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Effective: 6/14/2023

2.11 Investigation Protocol

Legal Authority

Introduction

​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​The child's safety is always the paramount concern for the child protective services (CPS) SSW. There are at least two (2) key decision points during which the child’s safety is evaluated during an investigation. 
  • ​At the first contact with the child and family, when the SSW must decide if the child will be safe during the investigation.  This involves addressing the questions; is the child in danger right now? What are the current safety threats?
  • At the conclusion of the investigation, when the SSW determines the validity of the report and the level of risk for future maltreatment.

Safety refers to a current condition within a home or family and considers whether or not there is an immediate safety threat to a child. A safety threat refers to a specific family situation that is out of control, imminent, and likely to have severe effects on a child. A child is assessed to be safe when there is no safety threat within the family or home, or, if such a threat does exist, the family has sufficient protective capacities to protect the child and manage the threat.

Risk refers to the likelihood of maltreatment occurring in the future. The word risk is synonymous with words like chance, probability, or potential.   An assessment of risk includes the identification of risk factors, which are family behaviors that create an environment or circumstances that increase the chance that parents or caregivers will maltreat their children. Risk factors of various degrees and seriousness may exist within a single family, and some risk factors show a stronger correlation than others for indicating the likelihood of child maltreatment.

Examples of factors that have been associated with increased risk of child maltreatment include parental substance misuse, domestic violence, mental health, and parental childhood history of abuse. Young children and children with disabilities have also been found to be at greater risk for maltreatment because of their greater dependency on others for care.

​​

Practice Guidance

General Practice Guidance

 
  • The SSW has access to all records and documentation to complete an investigation regarding the child alleged to have been abused or neglected and the alleged perpetrator. 
  • Throughout any investigation or assessment, the investigator and FSOS are responsible for assessing for potential safety threats by considering the following (please note, this is not an exhaustive list): 
    • Children with (or indications there may be) serious injuries from physical abuse, particularly those in critical areas of the body ( Please refer to Shaken Baby Syndrome-Inflicted Head Trauma Fact Sheet and Traumatic Skin Lesions Bruises, Burns, Bites Fact Sheet);
    • Children ages five (5) years and younger;
    • Children suffering from acute untreated medical condition(s) that demand urgent attention whose parent/caretaker is refusing to obtain treatment or cannot be located;
    • Self-referral from a parent/caretaker who states they are currently unable to cope or feel they may harm their child(ren);
    • A child who expresses fear of their current circumstances;
    • Sexual abuse allegations in which the perpetrator is suspected to have immediate access to the alleged victim or other children in the home;
    • Physical abuse or neglect appears imminent;
    • A child presently receiving forms of punishment that are age inappropriate or bears no resemblance to reasonable discipline for example being locked in a closet or tied to a chair or bed (inappropriate restraint);
    • A child with a safety threat of immediate harm from a parent/caretaker who has a pattern of negative behavior; repeated destructive interpersonal interactions or a single, significant destructive interaction toward the child that has, or likely will have, an impact on the child’s emotional well-being; 
    • Abandoned (parent/caretaker has no intent to return) children who are currently without supervision of a responsible adult;
    • Children who are currently without supervision by a responsible person when a safety threat exists based on their age, environment, or other factors. Through the investigation, the SSW determines the child’s level of maturity, development, and ability to function safely alone and whether the family has an established plan of action in case of emergency;
    • Missing or abducted children (as described in SOP 4.67 Locating Missing Children-Including Runaways; 1
    • Situations involving weapons; or
    • Other situations related to the caregiver's high-risk behaviors that constitute a safety threat to the child in the judgment of the FSOS and SSW. 
  • The SSW's contact with the parent or caretaker should occur in the home promptly, or as soon as possible, after interviewing the child(ren) unless there are documented safety threats. 
  • The SSW does not identify the reporting source to anyone, unless ordered to report such by a court of competent jurisdiction.  If included as a collateral interview, the reporting source should only be identified in the case record/TWIST as a collateral source, rather than the referral source to maintain confidentiality.
  • Additional information should not be shared with the reporting source, unless the reporting source is a person in a continuing and ongoing professional relationship with the child or family (such as a physician, therapist, family resource center staff, health department staff, or teacher) and meets the standard under KRS 620.050 as having a legitimate interest in the case. The SSW or FSOS consults with the regional attorney, as needed, when there are concerns regarding the sharing of information. The SSW and FSOS should note that drug treatment information and psychotherapy notes are protected under federal law and cannot be reproduced without a specific release from the client. 
  • When information is to be shared, the SSW:
    • Informs the reporting source with legitimate interest that the information is being shared based upon the conditions of KRS 620.050 and information may not be further shared with others; 
    • Shares information that may be relevant with the person with legitimate interest that is specific to the child, summarizing services the parent/caretaker may be receiving to address abuse or neglect issues including:
      • ​Concerns related to safety threats for the child;
      • Family violence or intimate partner violence;
      • Substance misuse disorder;
      • Mental health history;
      • Learning disabilities of the parent/caretaker; or
      • The finding of an investigation.
  • If necessary, the SSW or FSOS may seek assistance from the regional attorney and/or law enforcement if a family or individual fails to cooperate with an investigation. 
  • If the parent has already made an appropriate adoptive plan for the child, the SSW may work investigation simultaneously with the adoptive plan continuing, and SSW may not need to seek emergency custody of the child with the appropriate adoptive plan in place. Contact the Adoption Services Branch at 502-564-2147 with questions or regarding the validity of the adoptive plan.

​Practice Guidance Specific to Sexual Abuse Investigations

 
  • Investigations involving sexual abuse and/or human trafficking allegations must be presented to the local multi-disciplinary team to assess service delivery and facilitate efficient and appropriate disposition of case through the criminal justice system as directed in KRS 620.040. 
  • The SSW will ensure that local law enforcement has been notified of the allegations reported. ​
  • Additional multi-disciplinary team members may be involved in the investigation per local protocol.
 

Practice Guidance Specific to Physical Abuse Investigation

  • SSW considers the TEN-4 FACESp guidelines to assist with the assessment of alleged physical abuse in children age four (4) and younger. When bruising is present without reasonable explanation in the locations below, the SSW should strongly consider evaluating for child abuse. 
    • Bruising of the:
      • ​Torso
      • Ears
      • Neck
    • ​Bruising of the:
      • ​Frenulum
      • Angle of the Jaw
      • Cheeks
      • Eyelids
      • Subconjunctivae
    • And/or patterned bruising​
  • SSW attempts to assess the level of pain felt by the child or how the child was impaired due to the reported incident (refer to the Physical Abuse Determ​ination Tip Sheet​​​).
  • SSW requests that the parent or guardian have the child examined by a medical provider if the SSW is concerned about the extent of the child’s current or possible injuries upon interviewing the child.   
  • When there is physical evidence of abuse, a medical assessment should be conducted as early as possible in the investigation. The medical support section can also consult with the SSW to strategize about what type of medical information is needed and, if appropriate, assist with a referral to the division of forensic medicine.
 

Practice Guidance Specific to Neglect Allegations

 
  • Valid evidence collection sources include medical witnesses, such as a physician, physician’s assistant, or a nurse regarding:
    • Whether the caretaker is providing necessary medical care;
    • Any action or inaction of the caretaker that has placed the child’s health or welfare at risk; and
    • Likely consequences of further action or inaction, (e.g., missed appointments, shots, failure to medicate) on the child’s health.
  • The SSW refers allegations of withholding medically indicated treatment of disabled infants with life threatening conditions in hospitals or health care facilities to the central office Medical Support Section.
  • For educational neglect, valid documentation may include a record of unexcused absences and documentation of prior attempts to intervene in an effort to stop unexcused absences. 
  • The SSW will assess all neglect allegations to ensure that the allegation of neglect is not directly related to poverty. 
    • ​To be poverty-stricken is more complex than having an isolated financial crisis or low income. Poverty by definition is a pattern of not being able to provide sustenance and chronic lack of resources.
    • Neglect refers to the failure of a parent to provide for the development of the child – where the parent is in a position to do so – in one or more of the following areas: health, education, emotional development, nutrition, shelter, and safe living conditions. Neglect is thus distinguished from circumstances of poverty in that neglect can occur only in cases where reasonable resources are available to the family or caregiver.​
  • For physical neglect, valid documentation may include:
    • Photographs, which show health or safety threats, of the home;
    • Collateral accounts about the condition of the home, appearance or condition of the child(ren), food supply, or supervision;
    • The presence or extent of domestic violence that is occurring in the family; and
    • Documentation of parents repeatedly leaving child alone or failing to provide essential care.
 

Practice Guidance Specific to Safe Sleep and Co-Sleeping

  • ​Review What DCBS Workers Need to Know About Safe Sleep.
  • SSW will assess for safe sleep practices when the family or household includes any infant(s) age one (1) and younger.
    • ​When speaking with the family, specifically ask where the child sleeps. 
    • Request to observe the child’s sleep space. 
    • Discuss the importance of safe sleep practices, when appropriate.  
  • ​SSW will discuss the ABCDs of safe sleep as part of the individual adult assessment and/or the overall family assessment when a child younger than age one (1) lives in the household. 
    • ​Utilizing the What does safe sleep look like? handout, SSW will explain the ABCDs of safe sleep. 
      • ​ALONE – Babies should always sleep alone. Babies need their own safe sleep space. This can be a crib, bassinet, pack & play, etc. with a firm mattress (designed for the device being used) and a snug fitting crib sheet. It is acceptable for babies to share a room with a parent/caregiver; however, they should not share a bed. Bedsharing with a sleeping adult places the baby at high risk for suffocation or overlay. 
      • BACK – Babies should be placed in their sleep space on their back every time.
      • CRIB (or other appropriate device) – Baby’s sleep space should never have anything in it but the baby. This means there should not be any soft bedding such as blankets, pillows, or bumper pads. This also means the sleep space should be free of toys and other items. 
      • DANGER – Being tired, sleepy, exhausted, or under the influence of alcohol or drugs (even some prescriptions) impairs one’s ability to care for a baby thus making bedsharing and other unsafe sleep practices more dangerous. 
  • ​Failure to follow safe sleep guidelines as the only allegation does not support a neglect/abuse finding. 

​

Procedure

​ Interviews should be completed in the following sequence whenever possible.
The SSW: ​

  1. Conducts unannounced face-to-face interviews with all household members including:
    1. The alleged victim;
    2. All other children in the home;
    3. The non-offending parent/caretaker; and
    4. All adults living in the home. 
  2. Conducts face-to-face interviews, or phone interviews at a minimum if face-to-face is not practical, with collaterals, including:
    1. Individuals who may have witnessed the alleged incident and may have specific information regarding the impact to the child; and​
    2. Other collaterals who can assist in the determination of the incident and provide information to assist with a safety and risk assessment, as necessary. 2, 3
  3. Conducts a face-to-face interview with the alleged perpetrator/caretaker:
    1. If the alleged perpetrator of abuse, neglect, or dependency is a child age twelve (12) to age eighteen (18), and the child/youth was in a caretaking role, the alleged perpetrator is not interviewed without notification to the parent/custodian of the alleged perpetrator. The parent/custodian can require that they, or an attorney, be present for the alleged perpetrator’s interview; and
    2. Provides the alleged perpetrator during their interview (pursuant to 42 U.S.C. 5106a) with:
      1. Notice of the basic allegations, void of any specifics that may compromise the investigation;
      2. Notice that they will be provided notification of the findings upon completion of the investigation; and
      3. A copy of the DPP-155 Request for Appeal of Child Abuse or Neglect Investigative Finding​ explaining the alleged perpetrators rights to appeal a substantiated finding and who they can contact to file a complaint.
 

Content of Interviews and Information to be Collected

 
The SSW:

  1. Collects information and documents in TWIST regarding:
    1. The identity of every household member, and their relationships to the child(ren);
    2. The date/ time/ and location of each interview;
    3. A summary of each interview to include the subject’s version of the events regarding the alleged abuse/neglect, their account of any observable impact to the child, and relevant details to assess safety and risk;
    4. Throughout the interviews, SSW should continually assess for safety threats and risk factors.;​
    5. Environmental information, related to the allegations;
    6. References to photographs, including those in medical records as appropriate; and  
    7. Clinical consultations with other professionals as warranted by case circumstances, i.e., mental health professionals, medical personnel, etc.;
  2. Discusses with the parent/caretaker or children, as appropriate, past agency and/or criminal history;
  3. Determines if the family/household member has resided out of the state within the previous seven (7) years;
    1. Utilizes the Adam Walsh State Contacts for Child Abuse Registries as a resource to contact other states to request records, if the family/household member has resided out of state in the last seven (7) years; and
    2. Discusses the prior history with the family and considers the significance when determining their level of intervention for the current report and findings; and
    3. Contacts the Child Protection Branch at DCBSChildProtection@ky.gov or 502-564-2136 if experiencing difficulty obtaining information from the other state.
  4. Assesses, during each interview, for risk factors related to family violence and intimate partner violence, substance misuse, mental health issues, cognitive delays, or learning disabilities;
  5. Evaluates interview content to determine if accounts of the incident are consistent, and whether or not those accounts conflict with any objective information, (i.e., TWIST history, Administrative Office of the Court (AOC) history, medical records, law enforcement records, etc.); and
  6. Visits the child's residence or residences as often as necessary to ensure the child's safety in that setting. 4

Safety and Risk Assessment and Consultation Throughout the Course of the Investigation

 
The SSW:

  1. Continuously evaluates for safety threats and risk factors throughout interviews and contacts with the family to determine if there are safety threats or risk factors that require intervention;
  2. Consults, as necessary, with the FSOS to strategize around any immediate safety threats, barriers to the investigative process, and additional information collection that are necessary to the investigation/assessment;
  3. When safety threats are identified, services should be put in place immediately to mitigate the safety threat;
  4. When the determination is made that an immediate safety threat exists at any point during contact with the family:
    1. Negotiates a safety plan with the family, clearly documenting the provisions and tasks needed to protect the child as agreed upon by the family; 
    2. Utilizes the Family First Preservation and Reunification Services (FFPRS) and/or other in-home services to prevent removal whenever possible and documents why less restrictive alternatives were not utilized in the assessment((472)(i)(2) of the Social Security Act) ;
    3. Considers filing a petition (removal or non-removal) in court (Please refer to SOP 11 CPS Court); and
    4. Assesses other services that may be of assistance to the family to prevent removal, which may include:
      1. Preventive assistance;
      2. A food bank referral;
      3. Child care assistance; and
      4. Other supportive services as outlined 922 KAR 1:400;
  5. After identifying safety threats which may prohibit the child(ren) from remaining in the home: 
    1. Consults with regional office utilizing the DPP-20 Safety and Risk Consultation form;
    2. Participates with the FSOS, and regional office staff in consultation. The FSOS, chief, acting and/or covering supervisor facilitates the request for the consultation. For emergency and on-call situations, the FSOS and regional office staff may consult without the SSW. 
      1. If available, a master's degree level practitioner is recommended as a participant in the consultation. If one is not available, the service region administrative associate (SRAA)/service region clinical associate (SRCA) or designee is appropriate. Regional office maintains a copy of the signed DPP-20​​​; 
      2. Participants should be in agreement with the consultation outcome. If participants are not in agreement, the regional SRCA or SRA (if SRCA is involved with the initial consultation) will be consulted; and
      3. The consultation is not required when the court awards the Department for Community Based Services (Department/DCBS) custody of a child(ren) when DCBS did not request or recommend custody.
        1. ​Any time a child(ren) is placed in DCBS custody when not requested, the FSOS should notify regional leadership that the court awarded custody even if the consultation is not required. 
        2. The Office of Legal Services (OLS) regional attorney should also be contacted in these situations, especially if the custody order was not a result of a Cabinet for Health and Family Services (CHFS/Cabinet) filed petition. 
    3. ​Provides the custodial parent with a copy of the When Your Child is Removed from Your Care-Guide for Parents Brochure​ when a child is removed from their home; and
    4. Follows placement considerations (Please refer to SOP 4.9 Initial Placement Considerations );
  6. Documents any concerns regarding safety threats and/or risk factors found throughout the investigation into the investigative documentation, and considers:
    1. The age of the child(ren);
    2. Harm or threats of harm, and severity;
    3. Vulnerability and protective capacities of the child(ren);
    4. Capacity of the parent/caretaker to protect the child(ren);
    5. The caregiver's high risk behaviors;
    6. Family interactions and support systems;
    7. Features of the family or individuals that add stressors to the family;
    8. The perpetrator’s access to the child(ren);
    9. The household composition;
    10. The physical household environment; and
    11. The attitude and level of cooperation exhibited by household members;
  7. Determines:
    1. The circumstances leading up to the incident;
    2. The individuals present during the incident;
    3. The sequence of events as the incident transpired;
    4. The observable impact on the child; and
    5. The likelihood of future maltreatment to the child based upon the risk factors identified during the assessment.
  8. Consults with the FSOS immediately to discuss the discontinuance of the safety/prevention plan when the safety threats requiring the provisions within the plan have been mitigated prior to the fourteen (14) working day expiration of the plan, and;  
    1. Informs the family and other involved individuals within forty-eight (48) hours, by phone call, if the safety/prevention plan will be discontinued prior to the expiration date. If the family is not available by phone within forty-eight (48) hours, SSW will send notification by mail, or conduct a home visit. 
  9. Completes a face-to-face interview with the parent/caregiver within forty-eight (48) hours if the safety or prevention plan needs to be renegotiated based on safety threats or risk factors to the child(ren). 5


​Contingencies and Clarifications

 
  1. If an investigation is not completed within thirty (30) working days, the SSW has monthly contact with the family until the investigation is complete and the agency's work with the family is done, or until an ongoing case is opened.
  2. If the cabinet receives custody of a child, the SSW:
    1. Notifies the school principal, assistant principal, or guidance counselor verbally and via e-mail on the day a court order is entered and again on any day a change is made regarding who is authorized to contact or remove the child from school, or on the following school day if the court order or change occurs after the end of the current school day; and
    2. Provides written notification via e-mail within ten (10) calendar days following a change of custody or change in contact or removal authority.
  3. If information is discovered resulting in the basis of the report no longer meeting the acceptance criteria, the SSW can request to discontinue the investigation with a “no finding” determination within ten (10) working days of receipt of report.  A no finding determination cannot: 6
    1. Be utilized for reports received prior to June 28, 2019;
    2. Be utilized with reports designated as specialized investigations, including fatality or near fatality reports, as defined in SOP 2.15; or
    3. Be utilized if multiple interviews have been conducted.
  4. A no finding determination can only be used in familial investigations, and when there are no other risk factors identified in the report, found during interviews with the child(ren) and/or caregivers, or during SSW's observations of the family and environment.  7
    1. The SSW:
      1. Consults with the FSOS and SRA or designee;
      2. Does not conduct any additional interviews if FSOS and SRA or designee are in agreement that the report meets for a no finding determination;
      3. Submits a determination of no finding and includes a statement in the assessment conclusion narrative box within ten (10) working days of receipt of report; and 8
      4. Sends the DPP-152C notification letter to alleged perpetrator and parent or caregiver within ten (10) working days after final approval from SRA or designee.
    2. The SRA or designee:
      1. ​Approves the no finding determination in TWIST within ten (10) working days of receipt of report; and
      2. Notifies the Child Protection Branch at DCBSChildProtection@ky.gov of receipt of the report for tracking purposes.


​


​Footnotes

  1. If SSW is notified that a child is missing, the SSW will assist the caretaker with filing appropriate notifications to local law enforcement, National Center for Missing and Exploited Children (NCMEC), and a local district/family court runaway petition, as described in SOP 4.67. SSW will also interview the child within forty-eight (48) hours of their return to evaluate as described in SOP 4.67.​
  2. ​Child refers to any person under the age of eighteen (18) years of age or age eighteen (18) to twenty-one (21) years and committed to the Cabinet.
  3. Appropriate collaterals may include persons in the community such as school personnel, police officers, relatives, child's physician, family's service/treatment providers, etc. SSW interviews collaterals on behalf of any non-verbal/intellectually impaired child. Per 2017 Ky. Acts chapter 188, schools and childcare facilities shall provide the cabinet access to interview children without parental consent during an investigation.
  4. SSWs may not visit, if through consultation with the FSOS, a residence is unsafe.
  5. The phone call, face-to-face renegotiation (if applicable), and written notification (if applicable) are documented in the ADT, and the written notification (if applicable) is filed in the case file. 
  6. Examples of scenarios in which a no finding determination may be appropriate include, but are not limited to:
    1. An allegation that a child has inflicted bruises; however, upon medical examination, the bruises are observed and documented as Mongolian spots, and there are no other risk factors.
    2. Parent of a young child was reported to have a positive drug test for heroin; however, reporting source calls back to state the reporting source erroneously provided the wrong individual’s name, and there are no other risk factors.
  7. Examples of additional risk factors include but are not limited to;
    1.  The family’s high-risk patterns of behavior;
    2.  A history or current indicators of substance misuse;
    3.  Family violence;
    4.  Mental health issues;
    5.  Agency history;
    6. AOC results; or
    7. The SSW observations of injuries, unsafe environment, and/or indicators of maltreatment, etc.
  8. Similar to the unable to locate determination, the ADT does not populate with a no finding determination.  SSW includes a statement in the assessment conclusion narrative box documenting that the report no longer meets the acceptance criteria, there are no other risk factors or indicators of maltreatment identified or observed to continue the investigation, and the no finding determination was agreed upon and approved by the SRA or designee within ten (10) working days of receipt of report. 



Documents

Revisions

6/14/2023 Addition:

  • Missing or abducted children (as described in SOP 4.67 Locating Missing Children-Including Runaways; 1