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340:75-3-8.6. General protocols for Child Protective Services investigations and assessments

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Revised 6-1-08

(a) Purpose for protocols. Protocol requirements common to the investigation and assessment processes ensure continuity in addressing safety and risk factors and issues related to the Child Welfare (CW) worker's contact with families.

(b) Time frame for initiation. Investigations and assessments are prioritized using the priority guidelines in OAC 340:75-3-7.1. The priority guidelines are used to determine the response time required to ensure safety for the alleged child victim. Generally, the reported allegations that necessitate an investigation require a higher priority than an assessment. • 1

(c) Contact requirements. Prior to interviewing each person involved in an investigation or assessment, the CW worker:

(1) presents his or her Oklahoma Department of Human Services (OKDHS) employee identification badge as notification that OKDHS is the agency represented;
(2) describes the lawful purpose of the investigation or assessment;
(3) discusses the reported child abuse or neglect allegations;
(4) answers questions; and
(5) explains that, in accordance with state and federal law, the identity of the reporter is not revealed unless ordered by the court. • 2

(d) Worker safety. The CW worker follows procedures to ensure his or her own safety, per OAC 340:75-1-26.1. • 3

(e) Contact with the family in the home. An unannounced home visit is made to initiate contact with the family, per Section 7106 of Title 10 of the Oklahoma Statutes (10 O.S. § 7106). • 4

(f) Contact with children. Protocols described in (1) through (6) are followed when there are physical injuries or there is a need for a medical, psychological, or psychiatric examination for a child of any age.

(1) The CW worker inspects the child victim younger than 12 months of age regardless of the allegation. • 5 through 7
(2) When the report alleges physical injury due to abuse or neglect or injuries are found during the investigation or assessment, an inspection is required by the CW worker, examination by a medical professional, or both, of the:
- (A) child victim; and
- (B) sibling, if applicable.
(3) Information gathered, the CW worker's observation of the child, or both, may indicate a need for medical, psychological, or psychiatric examination or treatment of any child in the home of the person responsible for the child (PRFC). It may also include an inquiry into the possibility that the child or PRFC has a history of mental illness, per 10 O.S. § 7106.
(4) As necessary in conducting an investigation or assessment, the CW worker requests and obtains, without a court order, copies of prior medical records of the child, including, but not limited to, hospital, medical, and dental records, per 10 O.S. § 7107.
(5) Medical examination or consultation with a physician or appropriate licensed medical professional is required for:
- (A) all burns or fractures in a child three years of age or younger;
- (B) all bruises or marks on a child younger than two years of age;
- (C) unexplained or implausibly explained bruises, burns, or fractures in a child of any age;
- (D) all bruises, burns, or fractures in a non-ambulatory child;
- (E) all referrals of sexual abuse in non-verbal children whose behavior mimics adult sexual behavior, for example, simulated intercourse or oral stimulation of another's genitals;
- (F) all sexual abuse cases in which oral or genital skin-to-skin contact is alleged or suspected;
- (G) all cases of:
  - (i) sexually transmitted disease in a prepubescent child;
  - (ii) reported malnutrition and failure-to-thrive; or
  - (iii) serious medical neglect. If the family claims to provide medical care, consultation with their doctor is sufficient;
- (H) reports in which the child has an observable injury, the caregiver admits responsibility for the injury, and medical documentation is necessary to determine whether there are internal or old injuries; or
- (I) a child who exhibits a need for immediate psychological or psychiatric evaluation.
(6) If the PRFC refuses to cooperate in arranging for an examination, the CW worker may request the intervention of law enforcement or request the district attorney to make application for a court order.

(g) Unable to locate protocol. When the CW worker is unable to locate the child and family, every effort is made to seek additional sources of information regarding their whereabouts. • 8

(h) False reports made knowingly and willfully. When, in the course of the investigation or assessment, the CW worker determines that a false report concerning child abuse or neglect was made knowingly and willfully, the CW worker discusses this information with the CW supervisor. With supervisory approval, information regarding the false report may be forwarded to local law enforcement for a criminal investigation, using Form 04CP002E, Notification to Law Enforcement Agency of Child Abuse or Neglect Report, per 10 O.S. § 7103.

(i) Failure to report child abuse or neglect. If, in the course of the investigation or assessment, the CW worker determines that there is a person who clearly knowingly and willfully failed to make a report of child abuse or neglect, the CW worker discusses this information with the CW supervisor. This information may be forwarded to local law enforcement for the purpose of providing information for a criminal investigation, using Form 04CP002E, per 10 O.S. § 7103.

(j) Modification of protocols. If, upon contact with the child victim and PRFC, it appears that full application of the protocol for an investigation or an assessment is not necessary, the CW supervisor may determine that a modification to the protocol is appropriate. • 9

INSTRUCTIONS TO STAFF 340:75-3-8.6

Revised 6-1-08

1.  (a) Refer to the definition of initiation of the investigation or assessment, per OAC 340:75‑3‑2.

(b) If time frames for initiation of the investigation or assessment cannot be met due to excessive workload or staff vacancies, see OAC 340:75-3-13.

(c) When a report is pending beyond the time frame for completion of the investigation or assessment, per OAC 340:75-3-13, and a subsequent report is received, the Child Welfare (CW) supervisor reviews each report and considers the previous reports in setting time frames for completion of the investigations or assessments.

(d) If there are three or more reports pending concerning the same child and family, all of the reports are expedited for investigation or assessment with a dated response time of no more than five days from receipt of the last report.

(e) When there is prior CW history involving the adults and children in the current or pending reports, the history is reviewed prior to initiating the investigation or assessment unless:

(1) an urgent response is required and there is no time to review prior to initiating; or

(2) it is outside office hours and it is not possible to access the paper file or KIDS.

(3) In these instances, the history is reviewed as soon as possible.

(f) When history indicates that there have been more than three previous reports on a family, the CW worker and supervisor:

(1) discuss all previous reports along with the information gained from the entire case record and whether there is a pattern of behavior in the family or if more information is needed to determine whether there are significant problems in the family; and

(2) document the date of the staffing and the results of the staffing in the referral, investigation, or assessment KIDS contacts screen.

2.  Discussing allegations and reporter identity. In order to prevent unintended disclosure of the reporting party to the interviewee, the CW worker leaves all KIDS or OKDHS generated documents about the report in a secure location.

3.  Safety precautions. During the course of an investigation or assessment additional CW worker safety precautions include, but are not limited to:

(1) taking any threat by an irate parent seriously;

(2) seeking the assistance of law enforcement if the worker is at risk of harm, such as:

(A) there is a previous history of domestic violence;

(B) a family member may be mentally ill, using drugs, or volatile;

(C) there is the presence of firearms or other weapons;

(D) there is reported illegal substance manufacturing or distribution, per OAC 340:75-3-8.7; or

(E) the family's geographic location is isolated or dangerous;

(3) using discretion in checking a child for signs of abuse, based on the child's age and gender, worker's gender, and the location and type of abuse. The CW worker leaves all examinations for sexual abuse to medical doctors; and

(4) not entering a home when there is any risk to the CW worker's safety, per OAC 340:75-3-8 Instructions to Staff (ITS).

(A) If there is concern about safety for the child or worker in making the initial home visit, contact is made with law enforcement.

(B) If law enforcement:

(i) accompanies the CW worker for the home visit and there is no adult present in the home, the CW worker does not enter the home even though law enforcement enters; and

(ii) requests the assistance of the CW worker in the residence due to an extreme emergency with the child, the CW worker does not enter the residence until it has been secured and determined safe to enter by law enforcement; and

(5) not conducting a search of any type in the home, including a search for illegal substances. The CW worker is prohibited from conducting a search regardless whether an adult in the home gives permission or requested by law enforcement.

4.  (a) Contact with the family is made by a home visit. During the investigation or assessment, the CW worker gathers demographic information for all family members, including accurate birth dates, any names used by family members, including full legal names, Social Security numbers, race, and ethnicity, per OAC 340:75-1-26 ITS and 340:75-19-8.

(b) Attempted home visit. If the family is not home, the CW worker may leave Form 04CP001E, Contact Letter, in a sealed envelope at the home. If the child victim or siblings have been interviewed, Form 04CP001E must be left to notify the person responsible for the child (PRFC) that the CW worker attempted contact with the family. Federal law prohibits the use of a mailbox for letters that are not mailed.

(c) Contact with the family by mail. If the CW worker has made two unsuccessful attempts to reach the family at home, the family may be contacted by mail using Form 04CP001E. The letter is mailed first class in an envelope indicating address correction requested. If the letter is not returned, the CW worker follows the protocol per OAC 340:75-3-8.6 ITS 6.

(d) Phone contact at work. If the worker has made unsuccessful attempts to contact the family and determines that the PRFC or perpetrator works during the day, the CW worker:

(1) may attempt to phone the PRFC or perpetrator at work;

(2) when calling the PRFC's or perpetrator's place of employment, identifies himself or herself by name only. No information about the nature of the call is discussed with the employer; and

(3) when the employer does not allow personal calls or the PRFC or perpetrator is unavailable, leaves a message giving only the worker's name and phone number. No letter is sent to the employer.

5.   Visual inspection of the child.

(1) Permission of the child and either the PRFC or caregiver is obtained prior to the visual inspection.

(2) Regardless of whether an injury is alleged, the CW worker conducts a full body inspection by asking the PRFC or caregiver to remove or rearrange the child's clothing, including diapers, for any child younger than 12 months.

(3) When one child is alleged to have serious injuries, the CW worker checks the siblings for injuries.

(4) When injuries are alleged, the CW worker, after obtaining permission, conducts a:

(A) full body inspection of any child younger than five years of age that requires removal of the child's clothing, including diapers; and

(B) for any child age five and older, cursory inspection of the child rather than a full body inspection through rearranging the child's clothing.

(i) If injuries or possible injuries cannot be seen without a full body inspection, an examination by medical personnel must be conducted.

(ii) The child is observed by the CW worker in the presence of the PRFC unless the observation is made while in a setting outside the home, such as child care or school.

(I) When the child is verbal, the reason for the visual inspection is explained to the child.

(II) Visual inspections are handled in a manner that is sensitive to the child's feelings, privacy needs, and gender.

(III) If the child requires assistance undressing due to age, physical condition, or emotional comfort, the CW worker asks the PRFC or caregiver to remove or lift the child's clothing so that the child can be observed.

(IV) If the injuries on a child of any age indicate the need for a medical examination, or the child's age limits the CW worker's ability to conduct an inspection of alleged injuries, the child is taken for a medical examination per OAC 340:75-3-8.6 ITS 5.

(5) When a PRFC or caregiver refuses to permit the CW worker to visually inspect the child victim or siblings, the CW worker consults with the CW supervisor regarding whether to request assistance from law enforcement or submit a request to the district attorney (DA) for a court order per OAC 340:75-3-8.6 ITS 6.

(6) When a child refuses to permit the CW worker to conduct an inspection, the CW worker consults with the CW supervisor regarding arrangements for a medical examination.

(7) Photographing the child victim. When there are injuries that appear indicative of child abuse or neglect, the CW worker:

(A) arranges for the child to be photographed. The CW worker may take the photographs or, when possible, law enforcement or medical professionals may take the photographs;

(B) maintains conventional photographs in the child's paper case record;

(C) does not enhance or alter and stores the digital photographs taken by the worker per OAC 340:75-1-26 ITS; and

(D) makes available to law enforcement and the DA any photograph as required.

6.   Medical, psychological, or psychiatric examination, treatment, or both, in the investigation or assessment.

(1) When a medical examination is required, the CW worker assists the person responsible for the child (PRFC) in making the arrangements. The CW worker accompanies the PRFC and child to the medical examination and remains available during the examination for consultation with the physician or appropriate licensed medical professional.

(A) If the child victim has already been seen by a physician, the CW worker consults with the physician or appropriate licensed medical professional, as soon as possible, and requests a written report of the examination and diagnosis.

(B) Following the child's medical examination or treatment and after receiving a verbal report from the physician or appropriate licensed medical professional, the CW worker requests a written report.

(2) Although a second medical opinion is suggested for all serious child abuse and neglect, it is particularly crucial for head trauma or fractures in a child age three years and younger, and consultation with the CW field liaison is required.

(3) Reimbursement to the vendor for the child abuse examination or treatment may be made per OAC 340:75-13-64. The CW worker, not the medical provider, determines whether other resources are available to the child and advises the hospital, physician, or appropriate licensed medical professional regarding procedures for payment, per OAC 340:75-13-64.

(4) Any exceptions to medical examination procedures must be approved by the CW supervisor as soon as possible after the child victim is observed. The exception must be documented in the Summary/Recommendation section of Form 04KI003E, Report to District Attorney, and good cause shown for the modification.

7.   Refusal to cooperate or respond protocol.

(1) The CW worker:

(A) evaluates the available information and determines the most appropriate action when the PRFC does not cooperate in an investigation or assessment by:

(i) refusing to be interviewed;

(ii) refusing to allow access to the child for observation and interview;

(iii) failing to respond to notices from the CW worker when the worker has reliable information that the PRFC did in fact personally receive the notice;

(iv) denying access to mental health records or treatment plans; or

(v) removing the child from Oklahoma before the investigation or assessment is completed;

(B) when the safety of the child is at significant risk:

(i) immediately contacts law enforcement for assistance in interviewing and observing the child; and

(ii) if the PRFC still refuses to allow access to the child and law enforcement declines to place the child in protective custody, immediately documents information obtained from collaterals or witnesses and submits the information on an affidavit or Form 04KI003E requesting the DA make application for a court order to allow access to the child;

(C) if the PRFC denies access to mental health records or treatment plans that may relate to abuse or neglect, requests the DA file an application for a court order; or

(D) if the worker believes that a PRFC or other person may remove a child from Oklahoma before the investigation is completed, requests the DA file an application for a temporary restraining order.

8.   Unable to locate protocol.

(1) Every effort must be made to locate the child and family. If the CW worker encounters difficulty in locating either the child or family, the CW worker:

(A) contacts the reporter again and advises that the worker is having difficulty locating the family and asks the reporter for additional sources of information; and

(B) makes another computer inquiry to determine whether the family is receiving services from Oklahoma Department of Human Services (OKDHS).

(i) If the family is receiving services, the CW worker contacts the assigned worker to determine whether there is a new address for the family or any other information to assist in locating the family.

(ii) The investigation or assessment does not affect eligibility for other OKDHS services.

(2) When a new address is provided and the investigation or assessment has not be closed, the investigation or assessment protocols continue regardless if the time frames have been exceeded.

(3) No report is closed as unable to locate unless the protocol per OAC 340:75-3-8.6 ITS 7(1)(A) and (B) is followed.

(4) When the report indicates that the safety of the child is or will be at risk and it appears that the family has relocated within Oklahoma or to another state, but the address is not known, a statewide or nationwide protective service alert may be initiated by contacting Children and Family Services Division Child Protective Services Section, per OAC 340:75-3-6 ITS.

(A) If it appears that the family has moved to another identified state, the CW worker calls that state's Child Protective Services and makes a report regarding the child's safety.

(B) Any requested copies of child abuse or neglect records may be forwarded to the requesting state per OAC 340:75‑1‑44.

(5) If a family is found after an investigation or assessment is closed due to failure to locate, the allegations in the child abuse or neglect report that led to the investigation or assessment are documented on a new Form 04KI001E, Referral Information Report.

(A) The previous KIDS referral number is documented on the new report along with any new information about the family.

(B) The new referral is prioritized and assigned for investigation or assessment, per OAC 340:75-3-7.1.

(C) The investigation or assessment addresses the allegations in the previous referral that was closed due to failure to locate and any current allegations.

9.   Modifying protocol.

(1) Modifications:

(A) are not approved regarding attempts to contact the child victim and PRFC or to make a home visit except under conditions detailed in OAC 340:75-3-8; and

(B) may be approved by the CW supervisor and include:

(i) omitting contact with collaterals in an investigation;

(ii) substituting face-to-face collateral contact with telephone collateral contact;

(iii) omitting contact with all members of the family; or

(iv) abbreviating documentation of the contact with the child victim and family.

(2) The CW supervisor documents the reason for the modification to the investigation or assessment protocol in the Summary/ Recommendation section of Form 04KI003E and modification to the assessment in Form 04KI007E, CPS Family Assessment.

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