral and written reports should be initiated and shared.

After an MOU or protocol is established, training should provide caseworkers with familiarity of the defined roles and responsibilities.

In addition, parameters should be established for cases where law enforcement assistance may be needed to remove a child or an alleged offender from the home, or when there is a concern for the caseworker's safety.

For more information on reporting laws, see the State Statute series published by Child Welfare Information Gateway available at: www.childwelfare.gov/systemwide/laws_policies/index.cfm.

Involving Other Professionals

In addition to law enforcement, other disciplines often have a role in the initial assessment or investigation process:

       Medical personnel may be involved in assessing and responding to medical needs of a child or parent and perhaps in documenting the nature and extent of maltreatment.

       Mental health personnel may be involved in assessing the effects of any alleged maltreatment and in helping to determine the validity of specific allegations. They may also be involved in evaluating the parent's or caregiver's mental health status and its effect on the safety to the child.

       Alcohol and other drug specialists may be involved in evaluating parental or caregiver substance abuse and its impact on the safety of the child.

       Partner abuse experts may be asked to assist in examining the safety of the child in cases where partner abuse and child maltreatment co-exist. These professionals may also be involved in the safety planning process.

       Educators may be involved in providing direct information about the effects of maltreatment and other information pertinent to the risk assessment.

       Other community service providers who have had past experience with the child or family may be a resource in helping to address any emergency needs that the child or family may have.

       Multidisciplinary teams may be used to help the CPS agency analyze the information related to the substantiation of maltreatment and the assessment of risk and safety.

       Other community partners such as intensive, home-based service workers; parent aides; daycare providers; afterschool care providers; foster parents; volunteers; or relatives may be used to help the agency implement a plan to keep the child safe within his or her own home.

       Juvenile court may be involved in helping to assure the safety of the child and to provide continuing protective services to the child and family when the child's safety cannot be protected, and the parents or caregivers have refused agency intervention.

For additional information on community collaboration, check other Manuals in the series at: http://www.childwelfare.gov/pubs/usermanual.cfm

Special Practice Issues

There are several special issues related to the initial assessment or investigation phase—the effects of removal, caseworker safety, substantiation appeal hearings or reviews, investigation in institutional settings, and the safety of children in foster care.

Effects of Removal

In order to assure protection, CPS may have to remove the child or reach agreement with family members that the alleged offender will leave the family and have no unsupervised contact with the alleged victim. Removal of the alleged offender is a less intrusive intervention but it should only be used if the caseworker is certain that there will be no contact with the victim. The removal of a family member has a dramatic affect on the feelings, behaviors, and functioning of individual family members and the family as a whole.

When CPS has to remove children from their families to protect them, they set in motion numerous issues and problems for the child. Placement outside the family often negatively affects the child's emotional well-being. Being uprooted from the only family one has known, from one's routines and familiar surroundings, is emotionally debilitating to children. Parents who abuse or neglect their children may also demonstrate love and attention to their children. This may be the only adult to whom the child has bonded. It is important to remember that the child suffers a devastating loss—the loss of being taken away from his or her birth family.

Placement away from the birth family therefore means more than the physical loss of living with the family; it also means having to deal with the loss of relationships and the loss of control over one's life. Children coming into substitute care suffer a significant loss to their self-esteem and are under a great deal of stress. Therefore, it is important to remember that when placing children, caseworkers should always maintain a focus on reducing the uncertainty and anxiety for children. Some strategies for helping children better manage the placement include:

       Involving the family and children in the safety plan and the placement process, when appropriate;

       Providing contact with the family after placement as soon as possible-ideally, within the first week;

       Reassuring children that there is nothing wrong with them and that they are not to blame for the placement;

       Providing children with information about the reasons for the placement, where they are going, and how long they may remain there;

       Allowing children to take as many personal favorite items as possible, such as photos of the family or home, toys or stuffed animals, and clothing;

       Finding out as much about the children as possible—their likes and dislikes, routines, medical issues—and informing the substitute care provider;

       Encouraging children to express their feelings and normalize those feelings, possibly through starting a journal or notebook;

       Giving children a phone number to contact the caseworker.

Family members are also traumatized by the placement. They, too, need immediate contact with their children; concern and empathy from the caseworker; and involvement in the placement process.

Caseworker Safety

Every CPS case has the potential for unexpected confrontation due to the involuntary nature of investigations and assessments. It is important for caseworkers to acknowledge the nature of CPS intervention and the client's view of their role. While difficulties may occur at any point in the process, threats and volatile situations are more likely to occur during the initial assessment or investigation, during crisis situations, and when dramatic action is taken (e.g., removal of a child or the decision to take a case to court). The first step in ensuring caseworker safety is to assess the risk of the situation before the initial contact. Questions caseworkers should consider include the following:

       Are the subjects violent or hostile?

       Does the situation involve family violence, including partner, elder, or child abuse?

       Does the situation involve physical or sexual abuse or a fatality?

       Are the family members exhibiting behaviors that indicate mental illness?

       Are the family members presently abusing or selling substances?

       Are the parents or caregivers involved in ritualistic abuse or cult practices?

       Does the information note life-threatening or serious injuries to the children?

       Will the children be removed from the family situation on this visit?

       Is the family's geographic location potentially dangerous?

       Will the caseworker go into an area with limited available supports?

       Is the area known for high crime or drug activity?

       Does the housing situation or neighborhood increase concerns for staff personal safety?

       Does anyone in the home have a previous history of violence or multiple referrals? Have there been previous involuntary removals of family members?⁷⁴

Preventive Measures for Making Home Visits

       Always be sure that the supervisor or other agency personnel are informed of the caseworker's schedule.

       Observe each person in and around the area closely and watch for signs that may indicate any potential for personal violence.

       Follow one's instincts. Anytime the caseworker feels frightened or unsafe, he or she should assess the immediate situation and take whatever action is necessary to obtain protection.

       Learn the layout of the immediate area around the home and the usual types of activities that occur there to provide a baseline from which to judge potential danger.

       Avoid dangerous or unfamiliar areas at night.

       Learn the safest route to the family's home.

       Be sure the car is in good working order, and park in a way for quick escape, if necessary.

       Carry a cell phone.

       Assess whether it is safe to accept refreshments.

       Learn how to decline offers of food or other refreshments tactfully.⁷⁵

Substantiation Appeal Hearings or Reviews

Every State has a mechanism to appeal an agency's decision to substantiate abuse or neglect. Some States have a formal or administrative hearing process where the parent or caregiver substantiated as a perpetrator of child maltreatment can request a hearing to review the decision. In these hearings, the burden of proof rests with the CPS agency. If the review reverses or modifies the substantiation decision, then the CPS agency will have to revise the records.

Initial Assessment or Investigation in Institutional Settings

States differs with respect to who is responsible for initially assessing or investigating allegations of child abuse and neglect in out-of-home care. In some States, local CPS staff have responsibility for investigating certain types of allegations (e.g., in daycare settings). The investigation of alleged maltreatment in institutional settings is often handled by central or regional CPS or licensing staff rather than by local CPS agencies. Depending on the nature of the allegations, law enforcement agencies also will assume a primary role in investigating these types of cases. A coordinated approach helps minimize the trauma to children and childcare staff.

Interviews in Institutional Settings

Investigation of alleged maltreatment in institutional settings includes interviewing:

       Alleged victim(s)

       Staff witness(es)

       Child witness(es)

       Administrator or supervisor of the alleged perpetrator

       Alleged perpetrator

The primary questions to be asked in these cases include:

       Did the reported event occur independent of extenuating circumstances?

       Is the administrative authority culpable and, if so, in what manner?

       Is the problem, if validated, administratively redressable?

       Are personnel actions indicated and, if so, are they being initiated appropriately by the residential facility?

       What responsibility do others in the facility have for any incident of maltreatment, and is a corrective action plan needed to prevent the likelihood of future incidents?

       How can the victim be interviewed and still be protected from repercussions?

Safety in Foster Care Placements

Caseworkers should continually assess the risk to and safety of children once placed in foster or kinship care settings. Considerations include:

       What is the level of acceptance of the placed child into the family? Notice whether the placed child is included in family routines and life. Is the child appropriately physically incorporated into the home, for example, does the child have a place for his or her belongings and a seat at the table? Examine family interaction. Is the child fully or selectively involved? Is the child included appropriately in family communications? Does the family share equally with the child?

       Are the kinship or foster parents' expectations for the placement and the child being met?

       Are the kinship or foster parents satisfied with the arrangement?

       How do the kinship or foster parents explain their parenting expectations, style, and responses to the placed child?

       What specific perceptions of and attitudes toward the placed child do the kinship or foster parents hold?

       What are the kinship or foster parents' attitudes about, opinions of, and relationship to the placed child's parents and family?

       What methods of discipline does the foster or kinship family use?

       Have circumstances or composition of the family changed in any way since the placement?

       What does the child report? Listen for acceptance into and involvement with the family or exceptions or differences between how the family deals with its own children and the placed child.

       How is the child physically, emotionally, socially, and behaviorally? Is the child's condition a result of the care received in the child's own home, the adjustment to the new home or family setting, or the possible mistreatment by the kinship or foster parents?

       What are the attitudes and perceptions that the placed child has about the care situation?

       What expectations does the child have for this family situation? Are they realistic? Do they stimulate positive or negative reactions from family members (and caregivers specifically)? Do they result in the child behaving in challenging and difficult ways?

       What are the similarities and difference between the placed child and other children in the family?

       How has the family functioning been affected since the placement?⁷⁶

 

 

Chapter Seven: Family Assessment

During the initial assessment, the child protective services (CPS) caseworker has identified behaviors and conditions about the child, parent, and family that contribute to the risk of maltreatment. During the family assessment, the CPS caseworker engages the family in a process designed to gain a greater understanding about family strengths, needs, and resources so that children are safe and the risk of maltreatment is reduced. The family assessment is initiated immediately after the decision is made that ongoing services are needed.

This chapter explores principles for conducting family assessments, key decisions made during family assessments, the family assessment process, community collaboration, and special practice issues related to cultural sensitivity and cultural competence.

Family Assessment Principles

Family assessments, in order to be most effective, should be culturally sensitive, strengths-based, and developed with the family. They should be designed to help parents or caretakers recognize and remedy conditions so children can safely remain in their own home.⁷⁷ Given the emphasis on timeliness built into the Adoption and Safe Families Act (ASFA), the assessment of the family's strengths and needs should be considered in the context of the length of time it will take for the family to provide a safe, stable home environment.

A culturally sensitive assessment recognizes that parenting practices and family structures vary as a result of ethnic, community, and familial differences, and that this wide range can result in different but safe and adequate care for children within the parameters of the law. Each family has its own structure, roles, values, beliefs, and coping styles. Respect for and acceptance of this diversity is a cornerstone of family-centered assessments. The assessment process must acknowledge, respect, and honor the diversity of families.⁷⁸

A strengths-based assessment "recognizes that people, regardless of their difficulties, can change and grow, that healing occurs when a family's strengths, not its weaknesses, are engaged, and that the family is the agent of its own change."⁷⁹ While an outline for the family assessment process increases the likelihood that all assessment areas are covered, family assessments must be individualized and tailored to the unique strengths and needs of each family.⁸⁰ An individualized assessment is undertaken in conjunction with other service providers to form a comprehensive picture of the individual, interpersonal, and societal pressures on the family members—individually and as a group. This holistic approach takes both client competencies and environment into consideration and views the environment as both a source of and solution to families' problems.⁸¹ When possible, the assessment process also should be conducted in conjunction with the families' extended family and support network through the use of family decision-making meetings and other formats.⁸²

For both practice accountability and empirical usefulness, CPS caseworkers should consider using assessment tools and standardized clinical measures to evaluate risk and protective factors. Tools that support the assessment of specific family strengths, needs, and resources include:

       Genogram—diagram resembling a family tree completed with the family's assistance;

       Ecomap—diagram linking the family tree with outside systems and resources;

       Self-report instruments—questionnaire or survey measuring beliefs, strengths, risks, and behaviors;

       Observational tools—devices enabling professionals to examine personal and family dynamics.⁸³

Using such tools, identified needs are translated into specific intervention outcomes that form the basis of time-limited, individualized case plans.

In summary, while the initial assessment identifies the risk factors of concern in the family, the family assessment considers the relationship between strengths and risks and identifies what must change in order to keep children safe, reduce the risk of future maltreatment, increase permanency, and enhance child and family well-being. Consequently, where the initial assessment identifies problems, the family assessment promotes an understanding of the problems and becomes the basis for an intervention plan.

Family Assessment Decisions

Based on the additional information gathered and analyzed, the caseworker must ask the following questions to inform the assessment:

       What are the risk factors and needs of the family that affect safety, permanency, and well-being?

       What are the effects of maltreatment that affect safety, permanency, and well-being?

       What are the individual and family strengths?

       What do the family members perceive as their problems and strengths?

       What must change in order for the effects of maltreatment to be addressed and for the risk of maltreatment to be reduced or eliminated?

       What are the parent's or caregiver's level of readiness for change and motivation and capacity to assure safety, permanency, and well-being?

To arrive at effective decisions during the family assessment process, the CPS caseworker should use competent interviewing skills to engage the family in a partnership; gather and organize information; analyze and interpret the meaning of the information; and draw accurate conclusions based on the assessment.

Family Assessment Process

To accomplish the purposes of the family assessment, caseworkers should:

       Review the initial assessment or investigation information;

       Develop a family assessment plan;

       Conduct the family assessment by interviewing all members of the household and other individuals the family identifies as having an interest in the safety and well-being of the child;

       Consult with other professionals as appropriate;

       Analyze information and make decisions.

Review the Initial Assessment or Investigation Information

To provide focus for the family assessment, the caseworker should begin by reviewing the information previously gathered and analyzed during the initial assessment or investigation. Based on an analysis of this information, the caseworker should develop a list of questions that need to be answered during the family assessment process. The following questions are examples of areas that the caseworker may want to examine:

       What was the nature of the maltreatment (type, severity, chronicity)?

       What was the family's understanding of the maltreatment?

       Which risk factors identified during the initial assessment or investigation are most concerning?

       What is the child's current living situation with regard to safety and stability?

       Was a safety plan developed? What has been the family's response to this plan?

       What is currently known about the parent or caregiver's history? Are there clues that suggest that further information about the past will help to explain the parent or caregiver's current functioning?

       What is known about the family's social support network? Who else is supporting the family and who will be available on an ongoing basis for the family to rely on?

       Are there any behavioral symptoms observed in the child? How has the child functioned in school and in social relationships? Who else may have information about any behavioral or emotional concerns?

       Have problems been identified that may need further examination or evaluation (e.g., drug or alcohol problems, psychiatric or psychological problems, and health needs)?

       What further information about the family will help provide an understanding of the risks and protective factors related to the potential of continued maltreatment?

Develop a Family Assessment Plan

Based on the areas identified through the review, the caseworker should develop a plan for how the assessment process will occur. In general, it takes an average of 4 to 6 weeks to "get to know" the family enough to draw accurate conclusions, although laws may vary from State to State regarding the time before an assessment is required. The following issues need to be considered in developing the plan for the assessment:

       When will the first meeting be held with the family?

       How often will meetings with the family occur?

       Where will meetings be held and how will the setting be controlled?

       Who will be involved in each meeting? Are there other persons (e.g., friends, extended family, other professionals) who have critical information about the needs of this family? How will they be involved in the process?

       Will the services of other professionals be needed (e.g., for psychological tests, or alcohol or other drug abuse assessments)?

       What reports may be available to provide information about a particular family member or the family as a system (e.g., from school or health care providers)?

       When will the information be analyzed and a family assessment summary completed?

       How will the caseworker share this information with the family?

Conduct the Family Assessment

Once the plan for the assessment has been established, the caseworker should conduct interviews with the child and family to determine the treatment needs of the family. Four types of meetings are held:

Meeting with the Family

If possible and if it is safe for all family members, the caseworker should meet with the entire family to begin the family assessment. This ensures that each family member knows the expectations from the beginning; everyone's participation is judged important; and communication is open and shared among family members.

During this initial contact, the caseworker should provide an opportunity for the family to discuss the initial assessment, share the plan for conducting the family assessment, and seek agreement on scheduling and participation. The caseworker should be specific with the family about the purposes of the family assessment and should avoid technical or professional terminology. It also is important to affirm that the intention of CPS is to help the family keep the child safe and address mutually identified problems to reduce the risk of child maltreatment in the future. The caseworker should attempt to gain an initial understanding of the family's perception of CPS and its current situation.

To gain a better understanding of family dynamics, at least one assessment meeting beyond the introductory session should be conducted with the entire family to observe and assess the roles and interactions. Caseworkers should consider communication patterns, alliances, roles and relationships, habitual patterns of interaction, and other family-related concepts.

Meeting with the Individual Family Members

Meetings with individual family members, including the children, should be held. At the beginning of each meeting, the caseworker should clarify the primary purpose of the interview and attempt to build rapport by identifying areas of common interest. It is important to demonstrate appreciation of the person and his or her situation and worth. This is not an interrogation; the caseworker is trying to better understand the person and the situation.

In each individual meeting, the caseworker should carefully explore the areas that have been identified previously for study. In interviews with the children, the emphasis will likely be on understanding more about any effects of maltreatment. In interviews with the parents, the emphasis is on trying to uncover the causes for the behaviors and conditions that present risk and obtain the parents' perceptions of their problems. As part of meetings with the parents, it is important that the caseworker examines the influence that family history and culture may have on current behavior and functioning. In meetings with both children and parents, the caseworker should also attempt to obtain family members' perceptions about the strengths in their family and how these strengths can be maximized to reduce the risk of maltreatment.

Meeting with the Parent or Caregiver

In families with more than one adult caregiver, the caseworker should arrange to hold at least one of the meetings with the adults together, if it is possible and safe for both adults. During this interview, the caseworker should observe and evaluate the nature of the relationship and how the two communicate and relate. The caseworker should also consider and discuss parenting issues and partner satisfaction and seek the parent or caregiver's perception of problems, the current situation, and the family. The worker should be alert to signs that could indicate the possibility of partner abuse and avoid placing either adult in a situation that could increase risk, such as referring to sensitive information that may have been disclosed in individual meetings. As appropriate or if requested, the caseworker may also provide referrals for resources or services to clients experiencing difficulties that are not risk factors.

Consulting with Other Professionals

While the CPS caseworker has primary responsibility for conducting the family assessment, frequently other community providers may be called upon to assist with the assessment. Other providers should be consulted when there is a specific client condition or behavior that requires additional professional assessment. For example:

       The child or parent exhibits undiagnosed physical health concerns or the child's behaviors or emotions do not appear to be age-appropriate (e.g., hyperactivity, excessive sadness and withdrawal, chronic nightmares, bed wetting, or aggressive behavior at home or at school);

       The parent exhibits behaviors or emotions that do not appear to be controlled, such as violent outbursts, extreme lethargy, depression, or frequent mood swings;

       The child or parent has a chemical dependency.

A good way to judge whether outside referrals are needed is to review the gathered information and assess whether significant questions still exist about the risks and strengths in this family. If the caseworker is having difficulty writing the tentative assessment, he or she should consult the supervisor to determine whether consultation with an interdisciplinary team or an evaluation of presenting problems by others in the community may be appropriate.

If the assessment identifies the need for specific evaluation, the referral should specify the following:

       The reason for referral, including specific areas for assessment as they relate to the risk of maltreatment;

       The parent's knowledge regarding the referral and their response;

       The time frames for assessment, and when the agency will need a report back from the provider;

       The type of report requested regarding the results of the evaluation;

       The purpose and objectives of the evaluation (e.g., the parents' level of alcohol use and its effects on their ability to parent);