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340:75-1-26. Child Welfare case records
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Revised 5-11-06
Delivery of Child Welfare (CW) services is recorded by entry into the KIDS system, storage of documents and digital images into the KIDS application file cabinet, and maintaining a paper case file of all related case documents and information. • 1
A case record is established on the family when:
- (1) the client or representative requests service;
- (2) service is requested on the client's behalf and the requested service is available through the CW services program; or
- (3) a report of child abuse or neglect is assessed or investigated.
INSTRUCTIONS TO STAFF 340:75-1-26
1. (a) Purpose of CW case record. Child Welfare (CW) workers use the CW case record to document demographic information, decisions, and actions made with or on behalf of the children and families CW serves. Contacts are kept up to date at least monthly from the point of intake through case closure. All notes and phone messages are not destroyed unless transcribed into the paper case record or KIDS. The case record serves as:
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(1) a means for the CW worker to develop a clear understanding of the client's situation and a basis for planning with the client;
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(2) evidence that the client has been offered requested or needed services and is receiving services through staff delivery, purchase of service, or referral;
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(3) documentation of the specific goals to which services are directed;
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(4) an accounting of the way in which the Oklahoma Department of Human Services (OKDHS) responsibilities are fulfilled;
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(5) evidence that the client's eligibility has been satisfactorily determined or redetermined;
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(6) a means for future CW workers to obtain knowledge of the client's previous experience in relation to OKDHS;
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(7) documentation for the client, OKDHS, and community against inaccuracies that might arise from memory errors;
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(8) a means of eliminating repeated inquiries by the CW worker about the same matter;
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(9) an aid in the supervision of work, in assisting the CW worker to develop his or her skills, and in evaluating performance; and
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(10) a source of reference to OKDHS in making various social and economic studies and surveys and identifying program planning needs.
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(b) Paper case record. The majority of direct service CW case information is online in the KIDS system. A paper case record is set up and maintained for the purpose of maintaining case related documents that are not in KIDS, are not generated by CW, and any CW document that requires signatures and dates and is submitted to another entity, for example, the court or client. In part, the CW paper case record includes:
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(1) all legals and court documents;
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(2) birth verifications;
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(3) Social Security cards or information;
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(4) Form CWS-KIDS-3 (new form number 04KI003E), Report to District Attorney, or Form CWS-KIDS-9-A (new form number 04KI007E), CPS Family Assessment, or both;
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(5) grievance forms;
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(6) psychological evaluations;
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(7) medical information from providers;
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(8) Form DCFS-19 (new form number 04FC011E), Placement Agreement for Out-of-Home Care;
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(9) appropriate child support forms;
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(10) Form CWS-KIDS-4 (new form number 04KI002E), Eligibility Determination;
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(11) Form CWS-KIDS-7 (new form number 04KI004E), Placement Provider Information;
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(12) Form CWS-KIDS-8 (new form number 04KI005E), Placement Plan;
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(13) Form CWS-KIDS-10 (new form number 04KI008E), Treatment Plan, or CWS-KIDS-24 (new form number 04KI012E), Individualized Service Plan (ISP), or both;
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(14) Form CWS-KIDS-25-B(new form number 04KI011E), Preadjudication Court Report, CWS-KIDS-11 (new form number 04KI009E), Court Report, CWS-KIDS-25 (new form number 04KI014E), Individualized Service Plan (ISP) Progress Report, CWS-KIDS-25-A (new form number 04KI013E), Individualized Service Plan (ISP) Dispositional Report, or all;
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(15) Form ODH 347, Medical and Social History Report for Adoption;
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(16) Independent Living Life Skills Assessment;
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(17) Form DCFS-29 (new form number 04AN022E), Child Profile Assessment for Adoption;
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(18) Form DCFS-89 (new form number 04AN006E), Affidavit of Information Disclosure for Adoption;
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(19) Form DCFS-91 (new form number 04AN024E), Placement Recommendation Worksheet; and
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(20) any other forms or data that are pertinent to the CW case record, such as letters, police reports, Department of Corrections reports, and similar documents.
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(c) Case record security. All paper case records are filed in locked file cabinets, according to their status, active or closed.
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(1) Case records are kept in the county office in locked file cabinets, except when officially handled by CW staff, until the requirements for storage are met per OAC 340:75-1-26 Instructions to Staff 1(h).
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(2) Special circumstances may require additional security, such as case restriction. A CW case is restricted in KIDS when:
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(A) an OKDHS employee or relative of an employee is involved;
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(B) the case is highly publicized;
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(C) the case involves a public figure; or
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(D) the situation receives a lot of media attention.
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(3) The decision to restrict a CW case is made by the CW supervisor. Most CW cases do not require restriction. The county director maintains restricted paper case records in a secure file separate from the county record files.
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(d) Transfer of electronic and paper case records.
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(1) Timeliness. Timely transfer of cases is necessary to continue service provision to the child and family. Non-receipt of the paper case record, missing information in the KIDS case, or any other issue must not delay services. CW supervisors discuss areas of concern and coordinate and communicate with each other to resolve issues.
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(A) Prior to case transfer in KIDS, the receiving county is notified of the transfer by phone or e mail and provided with any information about the family.
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(B) If the initial notice is via e-mail, the initiating county CW staff contacts the receiving county CW staff by phone to discuss current case circumstances no later than five working days after the transfer.
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(2) Primary case transfer. The primary CW supervisor transfers primary case responsibility in KIDS no later than five working days after:
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(A) county of jurisdiction changes;
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(B) a youth attains the age of majority, is in voluntary placement in a county other than the county of jurisdiction, and no other child is being provided services in the case; or
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(C) a family receives Family-Centered Services or ICPC case services from another state and the family moves.
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(3) Transfer of primary paper case record. The corresponding CW paper case record is sent within ten working days of the change in case status to the other county along with Form ADM-11 (new form number 04AD002E), Transfer Between Counties.
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(4) Secondary case transfer. When a child is placed or the parent(s) resides outside the county of jurisdiction, the CW supervisor of the primary case makes the secondary case assignment in KIDS no later than five working days after placement or notification of the parent(s)' location.
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(A) The corresponding CW paper case record is sent within ten working days, if not provided at the time of the child's placement, to the other county along with Form ADM-11 (new form number 04AD002E).
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(B) Case content. Cases to be transferred are updated with current information, including, but not limited to:
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(i) child's custody status and any upcoming hearing dates;
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(ii) client status information, such as address, phone number, employment, and placement;
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(iii) data regarding visits with parents, relatives, siblings, and other family members;
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(iv) any scheduled or canceled visits;
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(v) recent contacts with clients and collaterals; and
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(vi) services scheduled, offered, or provided to a child, family member, and caregiver with type of service, date of service, and name of service provider.
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(C) When services are completed or are no longer needed in the secondary county, the CW supervisor of the:
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(5) Closed case transfer. The county that needs a closed CW paper case record that is located in another county office requests transfer of the case, using Form ADM-11 (new form number 04AD002E). The corresponding CW paper case record is sent to the other county no later than two working days following the request identified on Form ADM-11 (new form number 04AD002E).
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(e) Documentation of race and Hispanic or Latino origin. The collection of uniform data on race and Hispanic or Latino origin is an important piece of documentation in the case record. The CW worker asks adults and, if age appropriate, children to identify all applicable racial categories to which they belong. Additionally, the CW worker determines the adult's or child's Hispanic or Latino origin. Self-identification or self-reporting is the preferred method of gathering information on race and Hispanic or Latino origin.
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(1) American Indian or Alaskan Native persons have origins in any of the original peoples of North or South America, including Central America, and maintain tribal affiliation or community attachment.
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(2) Asian persons have origins in any of the original peoples of the Far East, Southeast Asia, or the Indian subcontinent including, Cambodia, China, India, Japan, Korea, Malaysia, Pakistan, Philippine Islands, Thailand, and Vietnam.
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(3) Black or African American persons have origins in any of the black racial groups of Africa.
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(4) Native Hawaiian or Other Pacific Islander persons have origins in any of the original peoples of Hawaii, Guam, Samoa, or other Pacific Islands.
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(5) White persons have origins in any of the original peoples of Europe, Middle East, or North Africa.
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(6) Unable to determine is a valid choice for race or Hispanic or Latino origin when:
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(A) a child is very young or a child or adult is severely disabled and there is no person available to identify the child's or adult's race or Hispanic or Latino origin;
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(B) an adult or, if age appropriate, a child refuses to identify his or her race or Hispanic or Latino origin; or
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(C) a parent, relative, or guardian refuses to identify the child's race or Hispanic or Latino origin.
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(f) Document and photograph storage. KIDS has the capacity to store documents and digital images. CW workers store any WORD document and digital image in the KIDS File Cabinet.
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(1) Saving documents to KIDS. Refer to the File Cabinet How To found in KIDS/Help/How To's for instructions on saving documents.
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(2) Storing digital images and photographs. The CW worker stores all photographs as taken. Due to legal issues, no enhancements, such as color, brightness, and contrast, or doctoring, are permitted. Refer to the Storing Photographs and Images How To found in KIDS/Help/How To's for instructions on using a digital camera and saving digital images and photographs.
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(g) Case closure. Termination of services to clients may occur according to plan or due to the decision of the client or court, contrary to the CW worker's recommendation. If the CW worker determines that other services are needed, the worker makes every effort to refer the client to another agency or resource and to document the concerns. A CW case is closed in KIDS when there are no outstanding ticklers or actions associated with the case, each client in the case has a DHS client number, and there are no open lines of service. The CW worker enters the date and reason for closing the case and a closing summary that describes the services provided to the child and family. Reasons for closing the CW case include, but are not limited to:
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(1) completion of mutually agreed upon goals;
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(2) reasons for needing CW services have changed;
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(3) services needed are outside the scope of CW; or
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(4) court case is dismissed or closed.
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(h) Paper case record storage. Closed paper case records are stored in locked file cabinets and kept in the county office until either the youngest child in the case reaches age 18 and no longer receives services or there has been no activity on the case for at least two years. When a case meets requirements for storage, the case is sent for storage per instructions via http://s99web01/adss_supportservices/openrecords1.shtm.
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