A.I. Trainer: Alabama

Alabama

https://dhr.alabama.gov/wp-content/uploads/2023/04/CPS-00-Table-of-Contents-4-27-23.pdf

CPS Policies and Procedures
TABLE OF CONTENTS
Revision No. 14
Effective April 1, 2007 i
CA/N INTRODUCTION
A. Purpose
1. CA/N Intake
2. CA/N Assessment
B. Children Covered By CA/N Policies And Procedures
C. Child Protective Services Role
D. Legal Base
E. Child Abuse/Neglect Reporting
1. Mandatory
2. Permissive
3. Anonymous
GLOSSARY
CA/N ALLEGATIONS AND DEFINITIONS
I. Introduction
A. Serious Harm
B. Abuse And Neglect Defined
C. Poverty Versus Neglect
D. Cultural Diversity And Child Abuse/Neglect
II. Allegations And Definitions
Physical Injuries
Bone Fractures
Burns/Scalding
Cuts/Bruises
Human Bites
Internal Injuries
Sprains/Dislocations
Tying/Close Confinement/Bizarre Discipline
Mental Abuse/Neglect
Sexual Injuries
Sexual Exploitation
Sexual Molestation
Sexual Penetration
Sexually Transmitted Disease
Negligent Treatment
Abandonment
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Failure To Thrive
Inadequate Clothing/Personal Hygiene
Inadequate Food
Inadequate Shelter
Inadequate Supervision
Medical Neglect
Death
Factitious Disorder By Proxy
Fetal Alcohol Syndrome / Drug Withdrawal
Chemical Endangerment (Methamphetamine)
Positive Test For Alcohol And/Or Drugs At Birth
Other Risk Of Serious Harm
SEXUAL ABUSE GUIDELINES
I. Introduction
A. Purpose
B. Glossary
II. Factors To Consider When Intake Information Involves Sexual Activity
A. Age
B. Consent
C. Deviation
D. Relationship
III. Sexual Activity That Constitutes A CA/N Report
IV. Additional Intake and CA/N Assessment Responsibilities For Reports Involving
Sexual Activity
AFTER HOURS ON CALL PROCEDURES
CA/N INTAKE
I. Purpose
II. General Guidelines
III. Information Collection
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A. Conduct Interviews
B. Clear Agency Records
IV. Analysis And Decision-Making
A. CA/N Reports
B. Case Situations Not Accepted As CA/N Reports
C. Agency Mandated To Respond
1. Department Of Human Resources (DHR)
2. Law Enforcement Agency (LEA)
D. DHR Response Times
1. Children Allegedly Abused Or Neglected
a. Immediate
b. Within Five (5) Calendar Days
2. Other Children In The Home
V. Data Entry / Documentation
A. Initial FACTS Data Entry
B. Documentation
C. District Attorney And Law Enforcement Agency Notifications
VI. Review, Approval, And Assignment For CA/N Assessment
A. Supervisory Review
B. Supervisory Approval
C. Assignment For CA/N Assessment
CA/N ASSESSMENT
I. Purpose
II. General Requirements
A. County Responsible For Conducting The CA/N Assessment
B. Timeframe For Completion
1. CA/N Assessments
2. Final Central Registry Data Entry
C. Court Ordered Access
D. Confidentiality And Identity Of CA/N Reporters
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E. Notification Of CA/N Allegations
1. Content
2. Timeframe
3. Method
a. Oral Or Written
b. Written
III. Information Collection Protocol
A. Supportive Interaction With All Individuals
Pertinent To The CA/N Assessment
B. Preparation
C. Deviations From The Information Collection Protocol
D. Safety Assessment of Children
E. Securing Needed Medical Care
F. Required Interviews And Information
1. CA/N Assessment Interviews
a. Parents Or Primary Caregivers
b. Children In The Home
(1) Children Allegedly Abused/Neglected
(2) Other Children In The Home
c. Other Adults In The Home
d. Persons Allegedly Responsible For Abuse/Neglect
e. Collaterals
2. CA/N Assessment Information
a. Alleged Abuse/Neglect
b. Parenting Practices
c. Parents’/Primary Caregivers’ Functioning
d. Disciplinary Practices
e. Child Functioning
IV. CA/N Assessment Findings
A. CA/N Dispositions
1. Indicated
2. Not Indicated
3. Unable To Complete
B. Risk Of Serious Harm
C. No Risk Of Serious Harm
V. Documentation
A. Documentation
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B. Notification Of CA/N Dispositions
C. District Attorneys’ Offices And Law Enforcement Agencies
VI. Review, Approval, And Assignment For On-going Services
1. Supervisory Review
2. Supervisory Approval
3. Assignment For On-Going Services
SAFETY ASSESSMENT
I. PURPOSE
A. Determining Safety of Children
1. Safety Threats
2. Assessing Parental/Caregiver Protective Capacities
II. SAFETY INTERVENTION DECISION
A. Developing Safety Plans
B. Assessing Persons Responsible For Protecting Children
C. Types of Safety Plans
1. In-Home
2. Out-of-Home (Non-Foster Care)
a. Involving the Court in Out-of-Home (Non-Foster Care)
Safety Plans
b. Department Files Dependency Petition Requesting That
Legal Custody Remain With Parent And That Relative or
Other Suitable Person Has Physical Custody
c. Assisting Relatives or Other Suitable Person Responsible
for Providing Protective Supervision To Obtain Legal
Custody
(1) Relative/Other Suitable Person Petitions Court for
Custody
(2) Relative/Other Suitable Person Unable to Afford
Attorney
(3) Department Petitions with Relative/Other Suitable
Person Receiving Custody
3. Out of Home (Foster Care)
D. Summary Removal/Protective Custody
E. Monitoring And Transfer of Cases With Safety Plans
III. CONTENTS AND DOCUMENTATION OF SAFETY PLANS
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A. Contents of Safety Plan Document
B. Case Record Documentation
IV. DANGER THREATS – PRESENT AND IMPENDING
A. Present Danger Threats
B. Impending Danger Threats
V. PARENTAL/PRIMARY CAREGIVER PROTECTIVE CAPACITIES
A. Behavioral Protective Capacities
B. Cognitive Protective Capacities
C. Emotional Protective Capacities
OUT-OF-HOME PROTOCOL
I. Introduction
II. General Requirements
A. Determining Who Conducts The CA/N Assessment
B. Entering Reports Into The Central Registry
C. Notifying District Attorneys and Law Enforcement Agencies
D. Providing Notification Of CA/N Allegations
E. Conducting The CA/N Assessment
III. Out-Of-Home Care Settings
A. Day Care Centers Licensed By DHR
B. Exempt Day Care Centers
C. Family/Group Day Care Homes
D. Foster Family Homes Approved By DHR
E. Foster Family Homes Approved By Private Child-Placing Agencies Or A
State Agency Other Than DHR
F. Group Homes And Institutions Licensed By DHR
G. Group Homes And Institutions Operated By State Agencies Other Than
DHR
H. Group Homes And Institutions Licensed/Certified (But Not Operated)By
State Agencies Other Than DHR
I. Schools And Allegations Involving Discipline/Corporal Punishment
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J. Schools And Allegations Not Involving Discipline/Corporal Punishment
K. Non-Finalized Adoptive Homes
L. All Other Out-Of-Home Care Settings
SPECIAL CA/N PROCEDURES
A. Restricted Cases
1. Determining Restricted Status
2. Assigning Restricted Status
3. Removing Restricted Status
B. CA/N Reports Involving DHR Employees And Close Working Associates
C. CA/N Reports Involving Children In DHR Permanent Custody
D. Community Notification Act Regarding Convicted Sex Offenders
E. Medical Neglect Of Handicapped Infants Under One Year Of Age
1. Guidelines For Assessing Treatment Decisions
2. Multi-Disciplinary Team’s Evaluation Process
3. Decisions Regarding Continued DHR Intervention
F. Case Management Procedures When Families Move
G. Protective Service Alerts
H. Reports Involving Other States
I. Reports Involving Multiple County Departments
J. Reports Involving “Groups” Of Children In Out-Of-Home Settings
K. Multiple Reports Received On The Same Children
L. New Information On Prior CA/Ns With “Unable To Complete”
Dispositions
M. Updating Completed CA/Ns With New Information
N. Referral Of Infants And Toddlers (under 36 months) To Alabama Early
Intervention Services (AEIS)
DUE PROCESS
I. Introduction
II. CA/N Hearings
A. Notification Process
B. Content Of Notification Letters
C. Notification Of CA/N Hearings
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D. The CA/N Hearing
E. Post Hearing Procedures
F. Appeals
III. Administrative Record Reviews
GENERAL POLICIES AND PROCEDURES
A. Establishing And Maintaining Child Abuse/Neglect Records
1. Establishing CA/N Records
2. Storing CA/N Records
3. Content Of CA/N Records
B. Protocol With District Attorneys
C. Working Agreement With Law Enforcement
D. Observing And Documenting Physical Indicators Of Suspected
Abuse/Neglect
E. Photographs
F. Video And Audio Tapes
G. Polygraphs
H. Signing Criminal
CENTRAL REGISTRY
I. Introduction
II. Inquiries And Disclosure Of Information
A. Confidentiality
B. Confidentiality Of Reporters’ Identity
C. Confirming Identity Of Persons Inquiring About CA/N Information
D. Inquiries And Clearances By DHR Staff
E. Use And Disclosure Of CA/N Information
F. CA/N Information That May Be Released
G. Disclosing Information To Attorneys And CASAs
H. Expunging Names Of Persons Responsible For Abuse/Neglect
I. Expunging Indicated/Not Indicated Reports Received From Mandatory
Reporters
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CPS PREVENTION POLICIES AND PROCEDURES
I. Introduction
A. Children And Cases To Whom The Policy Applies
B. Confidentiality
II. CPS Prevention Intake
III. CPS Prevention Assessment
A. County Responsible For Conducting The CPS Prevention Assessment
B. Timeframes
1. Initial Contact With Children Identified As At Risk Of
Maltreatment
2. Completing CPS Prevention Assessments
C. Transfer of Prevention Referrals Involving Multiple County Departments
D. Information To Be Collected
E. Required Interviews and Other Information
1. Required Interviews
2. Children Identified As At Risk of Maltreatment
F. Analysis And Decision-Making
1. Child Safety and Parental/Primary Caregivers Protective Capacity
2. Need For On-going Child Protective Services
G. Documentation
H. Review, Approval, And Assignment For On-going Service Delivery
1. Supervisory Review And Approval
2. Assignment Of On-Going Services
IV. Data Entry
A. Prevention Intake Instructions for FACTS
B. Prevention Assessment Instructions for FACTS
LEGAL PROCEEDINGS
I. Introduction
A. DHR’s Role
B. The Court’s Role
C. Dependent Child Definitions
II. General Guidelines
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A. Legal Counsel
1. Guardians Ad Litem
2. Legal Representation For County Departments
B. Special Assistants
C. Witnesses
1. Expert Witnesses
2. Depositions
D. Privileged Communication
E. Preparing Children For Hearings
III. Dependency Proceedings
A. Making Complaints And Preparing Petitions
B. The Summons
C. Predisposition Study And Report
D. Hearings
1. Summary Removal/Shelter Care
2. Adjudicatory
3. Dispositional
4. Permanency Hearings
E. Appeals
MULTI-DISCIPLINARY CHILD PROTECTION TEAMS
I. Introduction
II. Guidelines For Developing Teams
A. Team Membership
B. Team Functions
III. Guidelines For Effective Use Of Teams
A. Referrals
B. Cases Appropriate For Referral
C. Team Recommendations
D. Follow-Up Case Consultation
IV. Annual Reports
SUPPORT SERVICES
A. Diagnosis And Evaluation (D&E) And Mental Health Counseling (MHC)
Services For Non-Medicaid Eligible Children/Families
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B. Homemaker Services
C. Medical Expenses Incurred During CA/N Assessments
D. Protective Services Day Care
CPS Policies and Procedures
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Effective October 1, 2018 xii
FORMS AND INSTRUCTIONS
NUMBERED FORMS
DHR-FCS-731 Agreement For Foster Care
DHR-FCS-1519 Multi-Disciplinary Child Protection Team Referral Form
DHR-FCS-1520 Multi-Disciplinary Child Protection Team Follow-Up Report
DHR-FCS-1521 Multi-Disciplinary Child Protection Team Member
Commitment And Confidentiality Agreement
DHR-FCS-1522 Multi-Disciplinary Child Protection Team Annual Report
DHR-FCS-1593 Written Report Of Suspected Child Abuse/Neglect
DHR-FCS-1595 Suspected Abuse/Neglect Injury Notesheet
DHR-FCS-1597 Child Protective Services Alert
DHR-FCS-1598 Child Abuse/Neglect Central Registry Clearance Request
DHR-FCS-2110 Safety Plan
DHR-FCS-2110A Person(s) Responsible For Protecting Children
DHR-FCS-2121 AEIS – DHR CAPTA Referral Form
FORM LETTERS
Providing Copies Of CA/N Reports To DA Or LEA
Providing Copies Of Completed CA/N Assessments To DA Or LEA
MEMORANDA
Cover Memo for Child Protective Services Alert
Request To Restrict CA/N Report(s) On Child In DHR Permanent Custody
INSTRUCTIONS FOR FORMS
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Effective April 1, 2007 xiii
APPENDIX
ALPHABETICAL LISTING OF CA/N ALLEGATIONS
CA/N INTAKE FLOW CHART
CA/N INTAKE RESPONSE TIME DETERMINATION
CA/N ASSESSMENT FLOW CHART
CHILD ABUSE/NEGLECT CONTINUUM OF RISK
CPS FORMS – LISTED ALPHABETICALLY BY NAME & NUMERICALLY BY NUMBER
JOINT INTERVENTION PROTOCOL
SEXUALLY TRANSMITTED DISEASES
STATE LICENSED AND OPERATED CHILD RESIDENTIAL FACILITIES
TERMINOLOGY CHANGES
FACTS CORRESPONDENCE
Letter To Out-Of-Home PARANS Notifying Them About Allegations
Letter Notifying Parent or Primary Caregiver of Allegations
Letter Notifying DA of Allegations
Letter Notifying LEA of Allegations
Letter To Facility Directors Notifying Them About Allegations
Letter Notifying DA of Disposition
Letter Notifying LEA of Disposition
Letter Notifying Facility Directors About Disposition
Letter Notifying Mandatory Reporter About Disposition
Letter Notifying Parent or Primary Caregiver About Disposition
Letter to PARAN Indicated Disposition With Opportunity For CA/N Hearing
Letter to PARAN Indicated Disposition With Opportunity For Admin. Record Review
Letter To PARANS Notifying Them Of Not Indicated Disposition
Letter To Law Enforcement With CA/N Report For Investigation
Memo To Schedule CA/N Hearing
Memo To Schedule Administrative Record Review
Letter To Reporter Regarding No CA/N Assessment

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CHILD ABUSE / NEGLECT (CA/N)
INTRODUCTION
CA/N Introduction
Child Protective Services Policies And Procedures
Effective October 16, 2020 i
I. INTRODUCTION
A. Purpose 1
1. CA/N Intake 1
2. CA/N Assessment 1
B. Children Covered By CA/N Policies And Procedures 2
C. Child Protective Services Role 2
D. Legal Base 3
E. Child Abuse/Neglect Reporting 3
1. Mandatory 3
2. Permissive 5
3. Anonymous 5
CA/N Introduction
Child Protective Services Policies And Procedures
Effective September 1, 2002 1
I. INTRODUCTION
Child protective services (CPS) are based on the conviction that primary responsibility for
children’s protection rests with their parents, and CPS recognizes that one of children’s basic
needs is to belong to a family. As phrased in the first White House Conference on Children in
1909, “Home life is the highest and finest product of our civilization. Children should not be
deprived of it except for urgent and compelling reasons.” Child protective services’ overarching
goal is to prevent or remedy the abuse and neglect of children and to preserve families.
Recognition is given, however, to the fact that “urgent and compelling reasons” do exist in some
homes and that some children cannot and should not remain with their parents in certain
hazardous conditions.
A. Purpose
1. CA/N Intake
CA/N intake is designed to receive information from the community about
children who are allegedly abused/neglected. During the intake process, child
welfare staff shall:
• Assist individuals contacting DHR to provide behaviorally specific,
detailed information about their concerns;
• Determine if the concerns meet CA/N definitions and whether the
children may be at risk of serious harm;
• Identify which CA/N reports must be referred to law enforcement;
• Determine the response time for CA/N assessments conducted by DHR;
and
• Provide information to reporters about other DHR programs (e.g., CPS
prevention) and/or community resources that may be of assistance when
the intake information indicates the children are not at risk of serious
harm.
2. CA/N Assessment
CA/N assessment is the process where child welfare staff gathers, analyze, and
make decisions about children who are allegedly at risk of serious harm. The
purpose of CA/N assessment is to determine whether:
• abuse/neglect has occurred;
• a safety plan is needed; and
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Effective October 16, 2020
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• a risk of serious harm to the children exists and on-going services are
indicated for the children/family.
B. Children Covered By CA/N Policies and Procedures
CA/N policies and procedures apply to children under the age of nineteen (19). Note:
Children must be under the age of 19 for the report to be considered a CA/N and entered
into the Central Registry.
Please note: The definition of a child is a person under the age of eighteen (18) years or a
person under the age of 19 who is in need of protective services and does not qualify for adult
protective services under Chapter 9 of Title 38.
The following are some factors to consider when determining the need for protective services
for a person 18 years of age:
• Physical Health;
• Mental Health;
• Ability to protect self to include ability to access needed services;
• Living arrangements to include degree of independence;
• Relationship between youth and PAR
For 18-year-olds who do not need protective services, reports should not be taken. Examples of
how to assess for the need for protective services include but are not limited to:
• An 18-year-old is attending college and reports a crime of rape; it would need to
be determined at intake if that 18-year-old is in need of protective services or if
is it a matter for law enforcement and/or victim services.
• An 18-year-old’s parents refuse to provide care and support; it would need to be
determined at intake if the 18-year-old who is displaced from their home is a
child in need of protective services.
C. Child Protective Services Role
Child protective services are provided in response to concerns from all sectors of the
community. They are directed toward preventing or remedying the abuse/neglect of
children who are unable to protect themselves.
DHR has the responsibility to intervene and provide services so that children’s needs for
safety can be met. The planning and delivery of services is based on a comprehensive
assessment of individual and family needs which occurs through the individualized
service planning (ISP) process. CPS include, but are not limited to, receiving child abuse
and neglect reports and community concerns regarding child safety; conducting CA/N
assessments to determine if children are at risk of serious harm; entering abuse/neglect
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information into the State Central Registry; implementing safety plans as needed; and
when the case is opened to on-going services, participating in the ISP process.
CPS must be individualized and needs-based. If existing services are unable to meet
child/family needs, child welfare staff are responsible for developing need
resources/services. Child welfare staff are also responsible for utilizing existing
community services such as Department of Public Health; Alabama Cooperative
Extension Service; Department of Rehabilitation Services; State Employment Service;
Alabama Medicaid Agency; Department of Education; Department of Mental Health;
Community Action; Child Care Management Agencies; family service centers; advocacy
centers; and domestic violence shelters. DHR programs include food stamps, financial
assistance, child support enforcement services, and adult services.
Child welfare staff also have a responsibility to educate the community about child
abuse/neglect issues and make the public aware of DHR’s role in providing protective
services. This can be accomplished in many ways such as addressing civic clubs,
churches, parent-teacher groups, school classes; distributing posters and pamphlets;
appearing on television or radio programs; and securing public service announcement
time through the radio and television media.
Preventing and treating child abuse/neglect is a multi-disciplinary concern and cannot be
left entirely to any one agency. In addition to DHR, law enforcement, the courts, mental
health agencies, physicians (especially pediatricians), schools, day care centers, medical
facilities, and public health agencies will have occasions to observe the results of child
abuse and neglect. These groups must work collaboratively to prevent, discover, and
treat abuse/neglect.
D. Legal Base
This policy has been developed to comply with the Code Of Alabama 1975 which
describes DHR’s statutory obligations related to child abuse/neglect (Title 26) and
general duties, powers, and responsibilities (Title 38) as well as best practice.
E. Child Abuse/Neglect Reporting
In order to protect children from abuse/neglect, the Alabama legislature provided for the
reporting of child abuse/neglect to appropriate authorities. The legislature’s intent was
that, through the cooperation of state, county, local agencies, and government divisions,
protective services would be made available in an effort to prevent future abuse/neglect.
Code of Alabama 1975 § 26-14-1 provides for the mandatory and permissive reporting of
child abuse/neglect to a “duly constituted authority,” primarily DHR and law
enforcement, when any person suspects children are being abused or neglected, and § 26-
14-9 provides for immunity from any liability, civil or criminal, that might otherwise be
incurred or imposed when any person makes a report in good faith.
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1. Mandatory (§ 26-14-3)
Code of Alabama 1975 § 26-14-3 as amended by ACT 2013 – 201, adds
additional persons and institutions mandated to report known or suspected child
abuse/neglect, and the amended list of mandatory reporters now reads as follows:
• all hospitals,
• clinics,
• sanitariums,
• doctors,
• physicians,
• surgeons,
• medical examiners,
• coroners,
• dentists,
• osteopaths,
• optometrists,
• chiropractors,
• podiatrists,
• physical therapists,
• nurses,
• public and private K-12 employees,
• school teachers and officials,
• peace officers,
• law enforcement officials,
• pharmacists,
• social workers,
• day care workers or employees,
• mental health professionals,
• employees of public and private institutions of postsecondary and higher
education,
• members of the clergy as defined in Rule 505 of the Alabama Rules of
Evidence (except for information gained solely in a confidential
communication) which includes “any duly ordained, licensed, or
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commissioned minister, pastor, priest, rabbi, or practitioner of any bona
fide established church or religious organization,” or any other person
called upon to render aid or medical assistance to any child when such
child is known or suspected to be a victim of child abuse or neglect.
Mandated reporters shall be required to report, orally, either by telephone
or direct communication immediately, followed by a written report [submit
DHR-FCS-1593, Written Report OF Suspected Child Abuse/Neglect] to a
duly constituted authority (e.g., primarily DHR and law enforcement).
2. Permissive (§ 26-14-4)
In addition to those persons, firms, corporations and officials required to report
child abuse and neglect, any person may make such a report if that person has
reasonable cause to suspect that a child is being abused or neglected. Examples of
persons who come under the permissive reporting category include, but are not
limited to, parents, relatives, private citizens, and children.
3. Anonymous
Abuse/neglect reports are frequently made by persons who wish to remain
anonymous. In many situations an anonymous reporter can be helped to reveal
more information if child welfare staff explain DHR’s policies and procedures for
CA/N reporting and CA/N assessments. Child welfare staff must focus on factual
content provided by all reporters as they can be emotionally invested in a
situation and the facts may not be clearly presented.
On occasion reporters may give their name, but state they want to remain
anonymous. In this situation, reporters are to be told that all information provided
must be included in the Department’s record, but their identity is not revealed by
the Department to the family involved in the report. Refer to CA/N Intake, III.
Information Collection, A. Conduct Interviews, page 3, 2nd bullet, for additional
information provided to reporters.

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Child Protective Services Policies And Procedures
Effective September 1, 2002
GLOSSARY
Child Protective Services Policies And Procedures
Revision No. 50
Effective August 9, 2021
1
GLOSSARY
AGE-APPROPRIATE CHILD
A child age 10 and older (except a child with severe intellectual disabilities) or a child under age
10 who is intellectually capable of understanding and communicating ideas and opinions
concerning the subject matter being discussed or considered.
CHILD SAFETY/SAFE
The absence of a safety threat or the family is willing and able to manage safety threats.
DHR RESPONSE TIME
The timeframe within which child welfare staff shall make in-person initial contact with both
(1) the children allegedly experiencing abuse/neglect and safety threats, and (2) all other children
in the home.
FAMILY CENTERED APPROACH
A child welfare practice approach that is strengths-based and solution-oriented and that
mobilizes family change through a family-worker partnership.
IMMINENT RISK OF PLACEMENT (into DHR custody and/or foster care)
Family conditions and circumstances that threaten child safety are present and interacting in such
a way that it leads a reasonable person to conclude that there is a very high likelihood that a child
will need to be placed.
INITIAL ASSESSMENT
A family centered evaluation conducted for the purpose of identifying the presence of child
abuse/neglect and safety threats. This evaluation is used as a basis to determine whether there is
a risk of serious harm to the children, and hence, a need for on-going service delivery.
INTAKE
The process by which the community makes its concerns regarding alleged child abuse/neglect
known to DHR.
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Effective November 1, 2010
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GLOSSARY (Cont’d)
MALTREATMENT (synonymous with child abuse/neglect)
Child abuse or neglect as described in Child Abuse/Neglect (CA/N) Allegations And Definitions.
MENTAL HEALTH PROFESSIONAL
Professional (e.g., psychiatrist, clinical psychologist, psychiatric nurse, non-DHR social worker,
mental health worker, etc.) trained and experienced in a human service field that provides a wide
range of services for the expressed purpose of improving an individual’s mental health or to treat
mental illness.
PARENT
A child’s birth mother/father, adoptive mother/father, or stepmother/stepfather.
PERSON ALLEGEDLY RESPONSIBLE FOR ABUSE/NEGLECT
Any person, age fourteen (14) years or older when the alleged abuse/neglect occurs, who is
identified as being responsible for the abuse/neglect.
PRIMARY CAREGIVER
The adult who assumes the parental role and has the major responsibility for a child’s care. This
may include, but is not limited to, a parent, stepparent, adoptive parent, another relative or a non-
relative rearing a child for an absent or incapacitated parent. Primary caregiver also includes any
person who has assumed or been delegated responsibility for the care, supervision,
transportation, and/or control of children through their employment, unpaid service as a
volunteer, or connection with (e.g., students completing an educational practicum, board
members) an out-of-home care setting.
SECONDARY CAREGIVER
A non-licensed person (e.g., relatives, neighbors, babysitter, nanny, etc.) age fourteen (14) years
or older alleged to have abused/neglected the child(ren). This may include adults or children
whom the parent/primary caregiver makes formal or informal arrangements, to provide care or
supervision for the child(ren) in the parent/primary caregiver absence.
NON-CAREGIVER
A person (e.g., boyfriend, girlfriend, paramour, etc.) age fourteen (14) years or older alleged to
have abused/neglected the child(ren). This may include adults or children (age fourteen years or
older) who never had control over or supervisory responsibility for the care and supervision of
the child(ren) but participated directly or indirectly in activities/behavior that resulted in alleged
abuse/neglect of the child.
Child Protective Services Policies And Procedures
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Effective October 1, 2011
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GLOSSARY (Cont’d)
PRIVATE INTERVIEW
An interview shall be considered private only when it is restricted to or intended for an
individual person (e.g., PARAN, PIR, etc.) and a DHR representative(s). Refer to CA/N
Assessment, III. Information Collection Protocol, F. Required Interviews and Information, for
those individuals for whom a private interview is required.
Examples of interviews not considered private include situations where the PARAN (Person
Allegedly Responsible for Abuse/Neglect) is represented by an attorney or the PIR (Person
Identified at Risk) requests the presence of a teacher, counselor or other school personnel.
Note: A DHR attorney must be present when a PARAN has legal representation. School
personnel, if requested by a child, can be present at the Social Worker’s discretion if it is
determined that it is in the best interest of the child. School personnel must be made aware that
they are subject to subpoena to court for any disclosure statements the child may make.
PROTECTIVE CAPACITIES
Parent/primary caregiver resources that can or do provide for child safety. These capacities
include, but are not limited to, parenting/caregiving knowledge and skills; attachment to the
children; awareness of and ability to interpret and meet children’s needs; and a willingness and
ability to act protectively when the children experience safety threats.
SAFETY THREAT
A condition or circumstance that presents a risk of serious harm to the children.
SCHOOL EMPLOYEE
As defined by Code of Alabama, 1975, Section 13A-6-80, a teacher, school administrator,
student teacher, safety or resource officer, coach, and other school employee.
SERIOUS HARM
Significant physical injury; sexual abuse; severe impairment in a child’s functioning; permanent
disability or disfigurement; or death.
“Severe impairment in a child’s functioning” is a serious deficit in a child’s behavior or
cognition.
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VULNERABILITY
Refers to (a) a child’s capacity for self-protection; (b) the type and extent of access a child has to
individuals who are able and willing to provide protection; and (c) the child’s susceptibility to
experience severe consequences based on age, health, size, mobility, or social/emotional state.

https://dhr.alabama.gov/wp-content/uploads/2023/08/CPS-03-CAN-Allegations-and-Definitions-2.pdf

CHILD ABUSE/NEGLECT (CA/N)
ALLEGATIONS AND DEFINITIONS
CA/N Allegations And Definitions
Child Protective Services Policies And Procedures
Revision No. 54
Effective Date September 1, 2023
i
TABLE OF CONTENTS
I. INTRODUCTION 1
A. Serious Harm 1
B. Abuse, Neglect and Willful Mistreatment Defined 1
C. Poverty Versus Neglect 1
D. Cultural Diversity And Child Abuse/Neglect 2
II. ALLEGATIONS AND DEFINITIONS 2
PHYSICAL INJURIES 4
Bone Fractures 4
Burns/Scalding 4
Cuts/Bruises 5
Human Bites 6
Internal Injuries 6
Shaken Baby Syndrome 6
Sprains/Dislocations 7
Tying/Close Confinement 7
Bizarre Discipline 7
MENTAL ABUSE/NEGLECT 8
SEXUAL INJURIES 8
Sexual Exploitation 9
Sexual Molestation 10
Sexual Penetration 10
Sex Trafficking 11
Sexually Transmitted Disease 11
NEGLIGENT TREATMENT 12
Abandonment 12
Failure To Thrive 12
Inadequate Clothing/Personal Hygiene 12
Inadequate Food 13
Inadequate Shelter 13
Inadequate Supervision 13
Medical Neglect 15
DEATH 16
FACTITIOUS DISORDER BY PROXY 16
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POSITIVE TEST FOR ALCOHOL AT BIRTH/FETAL ALCOHOL SYNDROME 17
POSITIVE TEST FOR DRUGS AT BIRTH/DRUG WITHDRAWAL 17
CHEMICAL ENDANGERMENT (METHAMPHETAMINE) 18
OTHER THREAT OF SERIOUS HARM 19
OTHER THREAT OF SERIOUR HARM/DOMESTIC VIOLENCE 20
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Child Protective Services Policies And Procedures
Revision No. 54
Effective September 1, 2023
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I. Introduction
A. Serious Harm
Child protective services’ central purpose is to protect children from serious harm.
Serious harm is defined as significant physical injury; sexual abuse; severe impairment in
a child’s functioning; permanent disability or disfigurement; or death. “Severe
impairment in a child’s functioning” is a serious deficit in a child’s behavior or cognition.
This document describes specific types of abuse and neglect as defined by DHR. The
common theme running through the definitions is that serious harm is present or
threatened. The Intake and CA/N Assessment flow charts (refer to Appendix) visually
reflect how protecting children from serious harm drives the intake and CA/N assessment
processes, and guides DHR’s decision-making.
B. Abuse, Neglect, and Willful Mistreatment Defined
Abuse occurs when serious harm is inflicted non-accidentally on a child by any person
age fourteen (14) years or older.
Neglect occurs when parents or primary caregivers negligently fail to protect children
from a threat of serious harm. This includes incidents of “blatant disregard” where
children are placed in harmful and dangerous situations that require precautionary
measures to protect them.
Willful Mistreatment is defined in Code of Alabama 1975, 26-15-2 as “any intentional
behavior by a responsible person (i.e., natural parent, stepparent, adoptive parent, legal
guardian, custodian, or any other person who has the permanent or temporary care or
custody or responsibility for the supervision of a child) that inflicts injury to a child
without causing physical injury to the child.
“Blatant disregard” is defined as incidents where the threat of harm to children is so
imminent and apparent that it is unlikely a parent or primary caregiver would have
exposed the children to such danger without exercising precautionary measures to protect
the children from harm.
C. Poverty Versus Neglect
Child abuse and neglect occurs across all socioeconomic, religious, and ethnic groups.
Economic factors are often found in combination with other factors (e.g., child, parent,
and family factors) as contributing to abuse/neglect. Family stresses caused by poverty,
as evidenced during times of increased unemployment and recession, are associated with
higher rates of reported abuse/neglect. It is essential that child welfare staff make the
distinction between poverty and neglect. Neglect may be evident when parents or
primary caregivers do not use their resources to provide their children with basic care and
protection. Poverty, not neglect, may be evident when families use resources available to
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them, but are unable to meet their children’s basic needs. If poverty is determined to be
the sole reason for the alleged neglect, the disposition would be “not indicated.” Since
poverty can result in children not receiving proper care, child welfare staff must be
prepared to help families access needed services.
Note: Code of Alabama 1975 § 12-15-71 (a) (6) provides that children cannot be
removed from their parents’ custody solely because of emergency housing needs.
D. Cultural Diversity And Child Abuse/Neglect
Cultural diversity must also be considered when child welfare staff intervene in
children’s and families’ lives. As child welfare staff analyze information collected
during intake and CA/N assessment, they must recognize and consider cultural factors
which may be influencing the reporter’s information as well as the child’s/family’s
situation. What one culture defines as child abuse and neglect may be socially acceptable
interaction in another culture. Given these considerations, collecting information during
intake and assessment from individuals who understand the family’s culture may be
necessary.
Examples of cultural issues include, but are not limited, to:
• alcohol consumption during religious ceremonies; or
• attitudes and practices related to the use of physical punishment.
While cultural practices must be considered, the presence of “cultural practice” as an
explanation for abuse/neglect is not sufficient, in and of itself, to preclude a finding of
abuse/neglect if abuse/neglect is otherwise indicated.
II. ALLEGATIONS AND DEFINITIONS
The specific CA/N allegations and definitions described in this section are consistent with the
statutory abuse/neglect definitions in Code of Alabama 1975 § 26-14-1(1) through (3).
Child welfare staff shall utilize one (1) or both of the following methods to verify alleged
abuse/neglect.
• Direct observation by a child welfare worker or law enforcement officer;
• A written or verbal statement by a medical professional.
A specific verification method may be required for some allegations. In such cases, that method
is specified within the definitions that follow. In addition, when child welfare staff or law
enforcement are unable to observe injuries due to alleged abuse or neglect, verification by a
credible source (e.g., schoolteacher) who saw the injuries may be used. This will typically occur
when a report is not received in a timely enough manner to permit direct observation by child
welfare or law enforcement staff. The CA/N record must contain sufficient documentation of the
source’s credibility and a detailed description of what the person observed.
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Note: A court finding of abuse/neglect is not required for child welfare staff to conclude that a
report is “indicated. However, when a juvenile or criminal court finds that abuse or neglect
occurred, that finding serves as presumptive evidence that the report is “indicated”
(§ 26 – 14 – 7.1).
If DHR’s disposition must be changed to “indicated,” child welfare staff must provide the person
with an opportunity for a CA/N hearing or an administrative record review according to
procedures identified in Due Process. Once due process procedures have taken place, child
welfare staff must ensure that the correct disposition is reflected in the CA/N Central Registry.
If the disposition needs to be changed, refer to sections L. or M. in Special CA/N Procedures.
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Child Protective Services Policies And Procedures
Effective September 1, 2002 4
PHYSICAL INJURIES
BONE FRACTURES
Definition A fracture is a broken bone. This allegation also includes skull fractures.
The most common fracture types that might be encountered in medical
reports are:
Chips: A small piece of bone is flaked from the major bone part.
Simple: The bone is broken, but there is no external wound.
Compound: The bone is broken and there is an external wound leading to
the fracture site or bone fragments are protruding through the skin.
Comminuted: The broken bone is splintered into pieces.
Spiral: The fracture encircles the bone in the form of a spiral; usually
caused by a twisting motion.
Additional
Verification Written or verbal statement by a medical professional; and preferably a
neurosurgeon or radiologist for skull fractures.
BURNS/SCALDING
Definition Burns
Tissue injury resulting from excessive exposure to thermal (dry heat),
chemical, electrical, or radioactive agents. Effects vary according to the
type, duration, and intensity of the agent and the body part involved.
Burn Classifications:
First Degree: Superficial burns with damage (e.g., scorching, painful
redness) limited to the outer skin layer.
Second Degree: Damage extends into the inner skin layers with blistering
present within 24 hours.
Third Degree: Skin is destroyed; damage extends into underlying tissues
which may be charred or coagulated.
Scalding: A burn to skin or flesh caused by moist heat and hot vapors
(e.g., steam).
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Additional
Verification All immersion burns and burns of suspicious or unknown origin (e.g.,
suspected cigarette burns; burns appearing to have been caused by a hot
instrument being applied to the skin) must be diagnosed/verified by a
physician.
Diagnosis/verification by a physician is not always necessary for severe
burns; however, they need to be examined by a physician for any needed
medical treatment.
CUTS, BRUISES
Definition Cuts
Open incisions or breaks in the skin made by some external agent.
Bruises
Bleeding within the skin where the skin is discolored, but not broken.
Note: Injuries resulting from excessive corporal punishment are also
included under this allegation.
Corporal Punishment
Alabama laws and court decisions support the use of corporal punishment
by parents and those acting “in loco parentis” (e.g., school teachers) to
discipline children. State courts have held that bruising produced by
corporal punishment does not, in and of itself, constitute abuse, and
parents or primary caregivers have the right to choose disciplinary
methods as long as their actions do not constitute abuse.
Consider the following factors when determining whether cuts or bruises
(including those resulting from corporal punishment) constitute
abuse/neglect.
• age (children under 3 years old are at a much greater threat of
harm, and bruises/cuts resulting from corporal punishment are
generally considered significant enough to constitute child
abuse/neglect);
• children’s physical, mental, and emotional condition;
• any developmental, physical, or mental disability, particularly
if it impairs the children’s ability to protect themselves (e.g.,
ability to verbalize or communicate);
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• location and severity of the injury and for bruises, the size,
number, depth, and extent of discoloration;
• parents’ or primary caregivers’ explanation of how the injury
occurred; whether an instrument was used, and if so, what
kind; and
• previous history of indicated abuse or neglect.
Corporal punishment, even when bruises are present, is not considered
abusive when all the following factors are present.
• the punishment is administered by a parent or someone acting
in the parent’s place;
• the punishment’s sole purpose is to restrain or correct the
child; and
• the force used is reasonable in manner, moderate in degree,
and is not reckless or disregarding of the child’s vulnerability.
HUMAN BITES
Definition Wounds, bruises, cuts, or indentations in the skin caused by seizing,
piercing, or cutting the skin with the human teeth.
INTERNAL INJURIES
Definition Internal injuries (not visible from the outside) which are caused by
physical force (e.g., hitting, kicking, shaking). These injuries can result in
a loss of consciousness, seizure, and mental or physical damage.
Additional
Verification Written or verbal statement by a medical professional
SHAKEN BABY SYNDROME
Definition Shaken Baby Syndrome (SBS), also known as Abusive Head Trauma
(AHT) and Inflicted Traumatic Head Injury (ITHI) is severe internal
injury to the brain of an infant or child (e.g., usually younger than 1 year
old but may occur in children up to age 5) directly related to infant/child
being violently shaken and often associated with one or more of the
following medical conditions, bleeding at the back of one or both eyes
(retinal hemorrhage), an accumulation of blood in the outer part of the
brain (subdural hematoma), or swelling of the brain caused by an
accumulation of fluid (cerebral edema).
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Additional
Verification Written statement from a physician that based on his opinion, injuries the infant
received are consistent with those associated with shaken baby syndrome.
SPRAINS/DISLOCATIONS
Definition Sprain
Trauma to a joint which causes pain and limited range of motion
depending upon the degree of injury to the ligaments.
Dislocation
Displacement of a bone from its normal position in a joint.
Additional
Verification Written or verbal statement by a medical professional
TYING/CLOSE CONFINEMENT
Definition Unreasonable restriction of a child’s mobility, actions, or physical
functioning by tying the child to a fixed (or heavy) object, tying limbs
together, or forcing the child to remain in a closely confined area which
restricts physical movement.
Examples of tying/close confinement include, but are not limited to:
• Tying one or more of a child’s limbs to a bed, chair, or other
object;
• Restraining limbs to the point where blood circulation is
affected;
• Tying the child’s hands or feet; and
• Locking a child in a closet for any period of time.
BIZARRE DISCIPLINE
Definition Extreme or aberrant disciplinary actions, events, and/or devices, used in
an attempt to set behavioral standards or to modify behavior, which are
manifestly over-reactive to the child’s behavior and the disciplinary
situation; and which place the child at threat of serious harm.
Examples of bizarre discipline include, but are not limited to:
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• forcing children to kneel on objects that cause pain;
• tying the penis to stop bed wetting;
• threatening to kill/injure or killing/injuring a child’s pet;
• placing unsafe amounts of pepper or tabasco in the mouth; and
• forcing the child to drink Drano or other noxious/choking
substances.
MENTAL ABUSE/NEGLECT
Definition Extreme and aberrant behavior that directly results in severe impairment
to a child’s functioning.
Circumstances that may indicate abuse/neglect include, but are not limited
to:
• family violence episodes that continue to the extent that a
child’s school grades drop significantly and the child becomes
severely emotionally disturbed
• parent repeatedly curses, yells, screams at child or repeatedly
demeans child which results in child becoming suicidal or
violent.
Additional
Verification Written statement based on a mental health professional’s evaluation. The
mental health professional must be informed in writing of the
Department’s definition of mental abuse/neglect. The written statement
must specify the behavior-cited fits within the department’s definition, in
order for the allegation disposition to be “Indicated.”
SEXUAL INJURIES
The following five (5) allegations (i.e., exploitation, molestation, penetration, sex trafficking and
sexually transmitted disease) constitute child sexual abuse. Sex abuse, as defined in the child
abuse reporting statute, is based on the criminal statutes which contain specific factors (i.e., age,
relationship, consent, and deviation) that determine whether a particular sexual activity
constitutes child sexual abuse.
Due to the complexity of sexual abuse and associated statutes, behaviorally specific and detailed
information must be gathered by child welfare staff during intake and CA/N assessment. Refer
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Effective September 1, 2002 9
to “Sexual Abuse Guidelines” for additional information on activities that constitute child sexual
abuse.
SEXUAL EXPLOITATION
Definition Sexual use of a child for sexual arousal, gratification, advantage, or profit.
Note: Penetration and molestation are separate CA/N allegations;
therefore, they are excluded from this definition. In addition, detailed
information may not be known at intake about the purpose of the sexual
use; therefore, the report shall be taken and sufficient details obtained
during the CA/N assessment.
Sexual exploitation includes, but is not limited to, the following:
1. indecent solicitation of a child, or enticement for the purpose
of committing a sexual act or fondling of a sexual or genital
part or breast of a child under age 16 (§ 13A-6-69)
2.
Note: Enticement may be verbal or by gesture (e.g., enticing
a child with alcohol and/or drugs for the purpose of an
immoral act; inviting a child, without other enticements, into
a house for the purpose of committing an immoral act;
inviting a child into a home and subsequently showing
sexually explicit pictures of a married couple and children
performing the act of fellatio);
3. exposing sexual organs to a child for the purpose of sexual
arousal or gratification
Note: The exposure of one’s buttocks only does not
constitute indecent exposure.
4. promoting, allowing, permitting, intimidating or encouraging
a child to engage in masturbation (§ 13A-6-68) of others or to
openly engage in self-masturbation;
5. promoting, allowing, permitting, forcing, intimidating or
encouraging a child to engage in or soliciting patrons for
prostitution of a child under age 16, (§ 13A-12-110, et seq.);
6. promoting, allowing, permitting, forcing, intimidating or
encouraging a child(ren) to engage in sexual contact or other
sexual activities with other children or adults;
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7. allowing, permitting, encouraging or engaging in the obscene
or pornographic photographing, filming, or depicting of a
child for commercial purposes; and,
8. showing, exhibiting, displaying, selling, renting, distributing
obscene materials or sexual conduct to an unmarried child
under age 18 (§13A-12-200, et seq.).
SEXUAL MOLESTATION
Definition Sexual conduct with a child when such contact, touching or interaction
over or under the child’s clothes is used for arousal or gratification of
sexual needs or desires.
Sexual molestation includes, but is not limited to, the following:
1. fondling, touching or pinching intimate or other parts of the
child’s body generally associated with sexual activity;
2. encouraging, forcing, or permitting a child to inappropriately
touch intimate or other parts of another’s body generally
associated with sexual activity (§ 13A-6-69); and
3. contact or touching, however slight, but not penetration
between the intimate or sexual parts of the person allegedly
responsible for maltreatment and the intimate or sexual parts of
a child.
(Sexual abuse § 13A-6-66 et seq. and sexual conduct § 13A-6-60)
SEXUAL PENETRATION
Definition Any intrusion or entrance, however slight, through use of digits (i.e.,
fingers or toes), through use of an inanimate object, or between the sex
organ, mouth or anus of one person and the sex organ, mouth or anus of
another person.
Sexual penetration includes acts commonly known as:
• oral sex (cunnilingus, fellatio);
• anal sex (penetration);
• sexual intercourse (coition or copulation);
• sexual intercourse to the point of orgasm and ejaculation of
semen (coitus);
• digital penetration; and
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• penetration of the vagina, anus, or mouth with an inanimate
object with the intent to sexually abuse a child under age
twelve (12) (§13-6-65.1).
SEX TRAFFICKING
Definition The recruitment, harboring, transportation, provision, or obtaining of a
person for the purpose of a commercial sex act when such act is induced
by force, fraud, or coercion, or in which the person induced to perform
such act has not attained eighteen (18) years of age.
Any sexually exploited child under the age of eighteen (18) is considered
an alleged victim of sex trafficking, even if there is no force, fraud or
coercion. Alleged victims can be of multiple racial and ethnic groups,
males or females, U.S. citizens or children trafficked to the U.S. from all
regions of the world.
Indicators of sex trafficking includes, but is not limited to, the following:
• chronic runaway/homeless youth
• excess amount of cash in possession and reluctant to explain
source
• lying about age/false ID
• inconsistencies in story
• hotel keys and key cards
• any mention of a pimp/boyfriend
• refers to employer/boyfriend using slang such as “daddy”
• has engaged in prostitution or commercial sex acts
Populations especially vulnerable to sex trafficking include undocumented
immigrants, youth in foster care, runaway and homeless youths, victims of
abuse and neglect, refugees fleeing social or political conflict or
oppression, and impoverished groups and individuals.
SEXUALLY TRANSMITTED DISEASE
Definition A disease which was originally acquired as a result of sexual penetration
or sexual contact with an afflicted individual (Refer to the Appendix for
additional information on sexually transmitted diseases).
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Diagnosis of any non-neonatal, sexually transmitted infection in a child
who is prepubertal raises the strong possibility of sexual abuse (unless
proven otherwise). The presence of any sexually transmitted infection in
older children may also be due to sexual abuse.
Additional
Verification Written or verbal statement by a medical professional.
NEGLIGENT TREATMENT
ABANDONMENT
Definition The parents’ relinquishment of caregiving responsibility and there is no
current caregiver or the current caregiver can no longer provide care.
FAILURE TO THRIVE
Definition Child’s weight, height, and motor development fall significantly short of
normal children’s average growth rate (i.e., below the 5th percentile).
Failure to thrive is a serious medical condition most often seen in children
under age 1. The condition may be due to organic reasons (e.g., serious
kidney, heart, intestinal disease; brain damage) or may result from failure
to meet a child’s nutritional and/or emotional needs.
Additional
Verification Written or verbal statement by a physician that the child’s condition is
non-organic in nature.
INADEQUATE CLOTHING/PERSONAL HYGIENE
Definition Failure to provide clothing and/or personal hygiene to the extent that it
poses a threat of serious harm to the child. This allegation applies to
children under age twelve (12) and to those children, regardless of age,
who have a disability that prevents self-care.
Factors to consider include:
• child’s age; physical condition, mental ability, level of functioning;
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* frequency and severity of occurrence; and
* previous history of occurrences.
Note: Having head lice, in and of itself, is not considered inadequate
personal hygiene. Other symptoms/indicators must also be present before
this allegation can be disposed of as “indicated.”
Circumstances that may indicate a threat of serious harm include, but are
not limited to:
• twelve (12) month old child, recently released from the hospital after
a severe episode with pneumonia, is being brought to the doctor on
cold January days for follow-up care while wearing only a diaper and
thin T-shirt with no shoes or socks
• fifteen (15) year old physically disabled youth is wheelchair-bound
and wearing soiled diapers which have resulted in sores on the
genitals and buttocks
INADEQUATE FOOD
Definition Failure to provide food sufficient to sustain normal functioning and
prevent serious harm.
INADEQUATE SHELTER
Definition Parents’ or primary caregivers’ failure to provide shelter that protects
against threat of serious harm. The shelter must protect the children
from weather elements and other hazards (in the dwelling and on the
property) that pose a threat of serious harm.
Adequate shelter includes a heating or cooling source (if needed for health
reasons) and access to water and sanitary facilities for personal hygiene.
A lack of sanitation/cleanliness constitutes neglect when it poses a safety
threat (i.e., threat of serious harm) to children.
Note: Code of Alabama 1975, § 12-15-71 (a) (6), as amended, prohibits
the removal of children from their parents’ custody solely because of an
emergency housing need.
INADEQUATE SUPERVISION
Definition Failure to provide supervision that protects children from serious physical
harm or sexual abuse.
Factors to consider include, but are not limited to:
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• children’s age, physical and mental condition, and
developmental stage particularly as they relate to the ability to
make sound judgments about providing self-care and
protection;
• children’s location and the parents’ presence or accessibility to
the children;
• frequency and duration of occurrence; and
• time of day or night incidents occur.
Circumstances that may indicate a threat of serious harm include, but are
not limited to:
• Children are being left alone or with siblings in situations that
pose a threat of serious harm (given the children’s age,
physical condition, maturity, and judgment).
• Parents/primary caregivers or secondary caregivers display
erratic or impaired behavior, engage in substance/alcohol
abuse, suffer from severe emotional disturbances, and/or are
unable to cope; and the resulting behaviors, alone or in
combination, are of such duration and intensity that the bare
minimum of child-care tasks cannot be performed.
• Parents/primary caregivers or secondary caregivers exhibit
behaviors that pose a threat of serious harm (e.g., leaving a
child in an unventilated car in the summer heat or in cold
temperatures without heat; leaving a young child alone without
access to a responsible adult or without knowledge of how to
reach help).
• Parents or primary caregivers child care plan poses a threat of
serious harm.
• Parents make no effort to intervene or to obtain assistance
when the child is engaged in substance abuse, criminal activity,
or status offenses.
• Parents have guns, controlled or illegal substances, and/or
poisonous or noxious substances in the home and the children
have unsupervised access to them.
• Child is consuming a mood altering substance which poses a
threat of serious harm, and the parents/primary caregivers,
secondary caregiver or non-caregiver are encouraging,
insisting, or permitting the child to consume the substance.
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Effective August 2, 2017 15
Mood altering substances include cannabis (marijuana),
hallucinogens, stimulants (including cocaine), sedatives
(including alcohol and Valium), narcotics, or inhalants.
Consider, at a minimum, the following factors when determining if the
substance misuse constitutes abuse/neglect.
 child’s age;
 frequency of misuse;
 whether the substance is illegal;
 degree of behavioral dysfunction or physical impairment;
 child’s culture (particularly as it relates to using alcohol in
religious ceremonies or on special occasions); and
 parents’ attempt to control an older child’s substance
misuse or seek help for the child.
MEDICAL NEGLECT
Definition Failure to provide medical or dental treatment for a health problem which,
if untreated, could cause serious harm.
Note: The following situations, in and of themselves, do not constitute
medical neglect and require the presence of some other condition or
situation which might cause harm to the child.
• Failure of parents or primary caregivers to obtain immunizations for
their children; refer these reporters to the Department of Public
Health.
• Failure of parents or primary caregivers to sign permission slips for
school physicals.
Religious objection. Any parent who, in good faith, allows treatment by
spiritual means alone or through prayer in accordance with the tenets and
practices of a recognized church or religious denomination by a duly
accredited practitioner shall not, for that reason alone, be considered
neglectful under any provision of these definitions unless the judge in a
court of law finds that it is in the child’s best interest for the court to take
jurisdiction.
DHR must petition a court of law for a decision about adherence to
religious beliefs as the basis for refusal or failure to seek, obtain, and
follow through with either diagnostic procedures or medical, mental, or
dental treatment in any situation where, according to medical opinion,
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failure to provide these may result in permanent disability or death to the
child.
“Medical neglect of children with disabilities” (P.L. 98-457) is also
included under this allegation, and is defined as withholding nourishment
and medically indicated treatment from infants (i.e., any child less than
one year old) solely on the basis of the infant’s present or anticipated
mental or physical impairment.
“Withholding medically indicated treatment” is defined as failure to
respond to an infant’s life-threatening conditions by providing treatment
(including appropriate nutrition, hydration, and medication) which, in the
treating physician’s reasonable medical judgment, will most likely be
effective in ameliorating or correcting life-threatening conditions.
Medical neglect of children with disabilities (P.L. 98-457) requires special
procedures (refer to Special CA/N Procedures) when assessing treatment
decisions. These procedures will also be used with:
• other severely disabled children when DHR is called upon to
intervene, on behalf of the child, in the proposed medical treatment
plan, and
• in situations where children in DHR custody or planning
responsibility are older than one (1) and they have a life-threatening
medical condition.
Treatment to ameliorate or correct life-threatening conditions may be
withheld in the following situations:
• infant is chronically and irreversibly comatose; or
• treatment would merely prolong death, would not be effective in
ameliorating or correcting the infant’s life-threatening conditions, or
would otherwise be futile in terms of the infant’s survival; or
• the treatment itself, under the circumstances, would be inhumane.
Additional
Verification Written or verbal statement by a medical professional
DEATH
Definition Permanent cessation of all vital functions.
The following also define death:
• total irreversible cessation of cerebral function, spontaneous function
of the respiratory system, and spontaneous function of the
circulatory system;
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• the final and irreversible cessation of perceptible heart beat and
respiration.
FACTITIOUS DISORDER BY PROXY
Definition A form of child abuse where the parents or primary caregivers, in order to
gain attention for themselves, exaggerate/fabricate and/or induce illness or
symptoms in a child, placing the child at threat of serious harm.
Munchausen Syndrome by Proxy is a narrower type of Factitious Disorder
by Proxy in which the main gain for the parents or primary caregivers is
attention from the medical or mental health community. The parents or
primary caregivers have an intense need or compulsion to be in a
relationship with the medical or mental health community, and the child is
used to obtain and maintain this relationship.
Diagnostic indicators include, but are not limited to, the following:
• Parent fakes the child’s illness or symptoms; upon examining the
child, the physician finds no evidence of what the parent has
described.
• Signs and symptoms of a child’s illness quickly cease when the
child and parent or primary caregiver are physically separated.
Additional
Verification Written statement by a medical professional
POSITIVE TEST FOR ALCOHOL AT BIRTH/FETAL ALCOHOL SYNDROME
Definition Child tests positive at birth for alcohol and/or exhibits symptoms of fetal
alcohol syndrome. Fetal alcohol syndrome is associated with
growth, mental, and physical problems (e.g. low birth weight, facial
abnormalities, organ dysfunction, etc.) that occur in a baby when a
mother consumes alcohol during pregnancy.
Additional
Verification Written or verbal statement from a medical professional.
POSITIVE TEST FOR DRUGS AT BIRTH/DRUG WITHDRAWAL
Definition Infants who test positive at birth for drugs are considered to be
abused/neglected. Infants who test positive at birth for prescription
medication or over the counter medications due to the mother’s
consumption and misuse of prescription medications or over the counter
medications are considered to be abused/neglected. Misuse of prescription
medications or over the counter medications is defined as an excessive
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Child Protective Services Policies And Procedures
Revision No. 38
Effective February 27, 2018
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amount of the medication in the infant’s system as determined by a medical professional.
Additional
Verification Written or verbal statement by a medical professional.
Additional
Information
Collection Protocol
Requirements When the report is received before the infant is discharged from the
hospital, child welfare staff per December 1, 2016 Memorandum,
Amended Timely Response to Intake Calls, shall respond immediately to
the hospital. In-person contact must be made with the mother, the infant,
and hospital medical staff prior to the infant’s discharge. The mother’s
and infant’s address and living arrangement must be verified (e.g.,
relatives, Medicaid records, DHR records, postal service), and a home
visit must be made within twelve (12) hours after the infant’s discharge
from the hospital.
When the report is received after the infant’s discharge from the
hospital, child welfare staff must make a home visit as soon as possible,
but no later than twelve (12) hours after the report is received.
Child welfare staff must collect and assess information about:
• Conditions and circumstances related to the substance
use/misuse (e.g., type, frequency, duration, underlying
conditions);
• The presence of any other individuals (e.g., household members,
friends) in the home who may also be using/misusing substances
or influencing the parent’s substance use/misuse;
• How the parent’s substance use/misuse is impacting caregiving
knowledge and skills:
• The parent’s ability to meet the infant’s unique needs;
• Adequacy of living arrangements and means of financial support;
and
• Whether the mother has other children not living with her; if so,
those children’s whereabouts, current living arrangement and
legal status. Specifically assess whether there are safety and
permanency needs (e.g., mother left child in an inappropriate or
unsafe setting) in these children’s current living arrangement. If
there is any indication that child safety is or was a concern for
these children (e.g., parental rights terminated), consideration
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Revision No.20
Effective November 1, 2010
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must be given as to whether the same or similar circumstances
and safety issues may occur with this infant.
CHEMICAL ENDANGERMENT (METHAMPHETAMINE)
Definition Child(ren) are in a situation/environment where through direct or indirect
exposure they ingest or inhale, a controlled substance (methamphetamine)
or chemical substance (e.g., pseudoephedrine, freon, sulfuric acid, etc.)
used in the production of methamphetamine, and parents’/primary
caregivers’ purpose for being in possession of the chemicals is to produce
or manufacture crystal meth for personal use or distribution.
Additional
Verification Direct observation by a child welfare worker or law enforcement officer
of a child(ren) presence and removal from an operational meth lab (e.g.,
observation creates preponderance of credible evidence of exposure), or
Statement from medical professional on diagnosed health problems which
are directly related to child(ren) exposed to controlled/chemical substance
during the production of methamphetamine.
OTHER THREAT OF SERIOUS HARM
Definition Serious harm has not yet occurred, but a child has been placed in a
situation that can result in significant physical injury; sexual abuse; severe
impairment in the child’s behavioral and/or cognitive functioning;
permanent disability or disfigurement; or death.
Use this allegation when no other allegations apply and the total
circumstances lead a reasonable person to believe that the child is at other
threat of serious harm.
Circumstances that may indicate the children are at other threat of serious
harm include, but are not limited to, the following:
• a person, upon release from prison for child physical/sexual
abuse or who has a prior indicated CA/N in the Central Registry,
is known to be living in the home with any child or has regular
access to the child, and the past history of indicated abuse
provides reason to believe another child may be at threat of
serious harm;
• a person previously responsible for abuse who has been ordered
to remain out of the home, returns, and has access to the child;
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Effective April 10, 2009
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• non-accidental death of one child provides reason to believe that
another child in the home may be at threat of serious harm;
• producing, selling , trafficking, or having drug users in and out
of the home which places the children at serious threat of harm;
• parents, other household members or caregivers are abusing
drugs and/or alcohol to the extent that the children are placed at
threat of serious harm (e.g., parent arrested for DUI with child in
the car).
• non-caregivers behavior/actions (use of drugs, manufacture of
drugs, providing child drugs etc.) pose a threat of serious harm.
OTHER THREAT OF SERIOUS HARM/DOMESTIC VIOLENCE
Definition Serious harm has not yet occurred, but a child has been placed in a
situation due to domestic/family violence of one family member or
intimate partner on another that can result in physical injury; permanent
disability or disfigurement; or death.
Circumstances that may indicate a child is at other threat of serious harm
due to domestic/family violence, include, but are not limited to, the
following:
• child is at serious threat of being hurt while intervening in
incidences of domestic violence;
• child is directly exposed to incidents of domestic violence and is at
serious threat of being hit or hurt ;
• child is threatened and physically prevented from leaving during
the incident and is at serious threat of being hurt;
• child is at serious threat of being hurt due to exposure to the use of
weapons and/or threats of homicide during an incident of domestic
violence; or
• child is directly exposed to domestic violence that is markedly
increasing in frequency and severity and is at serious threat of
being hurt.
In order to substantiate this allegation, there must be clear
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Revision No.18
Effective April 10, 2009
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documentation in the case narrative that places the child at other serious
threat of harm due to domestic violence.

https://dhr.alabama.gov/wp-content/uploads/2024/05/CPS-04-Sexual-Abuse-Guidelines-2.pdf

SEXUAL ABUSE GUIDELINES
Sexual Abuse Guidelines
Child Protective Services Policies And Procedures
Revision No. 56
Effective May 03, 2024
i
TABLE OF CONTENTS
I. INTRODUCTION 1
A. Purpose 1
B. Glossary 1
II. FACTORS TO CONSIDER WHEN INTAKE INFORMATION
INVOLVES SEXUAL ACTIVITY 4
A. Age 4
B. Consent 4
C. Relationship 6
III. SEXUAL ACTIVITY THAT CONSTITUTES A CA/N REPORT 6
IV. ADDITIONAL INTAKE AND INITIAL ASSESSMENT………………………7
RESPONSIBILITIES FOR REPORTS INVOLVING SEXUAL ACTIVITY
Sexual Abuse Guidelines
Child Protective Services Policies And Procedures
Revision No.52
Effective Octoberr 3, 2022
1
I. INTRODUCTION
Child sexual abuse, as defined in the child abuse reporting law, has its legal basis in Alabama’s
criminal statutes for sexual offenses. These statutes contain specific factors (i.e., age,
relationship, and consent) that determine whether sexual activity constitutes child sexual abuse.
Determining whether sexual activity constitutes child sexual abuse is a complex task that
requires behaviorally specific and sufficiently detailed information be gathered by child welfare
staff during intake and initial assessment.
A. Purpose
This document is designed to assist child welfare staff with intake and initial assessment
analysis and decision-making when reports of alleged child abuse/neglect involve sexual
activity.
B. Glossary
Child welfare staff shall use the following definitions when performing CA/N intake and
initial assessment functions for reports involving alleged child sexual abuse. Definitions
based on Alabama law include statutory citations.
Child (§ 26-14-1) – Either of the following: (a). A person under the age of eighteen (18)
years. (b). A person under the age of 19 who is in need of protective services and does
not qualify for adult protective services under Chapter 9 of Title 38.
Consent (§ 13A-6-60, § 13A-6-70) – Sixteen (16) is the “age of consent” for sexual
activity. Consent cannot be given if the victim is (1) forced to participate (forcible
compulsion); (2) under age sixteen (16); (3) incapacitated; (4) a student (male or female)
under the age of nineteen years and the PARAN is a school employee who has allegedly
engaged in a sex act with the student; (5) a foster child (male or female) under the age of
nineteen years and the PARAN is a foster parent who has allegedly engaged in a sex act
with a foster child [Code of Alabama 1975 § 13A-6-81 and § 13A-6-82 and § 13A-6-71].
Refer to II. Factors to Consider When Intake Information Involves Sexual Activity, B.
Consent.
Fellatio – Oral stimulation of the penis.
Forcible Compulsion (§ 13A-6-60) – Use or threatened use, whether express or implied,
of physical force, violence, confinement, restraint, physical injury, or death to the
threatened person or to another person. Factors to be considered in determining an
implied threat include, but are not limited to, the respective ages and sizes of the victim
and the accused; the respective mental and physical conditions of the victim and the
accused; the atmosphere and physical setting in which the incident was alleged to have
taken place; the extent to which the accused may have been in position of authority,
domintaton, or custodial control over the victim; or whether the victim was under duress.
Forcible compulsion does not require proof of resistance by the victim.
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Child Protective Services Policies And Procedures
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Incapacitated (§ 13A-6-60) The term includes any of the following:
a. A person who suffers from a mental or developmental disease or disability which
renders the person incapable of appraising the nature of his or her conduct.
b. A person is temporarily incapable of appraising or controlling his or her conduct
due to the influence of a narcotic, anesthetic, or intoxicating substance and the
condition was know or should have been reasonably known to the offender.
c. A person who is unable to give consent or who is unable to communicate an
unwillingness to an act because the person is unconscious, asleep, or is otherwise
physically limited or unable to communicate.
Incest (§ 13A-13-3) – Sexual intercourse between two parties who are known to be, either
legitimately or illegitimately, within a specified degree of relationship. Legitimate
relationships are established by blood (half or whole) or adoption.
“Specified degree of relationship” includes:
• Parent and child;
• Grandparent and grandchild;
• Great-grandparent and great-grandchild;
• Brother and sister;
• Aunt/uncle and nephew/niece; and
• Step-parent and step-child while the marriage creating the relationship exists.
Intimate Parts (§ 13A-6-60 and Phillips v. State, 505 So. 2d 1075 Ala. Crim. App. 1986) –
Any part of the body which a reasonable person would consider private with regard to
touching another (as defined by the courts). Such parts include, but are not limited to:
(a) genitalia or sexual organs of either sex
(b) the genital area
(c) groin
(d) anus
(e) buttocks
(f) hips
(g) inner thighs
(h) breasts
(i) belly and chest of prepubescent female children.
Masturbation – Excitation of the genital organs, usually to orgasm, by manual contact or
means other than sexual intercourse.
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Child Protective Services Policies And Procedures
Revision No. 52
Effective October 3, 2022
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Person Allegedly Responsible For Abuse/Neglect (sexual abuse only)
(§ 13A-6-60, § 13A-6-62, and § 13A-6-81)
1. Any person age sixteen (16) or older who subjects a child under age twelve (12)
to sexual contact; or
2. Any person age nineteen (19) or older who subjects a child under age sixteen
(16) but over age twelve (12) to sexual contact; or
3. Any person age sixteen (16) or older who subjects a child under age sixteen (16)
but over age twelve (12) to sexual intercourse provided the person responsible
for harm is at least two (2) calendar years older than the child victim.
4. Any person age fourteen (14) or older who commits incest, sodomy or any
sexual activity involving children who are forced to participate.
5. Any school employee who subjects a student under age nineteen to a sex act,
sodomy, sexual intercourse, or soliciting a sex act or sexual contact with a
student. “Consent is not a defense.” See Glossary for definition of school
employee.
6. Any foster parent who subjects a foster child under age nineteen to a sex act,
soliciting a sex act, or sexual contact. “Consent is not a defense.”
Sexual abuse is generally defined as:
The employment, use, persuasion, inducement, enticement or coercion of any child to
engage in or assist any other person to engage in:
• sexual conduct (e.g., intercourse, molestation, exploitation, prostitution) which
violates any provision of the Code of Alabama, 1975, Chapter 6, Article 4 and
4a, Title 13A (§ 13A-6-60 through § 13A-6-82.1) or
• the simulation of such conduct for the purpose of producing any visual
depiction (obscene/pornographic photographing, filming, or depicting of a
child for commercial purposes) of the sexual conduct (§ 13A-12-200.1, the
Alabama Anti-Obscenity Enforcement Act).
Sexual Conduct (§ 13A-12-200.1) – Any act of sexual intercourse, masturbation,
urination, defecation, lewd exhibition of the genitals, sadomasochistic abuse, bestiality,
or the fondling of the sex organs of animals; OR any other physical contact with a
person’s unclothed genitals, pubic area, buttocks, or the breast or breasts of a female,
whether alone or between members of the same or opposite sex or between a human and
an animal, in an act of sexual stimulation, gratification or perversion.
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Child Protective Services Policies And Procedures
Revision No. 52
Effective October 3, 2022
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Sexual Contact (§ 13A-6-60) – Any touching of the sexual or other intimate parts of a
person done for the purpose of gratifying the sexual desire of either party. The term does
not require skin to skin contact.
Sexual Intercourse (§ 13A-6-60 and § 13A-12-200.1) – This term has its ordinary
meaning and occurs upon any penetration, however slight; emission is not required.
Intercourse includes penetration that is genital-genital, oral-genital, anal-genital, or oral-
anal, and whether between persons of the same or opposite sex or between a human and
an animal. “Penetration” is not statutorily defined; however, for purposes of defining
sexual intercourse, Alabama case law indicates that some element of entrance by one
person’s sexual organ into another person’s sexual organ is required. Related terms
include:
• Coition, copulation – sexual intercourse
• Coitus – sexual intercourse to the point of orgasm and ejaculation of semen
Sodomy (§ 13A-6-60) Any sexual act involving the genitals of one person and the mouth
or anus of another person.
II. FACTORS TO CONSIDER WHEN INTAKE INFORMATION INVOLVES
SEXUAL ACTIVITY
Child welfare staff who receive intake information and conduct initial assessments involving
sexual activity must consider the following factors when making intake and initial assessment
decisions.
A. Age
A child, for abuse/neglect reporting and CA/N initial assessment purposes, is any person
under the age of nineteen (19) years (§ 26-14-1). The ages of both the child and the
person allegedly responsible for abuse/neglect must be considered when determining
whether the report is considered child sexual abuse. The Code of Alabama provides
clearly defined ages for children and persons allegedly responsible for abuse/neglect
when sexual contact and sexual intercourse are involved. Therefore, when intake
information involves sexual activity, the definition for the person allegedly responsible
for abuse/neglect may vary from the standard DHR definition that requires the person be
at least age fourteen (14) years.
B. Consent
Sixteen (16) is the “age of consent” for sexual activity. Consent for sexual activity
cannot be given by a child under age sixteen (16) or when any of the following conditions
exist:
• forced to participate (forcible compulsion) – physical force that overcomes
earnest resistance or a threat, express or implied, that places children in fear of
immediate death or serious physical injury to themselves or another person;
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Child Protective Services Policies And Procedures
Revision No. 56
Effective May 03, 2024
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• incapacitated – a person who suffers from a mental or developmental disease or
disability which renders the person incapable of appraising the nature of his or
her conduct or a person is temporarily incapable of appraising or controlling his
or her conduct due to the influence of a narcotic, anesthetic, or intoxicating
substance and the condition was known or should have been reasonably known
to the offender; or person who is unable to communicate an unwillingness to act
due to unconscious, asleep, or physically limited or unable to communicate.
• a student (male or female) under the age of nineteen when the PARAN is a
school employee and has allegedly engaged in a sex act, or having sexual
contact or soliciting a sex act or sexual contact with a student. [Code of
Alabama 1975 § 13A-6-81 and 13A-6-82].
• protected person – as defined in ACT #2022 – 201 (Section 15-25-1) means a
person who has a developmental disability attributable to an intellectual
disability, autism, cerebral palsy, epilepsy, or other disabling neurological
condition that requires training or support similar to that required by a person
with an intellectual disability, if any of the following apply:
“(1) The disability originates before the person attains 22 years of
age, the disability can be expected to continue indefinitely, and the
disability constitutes a substantial handicap to the ability of the
person to function in society.
“(2) if the disability is attributable to an intellectual disability, the
condition is manifested before the person attains 18 years of age,
the disability can be expected to continue indefinitely, and the
disability constitutes a substantial handicap to the ability of the
person to function in society.
“(3) The disability results in significant subaverage intellectual
functioning with concurrent deficits in adaptive behavior that are
manifested during the developmental period.
• a foster child (male or female) under the age of nineteen when the PARAN is a
foster parent and has allegedly engaged in a sex act, having sexual contact, or
soliciting a sex act or sexual contact with a foster child. [Code of Alabama 1975
§ 13A-6-71].
• An individual (male or female) under the age of nineteen (19) or a protected
person (male or female) under the age of twenty-two when the PARAN is a
clergy member and has allegedly engaged in a sex act, or having sexual contact
or soliciting, persuading, encouraging, harassing or enticing an individual with a
sex act or sexual contact, distributes or transmits obscene materials or solicits a
child to transmit sexual contents with an individual under nineteen years of age
or a protected person under twenty-two. [Code of Alabama 1975 § 13A-6-85].
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Child Protective Services Policies And Procedures
Revision No. 52
Effective October 03, 2022
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The presence of any of the conditions listed above constitutes a crime in situations where
the person allegedly responsible for abuse/neglect is at least age fourteen (14) years old at
the time of the alleged incident. Law enforcement must be notified about all reports
involving any of these conditions.
Note: Reports involving a student who is 18 years of age but under the age of 19 and
determined not to be in need of protective services should not be accepted and referred to
law enforcement for investigation if the PAR is a school employee. Refer to Glossary for
definition of a school employee.
C. Relationship
The relationship between the child and the person allegedly responsible for abuse/neglect
must be considered when sexual activity involves sexual intercourse. The relationship
between the individuals can be established legally or genetically. When intake
information involves a child who is married to the person allegedly responsible for
abuse/neglect, the only sexual activity that constitutes a CA/N report is situations
involving forcible compulsion.
From a genetic perspective, the relationship between individuals can be either legitimate
or illegitimate, and established by blood (half or whole) or adoption. Sexual intercourse
between individuals within a specified degree of relationship is considered incest and
always constitutes a CA/N report regardless of consent.
“Specified degree of relationship” includes:
• Parent and child;
• Grandparent and grandchild;
• Great-grandparent and great-grandchild;
• Brother and sister;
• Aunt/uncle and nephew/niece; and
• Stepparent and stepchild while the marriage creating the relationship exists.
III. SEXUAL ACTIVITY THAT CONSTITUTES A CA/N REPORT
Intake information involving the following sexual activities constitutes a CA/N report that
requires initial assessment.
1. All sexual activity where any of the following conditions are present:
a) Incapacitated or
b) Forcible compulsion.
2. All sexual activity (regardless of the participants’ ages) involving:
a) Incest.
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Child Protective Services Policies And Procedures
Revision No. 52
Effective October 3, 2022
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3. Sexual contact involving:
a) persons allegedly responsible for abuse/neglect who are age sixteen (16)
years or older and children who are under age twelve (12) years; and
b) persons allegedly responsible for abuse/neglect who are age nineteen (19)
years or older and children who are over age twelve (12) years, but under
age sixteen (16) years.
c) persons allegedly responsible for abuse/neglect who are school employees
engaging in a sex act, or sexual contact or soliciting a sex act or sexual
contact with a student under age nineteen. [Code of Alabama 1975 §
13A-6-81 and 13A-6-82].
d) Persons allegedly responsible for abuse/neglect who are foster parents
engaging in a sex act, having sexual contact, or soliciting a sex act or
sexual contact with a foster child. [Code of Alabama 1975 § 13A-6-71].
4. Sexual intercourse involving persons allegedly responsible for abuse/neglect who
are age sixteen (16) years or older and children who are over age twelve (12)
years, but under age sixteen (16) years provided that the person allegedly
responsible for abuse/neglect is at least two (2) calendar years older than the
child.
IV. ADDITIONAL INTAKE AND INITIAL ASSESSMENT RESPONSIBILITIES
FOR REPORTS INVOLVING SEXUAL ACTIVITY
Receiving CA/N reports and conducting CA/N assessments is only applicable to children under
age nineteen (19) years. In addition to the guidelines described above, child welfare staff
with intake and initial assessment responsibilities must also gather sufficient information to
determine if:
• there may be other forms of abuse/neglect (e.g., inadequate supervision) present
which require assessment; and
• if the children engaging in sexual activity are unsafe or at risk of serious harm even
though the activity does not constitute a CA/N report (e.g., sexual activity involving
children under age fourteen (14) when that activity appears to extend beyond curiosity
and normal childhood experimentation).

https://dhr.alabama.gov/wp-content/uploads/2024/05/CPS-05-CAN-Intake-2.pdf

CA/N INTAKE
CA/N Intake
Child Protective Services Policies And Procedures
Revision No. 56
Effective May 03, 2024
i
TABLE OF CONTENTS
I. PURPOSE 1
II. GENERAL GUIDELINES 1
III. INFORMATION COLLECTION 2
A. Conduct Interviews 2
B. Clear Agency Records 3
IV. ANALYSIS AND DECISION-MAKING 4
A. CA/N Reports 4
B. Case Situations Not Accepted As CA/N Reports 4
C. Agency Mandated To Respond 5
1. Department Of Human Resources (DHR) 5
2. Law Enforcement Agency (LEA) 6
D. DHR Response Times 6
1. Children Alleged Abused Or Neglected 7
a. Immediate 7
b. Within Five (5) Calendar Days 9
2. Other Children In The Home 9
V. DATA ENTRY / DOCUMENTATION 9
A. Initial FACTS Data Entry 9
B. Documentation 10
C. District Attorney And Law Enforcement Agency Notifications 10
VI. REVIEW, APPROVAL, AND ASSIGNMENT FOR CA/N ASSESSMENT 11
A. Supervisory Review 11
B. Supervisory Approval 11
C. Assignment For CA/N Assessment 11
CA/N Intake
Child Protective Services Policies And Procedures
Revision No. 5
Effective August 1, 2003
1
I. PURPOSE
CA/N intake is designed to receive information from the community about children who are
allegedly abused/neglected. During the intake process, child welfare staff shall:
• Assist individuals contacting DHR to provide behaviorally specific, detailed
information about their concerns;
• Determine if the concerns meet CA/N definitions and whether the children may be at
risk of serious harm;
• Identify which CA/N reports must be referred to law enforcement;
• Determine the response time for CA/N assessments conducted by DHR; and
• Provide information to reporters about other DHR programs (e.g., CPS prevention)
and/or community resources that may be of assistance when the intake information
indicates the children are not at risk of serious harm.
II. GENERAL GUIDELINES
Child welfare staff who receive information regarding alleged abuse/neglect to children shall
follow these policies and procedures when collecting, analyzing, and making decisions about
intake information. For intake information to be considered a CA/N report, the children
identified in the report must (a) be allegedly at risk of serious harm or allegedly have
experienced serious harm in the past or (b) the person allegedly responsible for the abuse/neglect
must have the potential for access to other children thereby placing them at risk of serious harm.
“Allegedly at risk of serious harm” is intended to address those children who are in such
situations that there is a possibility they may experience serious harm unless DHR intervention
occurs. Additionally, it is not intended to provide a mechanism for screening out reports when
the reporter is unable to provide conclusive information or evidence that an incident occurred or
that a child experienced harm as a result of the incident.
All counties shall establish and maintain procedures for handling after-hours emergency calls.
These procedures shall be described in the county’s working agreement with law enforcement
and provided to community partners who have after-hours contact with children (e.g., hospitals,
law enforcement agencies, foster care providers). Child welfare staff shall respond to the caller
within thirty (30) minutes of being contacted.
The county’s after-hours procedures shall identify, at a minimum:
• Contact numbers (e.g., telephone, pager) for on-call staff;
• Contact numbers (e.g., telephone, pager) for back-up staff (e.g., worker, supervisor); and
• Contact numbers for local law enforcement agencies.
CA/N Intake
Child Protective Services Policies And Procedures
Revision No. 5
Effective August 1, 2003
2
III. INFORMATION COLLECTION
Reporters provide information to child welfare staff through:
• in-person contacts,
• telephone contacts, and
• written information (e.g., letters, DHR form for reporting abuse/neglect), delivered by
mail, e-mail, facsimile (fax), or hand-delivery.
When written information only is provided and there has been no personal contact with the
reporter, child welfare staff shall contact the reporter, whenever possible, before making intake
decisions.
A. Conduct Interviews
Child welfare staff who interview reporters shall collect information in an objective,
neutral, and unbiased way about how the family functions from both a strengths- and
needs-based perspective.
During interviews, child welfare staff shall:
• Encourage reporters to provide detailed information about the alleged
abuse/neglect;
• Collect essential identifying information on the children, parents, primary
caregivers, other household members, persons allegedly responsible for
abuse/neglect, and other individuals who may have information about the
child/family situation;
• Collect identifying information on the reporter, how the person became aware of
the child/family situation (eyewitness or hearsay), and reasons for contacting
DHR now.
Prior to completing an interview, child welfare staff shall:
• Inquire into the reporter’s opinion about what should occur and the reporter’s
interest in remaining involved in the child/family situation.
• Provide reporters with information about child welfare’s next steps, if any.
• If the intake information constitutes a CA/N report and the reporter is a legal
parent of a child allegedly being abused/neglected, advise the parent that
notification will be provided about the CA/N assessment’s disposition.
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• When the information constitutes a CA/N report and a law enforcement agency
(LEA) is required to investigate, inform reporters that they need to contact the
appropriate LEA to file an incident report, that DHR will send the intake
information to the LEA, and that any needed follow-up must be requested from
the LEA.
• Advise the reporter that their identity is kept confidential insofar as possible, can
only be released according to State law, and may be released if the information is
sent to the District Attorney (DA) or a law enforcement agency (LEA), or if the
court becomes involved.
• Provide information to reporters about other DHR programs (e.g., CPS
prevention) and/or community resources that may be of assistance when the
intake information indicates the children are not at risk of serious harm.
B. Clear Agency Records
Child welfare staff shall clear all DHR files and review existing records on all children,
family members, and persons allegedly responsible for abuse/neglect. Agency files and
existing records include, but are not limited to, the following:
• Central files (i.e., paper case records)
• Automated systems (e.g., IEVS, Facets, SCI-II, FACTS, CA/N Central Registry,
ALECS)
Print system information to supplement the reporter’s information and assist the child
welfare staff member responsible for the CA/N assessment. Scan system information
into the referral file cabinet in the CAN/ANNE/Prevention folder. Use the naming
scheme described in the FACTS File Cabinet Procedures documents.
• CA/N Records
Obtain and review CA/N records on all prior incidents regardless of the
disposition. If there is reason to believe CA/N records or other case material may
exist in other states, contact the appropriate Central Registry and attempt to obtain
that state’s information.
Note: The Public Human Services Directory contains telephone contact numbers
for other states’ CPS programs. Counties that do not have a current directory may
use the internet to search for another agency’s contact number.
If CA/N records are unavailable because an incident occurred in another state or
for any other reason, document information obtained from the other state or the
reason the record is unavailable.
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Revision No. 49
Effective October 16, 2020
4
IV. ANALYSIS AND DECISION-MAKING
Child welfare staff shall analyze intake information to determine whether a risk of serious harm
may be present, which agency (law enforcement or DHR) must respond, and if DHR must
respond, the appropriate response time.
A. CA/N Reports
Intake information constitutes a CA/N report when:
• Children allegedly being abuse/neglected
• (see the definition of a child)
The definition of a child is a person (a) under the age of eighteen (18)
years or (b) a person under that age of 19 who is in need of protective
services and does not qualify for adult protective services under Chapter 9
of Title 38;
• persons allegedly responsible for abuse/neglect are at least age fourteen (14)
years or older when the CA/N incident occurred; and
• alleged abuse/neglect meets the CA/N Allegations And Definitions (refer to
Allegations And Definitions section).
The marital status of the child allegedly abused/neglected does not alter the criteria for a
CA/N report in any way. Child welfare staff are still responsible for completing intake
functions, making the necessary decisions, conducting CA/N assessments, and delivering
services as needed.
Note: Sexual abuse definitions are based on Alabama’s criminal statutes for sexual
offenses. These statutes contain specific factors (i.e., age, relationship, and consent) that
determine whether sexual activity constitutes child sexual abuse. Child welfare staff must
review the CA/N Allegations And Definitions and Sexual Abuse Guidelines carefully
when determining if sexual activity constitutes a CA/N report.
B. Case Situations Not Accepted As CA/N Reports
Reports involving the following situations are not accepted as CA/N reports.
• Reports on unborn children
Child welfare staff shall provide reporters with information about other DHR
programs and community resources as appropriate.
• Reports on persons age eighteen (18) and older
Reports received on persons age 18 or older involving incidents that occurred
when the person was under age 18 are not considered a CA/N report unless the
individual is between his/her 18 th and 19th birthday and currently in need of
protective services.
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If the person is age 19 or older, child welfare staff shall advise reporters that they
may contact the appropriate LEA to file an incident report as these situations may
be appropriate for criminal prosecution.
If the incident occurred on or after the 19th birthday and the person is vulnerable,
physically disabled, or mentally disabled, DHR’s Adult Protective Services (APS)
may be appropriate and a referral shall be made.
When persons age 19 or older report they were abused/neglected as a child and
there are other children currently living in the home with the person allegedly
responsible for abuse/neglect, there must be some other reason to believe that the
other children are presently being abused/neglected before the report is accepted
as a CA/N. If the abuse/neglect occurred while in a foster or adoptive placement
and the person allegedly responsible for the abuse/neglect is still in a caregiver
role, child welfare staff must interview/observe the children and the caregiver(s)
to determine if any of the children are currently experiencing abuse/neglect. If
abuse/neglect is occurring, a CA/N report shall be initiated on those children.
C. Agency Mandated To Respond
Child welfare staff shall determine which agency, DHR or law enforcement, must
respond to the alleged abuse/neglect report.
1. Department of Human Resources (DHR)
DHR conducts CA/N assessments on all CA/N reports except (1) discipline or
corporal punishment occurring in school settings and (2) incidents occurring in
state-operated child residential facilities (see Appendix for listing), which must
be investigated by law enforcement. Refer to b. Law Enforcement Agency (LEA)
below for additional information.
Special procedures are required when DHR responds to certain CA/N
reports involving the following situations:
• Incidents involving DHR employees and close working associates (refer to
Special CA/N Procedures for additional information).
“DHR employees” includes current merit or contract staff, active or on
leave, and their immediate family members. Immediate family includes
spouses, children, parents and in-laws, grandparents, and siblings.
“Close working associates” includes any individuals in the county who
have a close working relationship with DHR (e.g., juvenile/law
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Effective May 03, 2024
6
enforcement officers, District Attorneys, judges, local agency
administrators).
County directors (or their designee) are responsible for determining which
county or local child welfare staff members are the most appropriate to
conduct the CA/N assessment based on the information received at intake
and the individuals’ involvement with the County Department. Counties
that need assistance with determining who will conduct the CA/N
assessment shall contact SDHR Division of Children and Family Services,
to discuss the information.
• Incidents where a school employee engages in a sex act, sexual contact or
soliciting a sex act or sexual contact, with a student (male or female) under
the age of nineteen. Refer to Out-of-Home Protocol, J. Schools And
Allegations Not Involving Discipline/Corporal Punishment, for
procedures to follow when conducting investigations.
• Incidents where a foster parent engages in a sex act, having sexual contact,
or soliciting a sex act or sexual contact with a foster child as provided by
Code of Alabama §13A-6-71.
• Incidents occurring in out-of-home care settings – refer to Out-Of –Home
Protocol for detailed information.
• Incidents involving Indian children – the county child welfare supervisor
must contact the Office of Child Welfare Policy if assistance is needed.
• Incidents occurring on military installations – the County DHR shall
follow their working agreement with the military.
• Incidents where a member of the clergy engages in a sex act, sexual
contact, sexual intercourse or sodomy, with an individual (female or male)
under 19 years of age or a protected individual (male or female) under
twenty-two years of age as provided by Code of Alabama §13A-6-85.
2. Law Enforcement Agency (LEA)
LEAs investigate CA/N reports involving:
• Discipline or corporal punishment committed in a public or private school
or kindergarten, including incidents where the punishment deviates from
school board policy and seems excessive (e.g., choking, slapping, pulling
hair, etc.) but was used for the expressed purpose of maintaining order and
discipline in the school setting, and
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• Suspected abuse/neglect committed in a state-operated child residential
facility (see Appendix for listing).
When DHR receives a CA/N report that must be investigated by a LEA, child
welfare staff shall verbally notify the appropriate LEA as soon as the report is
received, and follow up by providing written intake information in a confidential
manner unless otherwise specified in the county’s written working agreement.
Child welfare staff may, upon the LEA’s request, assist with these investigations.
D. DHR Response Times
DHR’s response time is the timeframe within which in-person initial contact shall be
made with (1) the children who are allegedly at risk of serious harm and (2) all other
children in the home.
Designated response times are “immediate” and “within five (5) calendar days” for
children allegedly abused or neglected. “Immediate” is defined as “as soon as possible
after a report is received, but no later than twelve (12) hours from receipt of the intake
information.” “Within five (5) calendar days” means 5 days from the exact date, hours,
and minutes from the date and time of day the intake information was received.
Child welfare staff shall make in-person contact with all other children in the home not
abused or neglected as soon as the intake and initial child contact information warrants,
but no later than fifteen (15) calendar days which is calculated in exact date, hours, and
minutes from the date and time of day the report was received.
FACTS will calculate both “immediate” and “within 5 calendar days” response time from
the date and time the intake information is received. If the first contact is not made and
entered in FACTS prior to the required exact day, and exact time of day, the response
time will be considered as “not met.”
The response time is determined by analyzing the information collected at intake
(including the review of existing agency records). Supervisory consultation and
concurrence is required on all response time determinations. Refer to the Appendix for the
CA/N Response Time Determination form which can assist staff with making response
time determinations. The content of this form is included in FACTS as required
documentation. The form in the Appendix is available as a tool for child welfare workers’
and supervisors’ use.
1. Children Allegedly Abused Or Neglected
Initial in-person contact with children identified in the CA/N report as allegedly
abused or neglected must be made within one of the following response times.
a. Immediate
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Child welfare staff shall respond immediately when intake information
indicates serious harm will likely occur within twenty four (24) hours to
the children identified in the report as allegedly abused or neglected.
Vulnerable children are more likely to be at risk of serious harm than
those who are able to protect themselves. (Refer to definition of
“vulnerability” in the Glossary for additional information. Factors that
can make children vulnerable include, but are not limited to:
• Age six (6) years or younger;
• Disability (e.g., physical, mental, developmental);
• Health; and
• Limited, unknown, or no access to individuals who can
provide protection.
Factors that suggest children may be at risk of serious harm within twenty
four (24) hours and require an immediate response include, but are not
limited to:
• Child death report is received with alleged abuse/neglect as
the cause, and there are other vulnerable children in the
home;
• Child is under age six (6) years and the alleged
abuse/neglect is attributed to the parents’ or primary
caregivers’ substance abuse, mental illness, intellectual
disabilities, or family violence;
• Child is being hit, beaten, severely deprived now;
• Child is unsupervised or alone now;
• Child is in life threatening living arrangements now;
• Serious allegations have been reported and a child is
accessible to the person allegedly responsible for
abuse/neglect or accessibility to the person is unknown;
• Serious allegations have been reported and the child/family
situation may or will change quickly;
• Allegations involve failure to thrive;
• Allegations involve medical neglect of children with
disabilities;
• Parents/primary caregivers are failing to seek medical care
for a health problem which, if left untreated, could cause
serious harm;
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Revision No. 53
Effective April 27, 2023
9
• Parents/primary caregivers have been reported as being
under the influence of substances now;
• Parents’/primary caregivers’ whereabouts are unknown;
• There is a history of CA/N reports which suggest the
children may be at risk of serious harm now, and
• Parent/any other legal guardian/custodian calls and states
they want to relinquish their child. Worker shall go to the
location where the caller is located immediately; talk to and
assess the caller and situation; and see the child/children
immediately.
When a CA/N report involves the allegation “Positive Test For Alcohol
And/Or Drugs At Birth” and the report is received before the infant is
discharged from the hospital, child welfare staff per December 1, 2016
Memo, Amended Timely Response to Intake Calls, shall respond
immediately to the hospital. In-person contact must be made with the
mother, the infant, and hospital medical staff prior to the infant’s
discharge. The mother’s and infant’s address and living arrangement must
be verified (e.g., relatives, Medicaid records, DHR records, postal
service), and a home visit must be made within twelve (12) hours after the
infant’s discharge from the hospital.
When the report is received after the infant’s discharge from the
hospital, child welfare staff must make a home visit as soon as possible,
but no later than twelve (12) hours after the report is received.
b. Within Five (5) Calendar Days
For situations in which an immediate response is not required, child
welfare staff shall respond as quickly as the intake information warrants
and no later than five (5) calendar days calculated in exact date, hours, and
minutes in FACTS from the date the intake information is received.
2. Other Children In The Home
Child welfare staff shall make in-person contact with all other children in the
home as soon as the intake and initial child contact information warrants, but no
later than fifteen (15) calendar days calculated in exact date, hours, and minutes in
FACTS from the date the report was received.
V. DATA ENTRY / DOCUMENTATION
Child welfare staff in the County Department who receive the intake information shall complete
FACTS data entry / documentation according to the following requirements.
CA/N Intake
Child Protective Services Policies And Procedures
Revision No. 5
Effective August 1, 2003
10
A. Initial FACTS Data Entry
• CA/N reports received at intake involving child deaths must be entered in
FACTS under the “Death allegation (refer to CA/N Allegations And
Definitions)” within two (2) working days of the report’s receipt. The
initial child contact date for a deceased child is the date the CA/N report
was received.
Note: County Departments must notify SDHR when they become aware
of child deaths involving any of the following circumstances:
(a) deaths due to alleged abuse/neglect that are entered into the Central
Registry;
Note: Child welfare staff must update FACTS by adding the child death
allegation when allegations of physical injuries (e.g., shaken baby
syndrome, internal injuries, etc.) or negligent treatment (e.g., failure to
thrive, medical neglect, etc.) results in child death.
(b) deaths occurring in DHR approved or licensed out-of-home care
settings; and
(c) other deaths when the County Department has had any other child
welfare involvement with the child or family within twelve (12) months
of this child death report, even if this death did not allegedly result from
abuse/neglect.
• When LEAs are mandated to investigate, reports shall be entered upon
confirmation from the LEA that abuse/neglect occurred;
• All other CA/N reports shall be entered within three (3) working days of
the information’s receipt.
B. Documentation
Information gathered during the intake process shall be documented in sufficient detail to
justify intake decision-making. This information includes, but is not limited to:
• Behaviorally specific details regarding the alleged abuse/neglect and the risk of
serious harm it presents;
• How and when CA/N reports were submitted to law enforcement, when LEAs are
responsible for conducting investigations;
• Basis for the response time determination when DHR is responsible for
conducting an CA/N assessment;
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Revision No. 5
Effective August 1, 2003
11
• Information provided about other DHR programs or community resources when a
CA/N assessment is inappropriate; and
• Notifications provided to District Attorneys (DA) and LEAs on CA/N allegations
per the county’s written working agreement.
C. District Attorney (DA) and Law Enforcement Agency (LEA) Notifications
Child welfare staff in the County Department who receive the CA/N report shall provide
written intake information to the appropriate DA and LEA as described in the county’s
written working agreement.
VI. REVIEW, APPROVAL, AND ASSIGNMENT FOR CA/N ASSESSMENT
Supervisory consultation shall be an on-going part of the intake process, and child welfare staff
shall submit all intake information (i.e., through FACTS and by provision of applicable CA/N or
case records) for supervisory review and approval. The intake process is complete when all
pertinent information has been documented; the intake information has been reviewed and
approved by the supervisor; and when appropriate, the intake has been assigned for CA/N
assessment.
A. Supervisory Review
Supervisors shall review all intake information to determine that:
• the intake information has been accurately and fully documented;
• the documented information is pertinent and sufficient to make the required intake
decisions;
• the supervisor concurs with the decisions made; and
• the CA/N record contains all supporting documentation (e.g., prior CA/N records;
LEA and medical reports).
Note: If any information is lacking, the supervisor shall obtain an explanation or
additional documentation from the intake worker.
B. Supervisory Approval
Supervisory approval indicates the supervisor has reviewed the intake information per A.
above; agrees with the worker’s judgment about whether a risk of serious harm may be
present and the selected response time; and has entered the approval into FACTS. When
a CA/N assessment will be conducted, the supervisor shall take the appropriate steps to
forward the information for assignment.
C. Assignment For CA/N Assessment
CA/N Intake
Child Protective Services Policies And Procedures
Revision No. 5
Effective August 1, 2003
12
All counties shall develop local procedures for transferring the intake information to
CA/N assessment staff in order to ensure that initial child contact is made in accordance
with the designated response time.

https://dhr.alabama.gov/wp-content/uploads/2023/04/CPS-06-After-Hours-On-Call-Procedures-4-27-23.pdf

After Hours On Call Procedures
Child Protective Services Policies And Procedures
Revision No. 25
Effective November 15, 2012
1
Introduction County departments are required to have a protocol
for handling after – hour situations (i.e.,
emergency/non-emergency). This protocol will
define DHR requirements when responding to calls
from citizens or community partners.
For purposes of this policy, “after hours” is defined
as services delivered after a county department’s
normal working hours.
This policy is developed to insure consistency of
application of after hour service delivery among the
sixty-seven (67) county departments. The goal is to
insure county departments adequately receive,
respond to and follow-up with all after – hours
situations.
Child welfare staff must contact the on-call
Supervisor for consultation prior to responding to an
emergency situation.
Note: After Hours On Call Procedures is not an
extension of CA/N policy (i.e., policy requirements
may differ).
General Requirements All county departments shall have in place an after
hours protocol which shall address the following:
• in-house procedures (i.e. written protocol) on
handling after hours situations past normal
working hours and during weekends and
holidays;
• development of an on-call schedule (i.e.,
monthly, semi-annually) to be provided to
foster parents, law enforcement and other
community partners as needed;
• insuring that on-call child welfare staff have
access to appropriate equipment that is
available and material to include but not
limited to cell phone, camera, contact
numbers (i.e., DHR supervisors, LEAs,
Judges); and DHR forms (i.e., Safety Plan,
Person Responsible for Protection, etc.).
needed when performing on-call duties;
• procedure for insuring that appropriate CPS
After Hours On Call Procedures
Child Protective Services Policies And Procedures
Revision No. 25
Effective November 15, 2012
2
forms (i.e., log sheets), FACTS data entry is
completed; and
• procedure for staffing on-call situations with
supervisory staff (i.e., morning of the next
working day).
After Hours Calls When receiving after hour calls, child welfare staff
shall respond promptly.
After hours child welfare staff shall utilize active
listening skills and interview skills to obtain after
hours information. The information collection
process should address the following:
• encourage reporters to provide detailed
information about the alleged abuse/neglect;
• collect essential identifying information on the
children, parents, primary caregivers, other
household members, person allegedly
responsible for abuse/neglect, and other
individuals who may have information about
the child/family situation;
• collect identifying information on the reporter,
how the person became aware of the
child/family situation (eye witness or hearsay,
and reasons for contacting DHR now.
• advise the reporter that their identity is kept
confidential insofar as possible, can only be
released according to State law, and may be
released if the information is sent to the
District Attorney (DA) or a law enforcement
agency (LEA), or if the court becomes
involved.
Based upon the cumulative responses, child welfare
staff will utilize critical decision making skills to
determine if there is a safety threat and utilize
professional judgment as to the appropriate action
that is needed.
In determining safety threats, child welfare staff
shall consider the following factors:
• Severity – The threat is consistent with harm
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Child Protective Services Policies And Procedures
Revision No. 25
Effective November 15, 2012
3
that can result in significant pain, serious
injury, disablement, grave or debilitating
physical health or physical conditions, acute
or grievous suffering, terror, impairment, or
death.
• Vulnerability – Child’s dependence upon
others for protection is based on an
assessment of a child’s age, as well as his or
her physical and mental health.
• Out-of-Control – Family conditions are such
that nothing within the family can manage the
behavior, emotion, or situation causing the
safety threat.
• Specific Time Frame – A belief that threats to
child safety are present or likely to become
active soon; a certainty about occurrence
within the immediate to near future that could
have severe effects on a child.
• Observable and Specific – Facts obtained
indicate that the danger to the child is real.
Child welfare staff will determine if there are
dependency issues that need to be addressed and
take appropriate action. No later than the next
business day, child welfare staff will determine if the
report constitutes a CA/N, CPS Prevention, or an I
& R (Information and Referral).
Note: It is recommended that on after hour calls
received from law enforcement or hospital
requesting DHR assistance (i.e., law enforcement at
the scene of an operational meth lab and children
are present) that an immediate response be made.
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Revision No. 53
Effective April 27, 2023
4
Emergency Situations
Threat of Serious Harm
An emergency situation is typically one that involves
“threat of serious harm” and will require an
“immediate response.”
Threat of serious harm is defined as “when on-call
information received indicates serious harm will
likely occur within twenty four (24) hours to the
children identified in the report as allegedly abused
or neglected.”
In cases where threat of serious harm is identified
on-call staff will immediately consult with a
Supervisor to determine appropriate response time.
Situations which suggest that children may be at
threat of serious harm and may require an
immediate response include, but are not limited to
the following:
• child death report is received with alleged
abuse/neglect as the cause, and there are
other vulnerable children in the home;
• child is under age six (6) years and the
alleged abuse/neglect is attributed to the
parents’ or primary caregivers’ substance
abuse, mental illness, intellectual disabilities,
or family violence;
• child is being hit, beaten, severely deprived
now;
• child is unsupervised or alone now;
• child is in life threatening arrangements now;
• serious allegations have been reported and a
child is accessible to the person allegedly
responsible for abuse/neglect or accessibility
to the person is unknown;
• serious allegations have been reported and
the child/family situation may or will change
quickly;
• allegations involve failure to thrive;
• allegations involve medical neglect of
children with disabilities,
• parents/primary caregivers are failing to seek
medical care for a health problem which, if
left untreated, could cause serious harm;
• parents/primary caregivers have been
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Revision No. 38
Effective February 27, 2018
5
reported as being under the influence of
substances now;
• parents’/primary caregivers’ whereabouts are
unknown; or
• there is a history of CA/N reports which
suggest the children may be at threat of
serious harm now.
Note: Per December 1, 2016 Memo, Amended
Timely Response to Intake Calls, child welfare staff
must respond immediately to the following
situations:
1. “If a hospital or physician (physician’s office staff)
calls and makes a report (whether it is a prevention
or CA/N; or gives information about a child that
could or has impacted a child’s health and or safety
and or well-being) concerning a child/children, you
are to respond and go to the hospital or any other
location to see this child immediately. In addition,
follow the applicable policy on preventions or child
abuse and neglect reports.”
2. “If a parent/ any other legal guardian/custodian
calls and states they want to relinquish their child,
then a worker should go to the location where the
caller is located immediately; talk to and assess the
caller and situation; and see the child/children
immediately. In addition, follow the applicable policy
on preventions or child abuse and neglect reports.”
Safety Plans Safety plans are developed to control safety threats
on a short term basis. In-Home or Out-of-Home
(Non-Foster Care), safety plans shall be used in
after hour situations in accordance with the
following:
• Child welfare staff shall assess the need for
implementation of a safety plan when present
or impending danger threats are identified
and documented.
• Supervisory approval for the use of all safety
plans is required. Child welfare staff must
consult with the on-call supervisor for
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Revision No. 25
Effective November 15, 2012
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concurrence prior to implementing an In-
Home or Out-of-Home (Non-Foster Care)
safety plan.
• The “In-Home” or “Out-of-Home (non-foster
care)” safety plan must be documented on
form (DHR-FCS-2110). All participants (i.e.,
parents, person responsible for protection,
etc.) agreeing to perform an activity in the
safety plan must sign the Safety Plan Form
(DHR-FCS-2110).
• The Person(s) Responsible For Protecting
The Children form (DHR-FCS-2110A) must
be completed with “In-home” and “Out-of-
Home (non-foster care)” safety plans to
assess the appropriateness of person(s)
responsible for protection. All sections of the
DHR-FCS-2110A must be assessed,
completed, signed and dated, and attached
to the corresponding Safety Plan.
• Child welfare staff must make a home visit to
the home of person/persons responsible for
protection as part of the safety plan approval
process. If the plan must be implemented in
emergency or after-hour situations, the home
visit shall be conducted no later than the next
calendar day, unless a supervisor makes the
determination, based on the individual case,
that a home visit can be delayed until the
next working day.
• Child welfare staff must clear the person
responsible for protection through the Central
Registry. If access to the Central Registry is
not immediately available (i.e., safety plan
implemented after regular working hours)
clearance should be conducted by the next
working day.
Note: Safety Plans developed on-call must be
staffed promptly the next working day with
appropriate CA/N or Protective Service supervisor.
Foster Care Child welfare staff will consult with the on-call
Supervisor for approval, prior to removal of the child
and placement in foster care. Placement in Foster
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Revision No. 25
Effective November 15, 2012
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Care shall be considered when an assessment
reveals the following:
• there are present/impending danger threats
that cannot be controlled in the child’s current
living situation and the child(ren) are at threat
of serious harm;
• the parents or primary caregivers are
unwilling or unable to provide protection;
• it is not possible to protect the children from
imminent, serious harm through (1) the
provision of services, including intensive in-
home services; or (2) use of an out-of-home
(non-foster care) safety plan; or (3) use of an
Agreement For Foster Care, and
• removal of the child and placement in foster
care is the only way to ensure child safety.
The assigned on-call worker must staff the case
immediately the next working day with the
appropriate supervisor(s).
Staffing of After Hour
Cases (Next Working Day)
After hour cases must be staffed the next working
day with a Supervisor. If the supervisor responsible
for staffing cases is not available staff the case with
an available CPS supervisor within the office.
County offices will determine how staffing is
conducted.
If an after hour case is determined to be a CA/N,
Prevention or an I & R (Information and Referral), it
must be entered in FACTS within three (3) working
days.

https://dhr.alabama.gov/wp-content/uploads/2023/04/CPS-07-CAN-Assessment-4-27-23.pdf

CA/N ASSESSMENT
CA/N Assessment
Child Protective Services Policies And Procedures
Revision No. 35
Effective June 1, 2017
i
TABLE OF CONTENTS
I. PURPOSE 1
II. GENERAL REQUIREMENTS 1
A. County Responsible For Conducting The CA/N Assessment 1
B. Timeframe For Completion 1
1. CA/N Assessments 1
2. Final Central Registry Data Entry 2
C. Court Ordered Access 2
D. Confidentiality And Identity Of CA/N Reporters 2
E. Notification Of CA/N Allegations 2
1. Content 3
2. Timeframe 3
3. Method 3
a. Oral Or Written 3
b. Written 5
III. INFORMATION COLLECTION PROTOCOL 5
A. Supportive Interaction With All Individuals
Pertinent To The CA/N Assessment 6
B. Preparation 6
C. Exceptions To The Information Collection Protocol 6
D. Safety Assessment of Children 7
E. Securing Needed Medical Care 7
F. Required Interviews And Information 8
1. CA/N Assessment Interviews 8
a. Parents And Primary Caregivers 8
b. Children In The Home 9
(1) Children Allegedly Abused/Neglected 9
(2) Other Children In The Home 10
c. Other Adults In The Home 10
d. Persons Allegedly Responsible For Abuse/Neglect 10
CA/N Assessment
Child Protective Services Policies And Procedures
Revision No. 20
Effective November 1, 2010
ii
TABLE OF CONTENTS (Cont’d)
e. Collaterals 10
2. CA/N Assessment Information 11
a. Alleged Abuse/Neglect 11
b. Parenting Practices 11
c. Parents’/Primary Caregivers’ Functioning 12
d. Disciplinary Practices 12
e. Child Functioning 12
IV. CA/N ASSESSMENT FINDINGS 12
A. CA/N Dispositions 13
1. Indicated 13
2. Not Indicated 14
3. Unable To Complete 14
B. Threat Of Serious Harm 14
C. No Threat Of Serious Harm 15
V. DOCUMENTATION 15
A. Documentation 15
B. Notification Of CA/N Dispositions 15
C. District Attorneys’ Offices And Law Enforcement Agencies 17
VI. REVIEW, APPROVAL, AND ASSIGNMENT
FOR ON-GOING SERVICES 17
1. Supervisory Review 17
2. Supervisory Approval 17
3. Assignment For On-Going Services 17
CA/N Assessment
Child Protective Services Policies And Procedures
Revision No. 53
Effective April 27, 2023
1
I. PURPOSE
CA/N assessment is the process where child welfare staff gather, analyze, and make decisions
about children who are allegedly at risk of serious harm. The purpose of CA/N assessment is to
determine whether:
• a risk of serious harm to the children exists;
• abuse/neglect has occurred;
• a safety plan is needed; and
• on-going services are indicated for the children/family.
II. GENERAL REQUIREMENTS
Child welfare staff shall abide by the following requirements when conducting CA/N
assessments.
A. County Responsible For Conducting The CA/N Assessment
Generally, child welfare staff in the county where the children currently live are
responsible for conducting the CA/N assessment. When multiple County Departments
need to be involved (refer to Special CA/N Procedures), the counties shall work in
partnership to conduct the CA/N assessment. If counties are unable to reach consensus
about specific responsibilities or when an exception is needed as to which county is
responsible for conducting the CA/N assessment, a child welfare supervisor shall contact
the county’s Office of Child Protective Services (CPS) consultant for assistance.
B. Timeframe For Completion
1. CA/N Assessments
CA/N assessments shall be completed within sixty (60) days from the date the
intake information is received. A CA/N assessment is considered complete when:
• The general requirements and information collection protocol have been
followed;
• Analysis and decision-making has occurred;
• Documentation has been completed and due process rights have been
initiated (including entry of the preliminary CA/N disposition into the
Central Registry); and
• Supervisory review and approval has occurred.
NOTE: Any report of alleged abuse or neglect received in which a foster parent is the
PARAN (victims include their own child, a foster child, or any other child), shall be
completed within thirty (30) days rather than the sixty (60) days noted above. Please refer
to Special CA/N Procedures policy, page 14 for information regarding suspension of CA/Ns.
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Revision No. 34
Effective March 1, 2017
2
2. Final Central Registry Data Entry
For “indicated” CA/N dispositions, final data entry is complete when due process
rights have been waived or the final disposition has been reached following the
administrative hearing or record review, and that disposition has been entered into
the Central Registry (if different from the preliminary disposition).
Note: Final data entry based on due process rights does not have an established
timeframe and is not included in the sixty (60) day timeframe for completing
CA/N assessments.
C. Court Ordered Access
Child welfare staff shall diligently attempt to gain the cooperation of individuals
pertinent to conducting and completing CA/N assessments. When child welfare staff are
unable to gain access to individuals who must be interviewed/observed or gain access to
the home, a petition may be filed with the appropriate court requesting an order to allow
that access.
Prior to filing any petition for court-ordered access, the child welfare supervisor shall
make telephone contact with the county’s attorney to gain concurrence. Petitions require
eyewitness or firsthand information; therefore, hearsay or secondhand information is
insufficient and must be corroborated by sources with firsthand information. County
attorneys may contact SDHR Legal for additional information as needed.
Note: CA/Ns received from anonymous reporters where the allegations have not been
substantiated by information from another individual (e.g., neighbor, relative, teacher)
with firsthand knowledge of the alleged abuse/neglect do not provide sufficient grounds
for a court order to interview the children or enter the home when access is denied.
D. Confidentiality and Identity of CA/N Reporters
The identity of persons reporting CA/N allegations shall be kept confidential as provided
by Alabama law. All persons contacted and/or interviewed during the CA/N assessment
process shall be informed that the reporter’s identity is confidential. The reporter’s name
can only be released according to State law, and may be released if the information is
sent to the District Attorney (DA) or a law enforcement agency (LEA), or if the court
becomes involved.
E. Notification Of CA/N Allegations
Child welfare staff shall provide notification of CA/N allegations according to the
following requirements. Exceptions to the notification methods or timeframes are
permitted only when adherence may compromise child safety or the integrity of
information being collected. All exceptions shall receive supervisory consultation and
approval from the Family Services Director and be thoroughly documented.
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Child Protective Services Policies And Procedures
Revision No. 12
Effective November 1, 2006
3
1. Content
Notifications shall include, at a minimum, the following information:
• Incidents reported as alleged abuse/neglect;
• Names of children allegedly abused/neglected; and
• Dates/timeframes the incidents are alleged to have occurred.
If the person allegedly responsible for abuse/neglect is a foster parent, information
on the Alabama State Foster Parent Association, its goals of peer support and
advocacy, and its toll-free telephone number (1-888-545-2372) must also be
included in the notification.
2. Timeframe
Child welfare staff shall provide notification of CA/N allegations within five (5)
working days of the report’s receipt. The notification may be mailed (if written)
or provided personally (i.e., orally or by hand delivering the letter) during the
initial contact with the following individuals.
3. Method
a. Oral Or Written
The following individuals and agencies may be notified orally or in
writing.
• Legal Parents, Legal Custodians, And Primary Caregivers
“Legal parents” includes those who live in the home with the
child at the time an incident occurs, and those who were
living in the home at the time of a child’s removal when the
child is currently residing in out-of-home care.
Non-custodial parents shall be provided notification when
that parent and the child have an on-going relationship.
Notification is not required when parental rights have been
terminated.
“Legal custodians” and “primary caregivers are those
individuals (other than legal parents) who are acting in the
parental role. If a primary caregiver lives in the home with
the legal parent or custodian, both individuals shall receive
notification.
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Revision No. 35
Effective June 1, 2017
4
• Persons Allegedly Responsible For Abuse/Neglect
These individuals include any person age fourteen (14) years
or older.
If the individual is approved, licensed, or certified to care for
children, refer to the following section, b. Written.
If the individual is a minor child (i.e., under age 19), the
child’s legal parents, legal custodian, and primary caregiver
shall be notified of the allegations; and if the minor child
resides in out-of-home care, the foster care provider must also
receive notification.
• United States Department of Defense Advocacy Program
Per Code of Alabama 1975 § 26-14-3 as amended (Act 2017-
257), effective 5/11/17, the Department is to make efforts to
determine the military status of the parent or guardian of the
child who is subject to the child abuse or neglect allegation in
the report, and, if the Department determines that a parent or
guardian is in the military, to further require the Department
to notify a Department of Defense Family Advocacy
Program at the military installation of the parent or guardian
of the allegation of child abuse or neglect.
If the CA/N incident occurred in an out-of-home care setting, the
following individuals and agencies shall be provided notification.
• Parents of any children in the out-of-home care setting to
be interviewed during the CA/N assessment;
• Foster parents when a member of the foster parent’s
household is alleged to have abused/neglected children in
the foster parent’s home.
• Administrator of the agency that approves or licenses the
out-of-home care setting (the director or board chairman
when the person allegedly responsible for abuse/neglect is
the setting’s administrator);
• SDHR Office of Adoption when the incident involves a
child in DHR permanent custody who has been placed in a
non-foster parent adoptive home, the person allegedly
responsible for abuse/neglect is the prospective adoptive
parent, and the incident occurred prior to the final decree
being issued; and
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Revision No. 12
Effective November 1, 2006
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• Administrator of a private child-placing agency when the
incident involves a child independently placed in an
adoptive home, and the person allegedly responsible for
abuse/neglect is the prospective adoptive parent, and the
incident occurred prior to the final decree being issued.
“Out-of-home care” includes, but is not limited to, the following settings:
• day care and night time centers (exempt and DHR
licensed);
• day care and night time homes (family and group);
• foster family homes (regular, related, and
therapeutic);institutions and group homes (licensed by
DHR, another State agency or a private child-placing
agency);
• schools; and
• non-finalized (i.e., final decree not yet issued) adoptive
homes.
b. Written
The following individuals must be provided written notification of
allegations (§ 26-14-7.1) when they have been identified as the person
allegedly responsible for the abuse/neglect.
(1) Any person who is approved, licensed, or certified to care
for children
(2) Any person who is employed by (i.e., professional, non-
professional, contract), serves as a volunteer for, or is
connected with (e.g., students completing an educational
practicum, board members) any facility, agency, or home
which cares for and controls any children
and
that facility is licensed, approved, or certified by the state;
operated as a state facility; or is any public, private, or
religious facility or agency that may be exempt from
licensing procedures.
III. INFORMATION COLLECTION PROTOCOL
Child welfare staff shall use the following protocol to collect information during the CA/N
assessment process. It is designed to assure that a family centered approach is taken. The
CA/N Assessment
Child Protective Services Policies And Procedures
Revision No. 32
Effective March 22, 2016
6
protocol begins with a preparation phase and continues through a series of interviews where
information is collected to make the necessary CA/N assessment decisions.
A. Supportive Interaction With Individuals Pertinent To The CA/N Assessment
Child welfare staff shall apply a family-centered approach when conducting CA/N
assessments. This approach seeks to support and involve children, parents, primary
caregivers, and other individuals in all aspects of CPS intervention. Child welfare staff
shall make every effort to constructively engage children, parents, and other persons
involved with and knowledgeable of the circumstances surrounding the intake
information.
B. Preparation
Child welfare staff shall prepare for conducting the CA/N assessment prior to making
initial contact with children, their families, and others pertinent to the assessment.
Preparation includes, but is not limited to, the following:
• Reviewing all information collected during the intake process including DHR
case records and CA/N files; and when the situation involves reports and initial
child contact after regular business hours, the case records and CA/N files must
be reviewed the next working day;
• Contacting reporters, as needed, to clarify vague or inconsistent aspects of the
intake information or to obtain additional information needed before making
initial contact;
• Considering risks to the children;
• Planning location(s) and order in which interviews will be conducted;
Consistent with a family-centered approach, it is important to begin information
collection, whenever possible, with parents or primary caregivers. Therefore,
interview parents or primary caregivers first unless there are indications that child
safety or the integrity of the CA/N assessment could be jeopardized.
• Identifying and securing involvement of other needed individuals (e.g., law
enforcement, other DHR staff, mental health personnel); and
• Obtaining consultation with a child welfare supervisor as needed.
C. Exceptions To The Information Collection Protocol
Certain case situations may allow an exception to the information collection protocol.
After supervisory consultation, the County Director must contact the Family Services
Director for approval. This must be documented in the case file. Situations which may
allow an exception include, but are not limited to:
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Child Protective Services Policies And Procedures
Revision No. 18
Effective April 10, 2009
7
• child death is reported, and therefore, staff are unable to interview the child
who allegedly experienced abuse/neglect; and
• out-of-home incidents where immediate and extended family members have
no responsibility for the alleged abuse/neglect, but do have the protective
capacities to assure the child’s safety now and in the future (e.g., a 15 year
old is raped by someone outside the home; child is inappropriately touched
by another child while riding the bus home from school).
D. Safety Assessment of Children
The assessment of safety for children is the primary function of child protective services
and is to be assessed throughout the case (from intake to case closure). Refer to the CPS
policy tab titled, Safety Assessment, for this policy.
E. Securing Needed Medical Care
Child welfare staff shall take immediate action to obtain medical care for children if
needed to confirm abuse/neglect or when injuries require immediate medical treatment
(e.g., child’s health is jeopardized if injury not treated now), even if doctors’ appointment
have been scheduled for a later date.
Child welfare staff shall make every effort to help parents/primary caregivers understand
the need for medical care and gain their cooperation with accessing it. Child welfare
staff shall assist parents/primary caregivers to access medical care, including, if needed,
accompanying them to a medical facility.
Child welfare staff may seek a court order to obtain a medical exam or medical care if the
parents:
• are unavailable;
• refuse to cooperate or give consent; or
• are in disagreement with an attending physician’s recommendations when
medical care has been sought, and without continued care, the situation
may become life-threatening.
To obtain a court order in these situations, child welfare staff may:
• file a petition requesting a court order which authorizes emergency medical
care;
• file a petition for protective supervision which provides DHR the authority to
consent to medical care; or
• file a petition for legal temporary custody and request that DHR be given
authority to consent to medical treatment.
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Child Protective Services Policies And Procedures
Revision No. 32
Effective March 7, 2016
8
Note: Refer to Special CA/N Procedures for additional information when reports involve
medical neglect of children with disabilities under one (1) year of age.
Code of Alabama 1975, § 26-14-6, provides County DHR Directors with authority to
give or cause to be given effective consent for the medical treatment for an
abused/neglected child when the child is taken into protective custody and prior to the
seventy two (72) hour hearing. DHR may grant permission for routine medical or
emergency care only. There is no authority under this statute for elective medical
treatment without a court order.
If the Department has been granted legal custody of the child through a court order, that
order carries with it the authority for ordinary medical care which includes necessary
medical treatment and elective preventive medical care (e.g., dental treatment, medical
exams). Refer to General Policies And Procedures for payment procedures related to
medical expenses that are incurred during an CA/N assessment where the children are not
in DHR custody.
F. Required Interviews and Information
Sufficiently detailed information shall be collected through interviews, observations, and
written materials provided by knowledgeable individuals in order to complete CA/N
assessment analysis and decision-making.
1. CA/N Assessment Interviews
Child welfare staff shall conduct interviews with all parents and primary
caregivers, children and other adults residing in the home, persons allegedly
responsible for abuse/neglect, and collaterals. Workers shall make a home visit
every 30 days until the CA/N is completed.
a. Parents And Primary Caregivers
Individual, in-person, private interviews shall be conducted with all
parents and primary caregivers (i.e., adult with whom the children live).
At the beginning of the interview, child welfare staff shall provide parents
and primary caregivers with information regarding:
• child welfare’s role;
• the nature of the information received at intake; and
• the purpose of CA/N assessment.
The parents’ and primary caregivers’ assistance with completing the
CA/N assessment shall be sought. Child welfare staff shall also
encourage and support parents/primary caregivers to ask questions and
CA/N Assessment
Child Protective Services Policies And Procedures
Revision No. 13
Effective April 1, 2007
9
express their concerns about the CA/N assessment process and continued
involvement with DHR. Interviews shall focus on obtaining behaviorally
specific, detailed information related to the alleged abuse/neglect, and
exploring family conditions and circumstances relevant to the allegations.
Child welfare staff shall also be alert to evidence of other safety threats
that were unreported or unidentified during the intake process.
Child welfare staff shall provide information about the CA/N assessment’s
status and anticipated next steps prior to concluding the initial interview
with the parents and primary caregivers. The information shall include:
• Concerns about child safety;
• General findings (observations and impressions); and
• A review of any safety plan that has been developed. Refer to
section IV. A. 3. for additional information on developing safety
plans.
When parents or primary caregivers are being criminally investigated
based on the incident(s), and law enforcement, the District Attorney’s
office, or the defense attorney refuses to allow DHR access to conduct the
interview, a copy of the parents’ or primary caregivers’ statement made to
law enforcement will suffice for the interview. Any refusal of access shall
be documented.
b. Children In The Home
Individual, in-person, private interviews shall be conducted with all
children in the home identified as allegedly abused or neglected within the
response time designated at intake. “In – Person contact with all other
children residing in the home, not identified at risk of being
abused/neglected shall be made as soon as the intake and initial child
contact warrants, but no later than fifteen (15) calendar days from the date
the report was received. Non-verbal children must be observed while they
are awake.
The number and identity of all children residing in the home shall be
verified and documented. The verification source may include, but is not
limited to, relatives, neighbors, friends or DHR records. If verification
cannot be obtained and all efforts have been exhausted, child welfare staff
shall document efforts made, sources contacted, and information
reviewed.
(1) Children Allegedly Abused/Neglected
Initial contact with these children is typically based on the
concerns expressed at intake. Individual case circumstances will
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Child Protective Services Policies And Procedures
Revision No. 12
Effective November 1, 2006
10
determine whether or not that contact will be made at the
children’s current location. For instance, initial contact
occasionally occurs at schools where children attend and are
located at the time the intake information is received. When it is
necessary to interview/observe the children prior to interviewing
the parents and primary caregivers, the parents and primary
caregivers must be promptly contacted to inform them about the
report and then interviewed as soon as possible thereafter. Child
welfare staff shall provide the parents and primary caregivers with
a full explanation about the decision to contact the children prior to
their being contacted.
(2) Other Children in the Home
Interviews with other children in the home shall be sufficient to
provide an understanding of whether they are also experiencing the
alleged abuse/neglect and if they have any information regarding
the report.
c. Other Adults In The Home
Individual, in-person, private interviews shall be conducted with all other
adults in the home. The purpose of these interviews is to corroborate
information provided by individuals previously interviewed and/or obtain
additional information regarding the alleged abuse/neglect.
d. Persons Allegedly Responsible For Abuse/Neglect
Individual, in-person, private interviews shall be conducted with all
persons allegedly responsible for the abuse/neglect. If the person is being
criminally investigated based on the incident(s), and law enforcement, the
District Attorney’s office, or the defense attorney refuses to allow DHR
access to the person to conduct the interview, a copy of the statement
made to law enforcement will suffice for an in-person interview. Any
refusal of access shall be documented.
e. Collaterals
Collaterals are any third party (e.g., friends, neighbors, relatives or
professionals) with information about the alleged abuse/neglect and risk of
serious harm to the children. Collaterals are contacted to corroborate
information provided by individuals previously interviewed and/or obtain
additional information about the children.
Child welfare staff shall interview as many collaterals as needed to reach
conclusions regarding the alleged abuse/neglect and risk of serious harm.
All individuals known to have first-hand knowledge of the allegations
CA/N Assessment
Child Protective Services Policies And Procedures
Revision No. 12
Effective November 1, 2006
11
must be contacted. Interviews shall be conducted individually and
privately, by telephone or in-person.
2. CA/N Assessment Information
Specific information is needed to make critical judgments about the presence or
lack of abuse/neglect. To enable them to make these judgments, child welfare
staff shall collect behaviorally specific, detailed information as identified below
concerning the alleged abuse/neglect.
a. Alleged Abuse/Neglect
• Specific description of the abuse/neglect – type injury or
threats that occurred and to whom
• Severity of the abuse/neglect – frequency, chronicity, and
effects (e.g., physical, emotional, behavioral)
• Detailed description of the incident(s)– when (i.e., date, time),
where (i.e., location), how it occurred, and whether any
instruments (animate or inanimate) were used to threaten the
child or inflict the injury; who was present; who was
responsible for the abuse/neglect, and whether or not that
person has continued access to the children identified as
abused/neglected or access to any other children
• Parents’/primary caregivers’ explanation of what happened
including how the child’s injuries occurred
• History and duration of the alleged abuse/neglect – how long
the current situation has existed and whether there have been
any prior incidents
• Contributing factors and conditions (e.g., substance use; mental
disability; domestic violence)
Child welfare staff shall also collect behaviorally specific, detailed information
concerning the following matters when needed to determine whether
abuse/neglect and a risk of serious harm exists.
b. Parenting Practices
• Parenting style and history
• Appropriateness of parents’/primary caregivers’ expectations
of child
• Sensitivity to child’s needs and limitations
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Child Protective Services Policies And Procedures
Revision No. 20
Effective November 1, 2010
12
c. Parents’/Primary Caregivers’ Functioning
• Physical, behavioral, cognitive, and social
• Life management, communication, and problem solving
• Mental health and substance use
• Social supports and relationships
d. Disciplinary Practices
(i.e., direction-giving; guidance; punishment and reward; teaching
practices)
• Parents’/primary caregivers’ intentions
• Parents’/primary caregivers’ self-control
• Methods, flexibility, and appropriateness, including
responsiveness to child’s needs
e. Child Functioning (all children in the home)
• Physical
• Emotional
• Behavioral
• Cognitive
• Social
IV. CA/N ASSESSMENT FINDINGS
Child welfare staff shall analyze information collected through interviews, observations,
and written materials in order to determine which children and families are in need of on-
going services. This analysis and decision-making process involves:
• determining if the children are at risk of serious harm; and
• reaching a disposition for each CA/N allegation and each person allegedly
responsible for abuse/neglect.
Note: Each allegation specific to a child identified at risk (PIR) and person allegedly
responsible for abuse/neglect (PARAN) must be addressed (e.g., an allegation of shaken
baby syndrome with an “indicated” disposition for PIR and PARAN, must also have a
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Child Protective Services Policies And Procedures
Revision No. 15
Effective June 1, 2007
13
child death disposition of “indicated” for the PIR and PARAN) when the child death is
directly attributable to “indicated” shaken baby syndrome allegation).
A. CA/N Dispositions
Upon completion of the CA/N assessment, a disposition shall be made for (1)
each allegation that a child has been allegedly abused/neglected and (2) each
person responsible for abuse/neglect. Dispositions may differ for the allegation
and the person allegedly responsible for abuse/neglect. Child welfare staff shall
provide detailed documentation that clearly supports how each disposition
was reached.
Dispositional options are:
• indicated,
• not indicated, and
• unable to complete.
“Indicated” and “not indicated” are based on whether “a preponderance of the
credible evidence” (e.g., eye witness accounts, worker observations, medical
reports, professional evaluations) obtained during the CA/N assessment would
lead a child welfare professional to conclude that abuse/neglect did or did not
occur.
1. Indicated
A C/AN allegation is considered “indicated” when a preponderance of the
credible evidence substantiates that:
• with respect to a specific child and allegation, the child was
abused/neglected per CA/N Allegations And Definitions; and
• with respect to each person allegedly responsible for
abuse/neglect, the person was determined to be responsible for the
abuse/neglect.
Note: A court finding of abuse/neglect is not required for child welfare
staff to conclude that a report is “indicated.” However, when a juvenile or
criminal court finds that abuse or neglect occurred, that finding serves as
presumptive evidence that the report is “indicated”.
If DHR’s disposition must be changed to “indicated,” child welfare staff
must provide the person with an opportunity for a CA/N hearing or an
administrative record review according to procedures identified in Due
Process. Once due process procedures have taken place, child welfare
staff must ensure that the correct disposition is reflected in the CA/N
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Revision No. 12
Effective November 1, 2006
14
Central Registry. If the disposition needs to be changed, refer to sections
L. or M. in Special CA/N Procedures.
2. Not Indicated
A CA/N allegation is considered “not indicated” when a preponderance of
the credible evidence substantiates that:
with respect to a specific child and allegation
(1) the child was not abused/neglected per CA/N Allegations And
Definitions;
or
(2) sufficient information is not available and cannot be obtained to
substantiate the allegation;
and
• with respect to each person allegedly responsible for abuse/neglect
(1) the person was determined to be not responsible for the
abuse/neglect
or
(2) sufficient information is not available and cannot be obtained to
substantiate the allegation.
3. Unable To Complete
This disposition shall be used only when child welfare staff are unable to
obtain information needed to complete the CA/N assessment (e.g., family
moves and their whereabouts are unknown; report information proves
insufficient to locate the family). Supervisory concurrence is required
prior to reaching this disposition. Every effort shall be made to obtain
the needed information or locate the children and their family, and these
efforts shall be documented.
B. Threat Of Serious Harm
The decision to provide on-going services to children and families is based upon
CA/N assessment findings of whether there is a risk of serious harm to the
children. This decision is not based solely on a CA/N disposition.
On-going child protective services may be provided while children are living in
their own home or in a non-foster care out-of-home setting. Children shall be
removed from their own home only when it is not possible to protect them from
imminent serious harm through the provision of services, including the provision
of intensive in-home services.
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Revision No. 20
Effective November 1, 2010
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C. No Threat Of Serious Harm
Child welfare shall:
• close the CA/N assessment when there is no threat of serious harm; or
• provide child protective services as a preventive measure on a voluntary
basis according to CPS Prevention policy when (a) the family is willing to
participate in service planning and delivery and (b) the county DHR has
sufficient staff and resources to provide these services.
Note: Families have the right to refuse services unless their children’s immediate
or impending safety needs would be compromised.
When child welfare staff conclude that the provision of on-going services is not
appropriate (i.e., there is no threat of serious harm or preventive services are
refused, or due to resource limitations, preventive services cannot be provided),
documentation shall include identification of any referrals made to community
resources.
V. DOCUMENTATION
Child welfare staff shall document CA/N assessments by completing FACTS data entry prior to
submission for supervisory review and approval. Refer to FACTS Child Welfare Manual for
data entry instructions.
A. Documentation
Documentation shall sufficiently address, at a minimum, the following areas:
• Whether there is a current threat of serious harm and the basis for the conclusion
(i.e., information and observations obtained through the information collection
protocol);
• Assessment of any present or impending safety threats;
• Any safety plans developed to address identified safety threats;
• CA/N dispositions, notifications, and due process requirements; and
• Submission of CA/N assessments to DAs and LEAs (per section V., C.).
B. Notification Of CA/N Dispositions
Child welfare staff shall provide written notification of final CA/N dispositions to all
individuals and agencies that were originally notified about the CA/N allegations. In
addition, “mandatory” reporters shall also receive written notification of the disposition.
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When dispositions are “indicated” for the person allegedly responsible for abuse/neglect,
the disposition is considered as a preliminary disposition since these individuals are
entitled to due process rights. If these individuals waive their due process rights, the
preliminary disposition then becomes the final disposition. Otherwise, the final
disposition is provided by the administrative hearing officer or SDHR administrative
record reviewer.
Child welfare staff shall include due process rights information in the notification letter to
persons responsible for abuse/neglect who have “indicated” dispositions. The following
persons have the right to a CA/N hearing.
1. Any person who is approved, licensed, or certified to care for children:
and
2. Any person who is employed by (i.e., professional, non-professional,
contract), serves as a volunteer for, or is connected with (e.g., students
completing an educational practicum, board members) any facility, agency
or home which cares for and controls any children
and
that facility is licensed, approved, or certified by the state; operated as a
state facility; or is any public, private, or religious facility or agency that
may be exempt from licensing procedures.
All other persons responsible for abuse/neglect with “indicated” dispositions have the
right to an administrative record review. Refer to Due Process for CA/N hearing and
administrative record review procedures.
Act No. 2004-257 establishes the Foster Parents Bill of Rights (refer to Administrative
Letter No. 7109). According to this legislation, a foster parent is entitled to written
notification, within five (5) working days, of reaching a “not-indicated” disposition when
alleged abuse/neglect occurred in the foster parent’s home and the person allegedly
responsible for abuse/neglect is a member of the foster parent’s household. Each County
Department shall develop a written notification form to be used uniformly within the
county. Child welfare staff shall provide this notification as directed and file a copy in
the CA/N record.
When dispositions are “not indicated” for the person allegedly responsible for
abuse/neglect, the notification letter shall inform these persons that, upon written request
to the State Department of Human Resources, their name can be removed from the CA/N
Central Registry if there have been no further CA/N reports and five (5) years have
elapsed from the disposition date. Additional information on Central Registry
expungement is located in the Central Registry section.
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Child welfare staff may provide a preliminary notice of disposition to the person’s
employer or any other person in a position to discover, prevent or protect children prior to
an administrative hearing or record review when children are in danger of being
abused/neglected (§ 26-14-7.1). Counties that need to provide a preliminary notice of
disposition shall contact SDHR Legal for concurrence.
C. District Attorneys’ Offices (DAs) and Law Enforcement Agencies (LEAs)
Child welfare staff shall submit a copy of completed CA/N assessments to the
appropriate DA and LEA as described in their county’s written working agreement.
VI. REVIEW, APPROVAL, AND ASSIGNMENT FOR ON-GOING SERVICES
Child welfare staff shall submit all CA/N assessments for supervisory review and approval.
1. Supervisory Review
Supervisors shall review all CA/N assessments to determine that:
• child welfare staff have complied with the general requirements and information
collection protocol;
• any exceptions have received supervisory consultation and approval from the
Family Services Director and been adequately documented;
• documented information is pertinent and sufficient to make the required CA/N
assessment decisions; and
• notification of CA/N dispositions have been prepared for distribution and due
process rights have been initiated.
Note: If any information is lacking, the supervisor shall obtain an explanation and
additional documentation from the CA/N assessment worker.
2. Supervisory Approval
Supervisory approval indicates the CA/N assessment has been reviewed, the supervisor
concurs with the analysis and decision-making, and appropriate steps are being taken to
transition the family’s case to on-going services as needed.
3. Assignment For On-Going Services
All counties shall develop local procedures for ensuring that, when a case is opened for
on-going services, an ISP is developed within policy timeframes.

https://dhr.alabama.gov/wp-content/uploads/2021/05/CPS-08-Safety-Assessment.pdf

SAFETY ASSESSMENT
Safety Assessment
Child Protective Services Policies And Procedures
Revision No. 43
Effective October 1, 2018
i
TABLE OF CONTENTS
I. PURPOSE 1
A. Determining Safety of Children 1
1. Safety Threats 1
2. Assessing Parental/Caregiver Protective Capacities 2
II. SAFETY INTERVENTION DECISION 2
A. Developing Safety Plans 3
B. Assessing Persons Responsible For Protecting Children 4
C. Types of Safety Plans 4
1. In-Home 4
2. Out-of-Home (Non-Foster Care) 5
a. Involving the Court in Out-of-Home
(Non-Foster Care) Safety Plans 6
b. Department Files Dependency Petition Requesting
That Legal Custody Remain With Parent and That
Relative or Other Suitable Person Has Physical Custody 7
c. Assisting Relatives or Other Suitable Person
Responsible For Providing Protective
Supervision To Obtain Legal Custody 7
(1) Relative/Other Suitable Person
Petitions Court For Custody 8
(2) Relative/Other Suitable Person
Unable to Afford Attorney 9
(3) Department Petitions With Relative/
Other Suitable Person Receiving Custody 9
3. Out-of-Home (Foster Care) 9
D. Summary Removal/Protective Custody 10
E. Monitoring And Transfer of Cases With Safety Plans 11
III. CONTENT AND DOCUMENTATION OF SAFETY PLANS 12
A. Content of Safety Plan Document 12
B. Case Record Documentation 12
IV. DANGER THREATS – PRESENT AND IMPENDING 14
A. Present Danger Threats 14
B. Impending Danger Threats 17
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TABLE OF CONTENTS (Cont’d)
V. PARENTAL/PRIMARY CAREGIVER PROTECTIVE CAPACITIES 30
A. Behavioral Protective Capacities 30
B. Cognitive Protective Capacities 33
C. Emotional Protective Capacities 35
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I. PURPOSE
The primary role of the Department’s Family Services program is protecting children. In
order to accomplish this role, the Department’s social work practice method is to assess
whether children are safe and to intervene when they are not safe. Carrying out this primary
function includes making accurate determinations regarding the safety of children,
implementing prompt and sound intervention strategies and documenting the planning that
has been decided upon to protect children.
Safety assessment begins at the intake process as a “preliminary” assessment that is used to
determine the appropriate response time for initial child contact. It is based on information
received from:
• the reporter;
• other individuals who were contacted to provide or clarify the reporter’s
information; and
• reviewing existing agency records.
Safety must be assessed throughout the Department’s involvement with the family. During
the CA/N assessment key points that safety must be assessed include, but are not limited to:
• initial contact with the children in the home;
• any time the assessment information suggests the children’s safety may be in
jeopardy; and
• the conclusion of the CA/N assessment process.
A. Determining Safety of Children
Safety assessment involves identifying and evaluating safety threats, and assessing parents’
or primary caregivers’ protective capacities. Children are considered safe when there are no
present or impending danger threats or the parental/caregiver protective capacities control
existing threats. Children are unsafe when they are vulnerable to present or impending
danger threats, and parents/caregivers are unable or unwilling to provide protection. Child
welfare staff shall be alert to safety threats and implement safety plans as needed at any time
during the assessment.
1. Safety Threats
Present Danger Threats are easily observable, of imminent concern, and require
immediate action to assure child safety (e.g., 3 year old found playing in the street
while the parent is inside the home asleep).
Impending danger threats are less obvious and more challenging to identify,
particularly during initial contact. First contact with families will not always reveal
impending danger threats. Child welfare staff shall collect as much information as
necessary during contacts to determine if safety threats exist. Refer to Section IV of
this policy for detailed information of present and impending danger threats.
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In assessing child safety, there is a continuum of risk of maltreatment and a certain
point at which the threats become so great, the family situation is unsafe for the child.
This point in a family situation is defined as the safety threshold. In order for a
present or impending threat to meet the safety threshold, causing a child to be unsafe,
each of the following items must exist.
• Severity – The threat is consistent with harm that can result in
significant pain, serious injury, disablement, grave or debilitating
physical health or physical conditions, acute or grievous suffering,
terror, impairment, or death.
• Vulnerability – Child’s dependence upon others for protection is based
on an assessment of a child’s age, as well as his or her physical and
mental health.
• Out-of-Control – Family conditions are such that nothing within the
family can manage the behavior, emotion, or situation causing the
safety threat.
• Specific Time Frame – A belief that threats to child safety are present
or likely to become active soon; a certainty about occurrence within
the immediate to near future that could have severe effects on a child.
• Observable and Specific – Facts obtained indicate that the danger to
the child is real.
2. Assessing Parental/Caregiver Protective Capacities
Protective capacities are personal qualities or characteristics of a parent or primary
caregiver that contribute to their ability to provide protection for their child(ren).
These can or do promote child safety. Protective capacities include, but are not
limited to, parenting/caregiving knowledge and skills; attachment to the children;
awareness of and ability to interpret and meet children’s needs; and a willingness and
ability to act protectively when the children experience safety threats. In determining
protective capacities of parents/primary caregivers, the assessment of the
parents’/primary caregivers’ personal qualities of trustworthiness, reliability,
commitment, and (emotional/physical) availability to the child(ren) must also be
completed.
Child welfare staff shall assess protective capacities during the assessment process.
Refer to Section V of this Safety Assessment policy for detailed information on
assessing protective parental/caregiver capacities.
II. SAFETY INTERVENTION DECISION
Once child welfare staff identify present or impending danger threats, and assess
parental/caregiver protective capacities, a decision of whether the children are safe must be
made. Child welfare staff shall also identify if there is a need to obtain additional evaluations
(e.g., substance use, mental health) in order to better assess the safety threat. Upon
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completion of the CA/N and the determination made that there are no present or impending
danger threats, and the children are considered safe, the CA/N assessment may be closed.
When present or impending danger threats are identified, child welfare staff shall implement
and monitor a safety plan to control the threats. A safety plan is separate from the ISP and
completed on the DHR-FCS-2110. Refer to Child Protective Services Policies And
Procedures, Forms And Instructions for the DHR-FCS-2110. The purpose of a safety plan
is to ensure child safety. This may be done through an In-Home safety plan or Out-of-
Home safety plan. Treatment services are addressed in the ISP and shall be provided to
enhance diminished parental/caregiver protective capacities that contribute to the threat(s).
A. Developing Safety Plans
Safety plans shall use the least intrusive alternative for protecting the child. Safety
plans are developed to protect children from safety threats when parents’/primary
caregivers’ protective capacities are insufficient to assure that the children are safe. A
safety plan is well thought out and uses the most suitable people, taking necessary
action, at a frequency sufficient to control safety threats and/or substituting for
diminished caregiver protective capacities. Crucial to successful intervention is the
determination of what is needed to counter the identified threats. Services may be
provided to protect the children from threats of serious harm while parental/caregiver
capacities are increased.
Safety plans are based on identifiable safety threat(s) and diminished parental/primary
caregiver protective capacities, which place the child at present or impending danger.
Safety plans shall only be used when present or impending danger threats are
identified and documented. Based on facts gathered, child welfare staff must
determine that implementation of a safety plan is needed. Safety plans are completed
and documented on the DHR-FCS-2110. The DHR-FCS-2110A, Persons
Responsible For Protecting Children, must be used with “in-home” and “out-of-
home” (non-foster care) safety plans. Refer to Child Protective Services Policies And
Procedures, Forms And Instructions for the DHR-FCS-2110 and 2110A.
Prior to implementing any safety plan, child welfare staff must discuss with
parents/primary caregivers and persons responsible for protection the following:
• all safety threats and diminished protective capacities;
• activities required from and agreed upon by each person responsible to
control safety threats, frequency of activities, and who will be
responsible for monitoring each activity in the safety plan;
• behaviors and conditions that must change so that a safety plan is no
longer needed;
• an explanation that safety plans are with the agreement of the family
to control safety threats on a short term basis and does not change the
legal custody of the child; and
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• an explanation that DHR is ultimately responsible for ensuring child
safety, and at any time a child is determined to be unsafe, other action
may be required including court intervention.
B. Assessing Persons Responsible For Protecting Children
When developing “in-home” or “out-of-home (non-foster care)” safety plans, persons
responsible for protecting the children can be either a professional or non-
professional (e.g., family members, relatives, neighbors), and must be cleared through
the Central Registry when evaluating protective capacities. If access to the Central
Registry is not immediately available (e.g., when the computer system is inoperable;
when safety plans are implemented after regular working hours), the safety plan
should be implemented based on other assessment information and clearance
conducted as soon as the computer system is operable. If children are involved in an
“out-of-home non-foster care” safety plan, a home visit to further evaluate the
children’s living situation is needed.
The following characteristics of responsible persons must be assessed prior to the
safety plan’s approval and implementation, and information obtained during this
process is documented on the DHR-FCS-2110A.
• The person’s physical, mental and emotional capacity to protect and
their ability and willingness to make decisions favoring child safety
when those decisions may or do conflict with the opinions, needs, or
preferences of the person responsible for abuse/neglect;
• The person’s ability and willingness to cooperate with DHR;
• The nature and duration of the person’s relationship to the child (e.g.,
how they know each other, how long they’ve known each other, how
much time they’ve spent together; how comfortable the child is in the
caregiver’s presence);
• Formal and informal supports (e.g., physical, emotional, financial)
which enable the caregiver’s ability to protect.
C. Types of Safety Plans
There are three (3) types of safety plans (i.e., in-home; out-of-home non-foster care,
and out-of-home foster care) which are based on children’s living arrangement.
Regardless of the type of safety plan, DHR maintains ultimate responsibility for
approving a safety plan’s use, implementation, monitoring, modification and
ultimate decision that the plan is no longer necessary. DHR supervisory approval
for the use of all safety plans is required.
1. In-Home – Safety plans are designed to provide protection for children
living in their own homes. Services are designed to control safety
threats by substituting for diminished parental/caregiver protective
capacities. All agency services may be used in support of a safety plan
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including, but not limited to food stamps, childcare, healthcare, family
preservation services, crisis stabilization and in-home behavioral
supports. Informal supports, such as non-custodial parents, relatives,
neighbors and friends are important to consider as resources in
developing an in-home safety plan. Also, the parent/primary caregiver
responsible for the safety threat may voluntarily leave the home while
the safety threats are addressed, allowing the child to remain in the
home with a protective caregiver. The assistance of the court in
ordering court ordered protective supervision can also be used in the
development/implementation of an in-home safety plan. The
identified safety threat(s) is to be documented. The safety plan is to be
modified as needed and terminated when no longer needed to ensure
the safety of the child.
2. Out-of-Home (Non-Foster Care) – Safety plans are designed to
provide protection for children by arranging for them to live
temporarily outside of their own home. This type plan is developed by
agreement between the child welfare staff, the parent/primary
caregiver, and person responsible for providing protection. Non-foster
care out-of-home safety plans are developed during investigation of a
CA/N assessment or as part of an open on-going service case to
control identified safety threats on a short term basis. This is not to be
considered the final living arrangement for a child, and does not
change legal custody.
Parents, legal custodians or primary caregivers can arrange in
consultation with child welfare staff for their children to temporarily
stay with others without the home being approved as a foster family
home. The age appropriate child’s willingness to stay with the person
responsible for protection and the physical safety (e.g., physical
hazards, drugs, persons who pose a danger to the child) of the person’s
home must be assessed.
Child welfare staff shall assess the appropriateness of person(s)
responsible for protection by completing the information required on
the DHR-FCS-2110A, Persons Responsible For Protecting The
Child(ren). A home visit must be made as part of the safety plan
approval process. If the plan must be implemented in emergency or
after-hours situations, the home visit shall be conducted no later than
the next calendar day, unless a supervisor makes the determination,
based on the individual case, that a home visit can be delayed until the
next working day. Child welfare staff must continuously assess and
monitor non-foster care out-of-home safety plans for effectiveness in
providing safety as long as the safety plan is in place by frequent in-
person contacts, phone contacts, and home visits.
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a. Involving the Court in Out-of-Home (Non-Foster Care) Safety
Plans
The maximum timeframe that an Out-of-Home (Non-Foster
Care) safety plan can be in place without court involvement is
forty-five days. Court involvement is considered to have occurred
when the county department either files a dependency petition or
initiates contact with legal counsel which results in the filing of a
petition. Court involvement does not preclude the Department from
establishing reunification as a goal and working toward this goal.
The 45-day timeframe for safety plans should only be used in cases
where there is significant and steady progress and cooperation on the
part of the parents/caregivers, which realistically will lead to the safe
return of the child(ren) to their home. If this is not occurring, earlier
court involvement may be necessary.
Cases in which the forty-five (45) day timeframe may not be
appropriate and earlier court intervention is appropriate includes, but is
not limited to, the situations identified below:
• parents’/primary caregivers addiction or drug related
condition is such that it appears they will be unable to
provide care and supervision for a significant length of
time or local court protocol requires DHR file a petition
when cases of this type comes to their attention;
• at the point parents’/primary caregivers’ refuse to
cooperate with the activities/services clearly identified
in the safety plan;
• at any time it is determined that the parents’/primary
caregivers protective capacities are diminished to the
level that a return home is not likely to occur within
forty-five (45) days (e.g., a psychiatric evaluation
reveals a serious mental illness and the parent/primary
caregiver is unwilling to take medication to manage the
condition);
• person(s) responsible for protection fails to follow the
safety plan or is determined to be untrustworthy; or
At any time deemed necessary, child welfare staff may involve the
court in carrying out an out-of-home (non-foster care) safety plan. The
Department may assist the relative or other suitable person who is
responsible for providing protection in obtaining court sanctioned
physical custody, legal custody, or petition for legal custody to be
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given to the Department. See (b) and (c) below for additional
information/details on assisting relatives to obtain custody.
It is recognized that the following information in (b) and (c) is not
inclusive since each jurisdiction in the state may implement
dependency and custody proceedings differently. Therefore, county
departments must have a procedure developed with their respective
court that will be used when safety plans need to be in place longer
than forty-five (45) days. The assistance of the DHR attorney may be
needed in determining these general procedures and case specific
procedures.
b. Department Files Dependency Petition Requesting That Legal
Custody Remain With Parent and That Relative or Other
Suitable Person Has Physical Custody
There will be case situations in which child welfare staff determines
that children will likely be returning to the parent’s home in the near
future (e.g. a week, less than thirty (30) days) but not before the first
forty-five (45) days of the safety plan expires. In these situations, the
ISP team will have made a determination that it is in the best interest
of the child(ren) for the parent(s) to retain custody while the child(ren)
remain in the out-of-home (non-foster care) safety plan arrangement
for a short time longer. Instead of petitioning for a transfer of custody,
the Department may file a dependency petition and provide a home
evaluation on the relative or other suitable person. In these case
situations, the dependency petition will request that the court sanction
the physical placement of the child with the relative or other suitable
person and provide court oversight and court supervision of the safety
plan. The court may agree to allow custody to remain with the parents
while the out-of-home (non-foster care) safety plan is in effect and
being monitored. As soon as children can safely return home the court
must be notified and approve of the child’s return.
c. Assisting Relatives or Other Suitable Person Responsible for
Providing Protective Supervision To Obtain Legal Custody
The transfer of temporary custody to the relative/other suitable person
providing protection through an out-of-home non-foster care safety
plan does not automatically constitute permanency. If the ISP team
determines that return home is an appropriate goal, the county
department should continue to work with the parents/primary
caregivers with a goal of returning the child(ren) home. When this is
the case, the safety plan remains in effect and is updated as needed on
the DHR-FCS-2110. Child welfare staff shall continue to provide
services to the parent/primary caregiver to enhance protective
capacities so that the child can safely return home. Child welfare staff
shall also work with the family where the child resides to support the
child’s current living arrangement. As soon as children can safely
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return home the court must be notified and approve of the child’s
return.
If parents/primary caregivers refuse to accept services or fail to adhere
to terms and conditions of the safety plan/court order (e.g.,
uncooperative, fail to come to planned visitation, etc.) the ISP team
should consider if the case should be closed. In these cases at the
initial hearing or subsequent hearings the county may request that the
case be closed, as permanency with the relative/other suitable person is
considered by the ISP team to be in the child’s best interest. The
county will need to substantiate that the person responsible for
protection has sufficient protective capacities and the ability to provide
safe and adequate care for the child(ren). Court orders transferring
custody to relatives should address visitation (supervised or
unsupervised) with the parents/primary caregivers from whom the
custody was removed.
Cases should always be individually assessed prior to requesting a case
be closed.
There can be different circumstances arise in planning for relatives to
receive custody of children. Following is a discussion of situations
that staff may encounter in working with relatives to obtain custody.
(1) Relative/Other Suitable Person Petitions Court for
Custody
Some juvenile court jurisdictions accept dependency/custody
petitions directly from relatives or other suitable persons. In
these jurisdictions, the ISP team determines that the child(ren)
can not safely return to the parent’s home within the forty-five
day period of the safety plan, and the relative/other suitable
person is able and willing to file the dependency petition, DHR
may assist the relative/other suitable person by providing a
home evaluation to the court and testifying about the
appropriateness of the relative/other suitable person receiving
temporary custody. Actual court testimony may not be
necessary if all parties involved in the proceedings agree that
information contained in the petition is correct.
Based on an Attorney General’s opinion, when relatives file for
custody, they should not have to prepay filing fees. Relatives
who have been determined indigent by the court should not
have to pay fees at the end of a case. If being determined
indigent interferes with the relative receiving custody, and the
court does not waive the pre-filing fee, county departments
may explore ways to assist the relatives (e.g. community
donations, assistance with other household expenses such as
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utility bills, etc.). The county department cannot use flex funds
to pay attorney fees for relatives or other suitable persons.
(2) Relative/Other Suitable Person Unable to Afford
Attorney
In jurisdictions unwilling to accept petitions from relatives or
other suitable persons unable to afford an attorney, the
department may assist a relative or other suitable person to
obtain custody, through the following strategy. DHR files a
dependency petition (Code of Alabama 1975 § 12-15-52, § 12-
15-71) requesting adjudication of dependency but not a
disposition of legal custody to DHR or anyone else. DHR
works with the court to have the court approve a form, “Motion
to Intervene for Custody,” to be completed, signed and filed by
relative or other suitable person. The judge will instruct the
Intake Officer to accept the approved form from the
relatives/other suitable person without a lawyer. Child welfare
staff will need to discuss and share this strategy with their
attorney.
The DHR attorney presents evidence in court that establishes
dependency and provides a home evaluation on the
relative/other suitable person to the court. Child welfare staff
may be called to testify about the home evaluation. It will be
important that the home evaluation describes how the best
interest of the child will be served in the relative’s/other
suitable person home, how this is the least restrictive
placement, and includes a recommendation that the
relative/other suitable person be awarded temporary legal
custody. The relative/other suitable person can be called to
testify about their desire for custody.
(3) Department Petitions with Relative/Other Suitable
Person Receiving Custody
There are some jurisdictions that will allow the Department to
file a dependency petition and make a recommendation to the
court that the relative or other suitable person currently
providing protection be awarded temporary custody. In these
jurisdictions, if the ISP team has determined that a transfer of
custody to the relative is the most appropriate plan, testimony
from child welfare staff regarding the home evaluation may be
needed to establish that the relative’s home/other suitable
person is the most appropriate placement.
3. Out-of-Home (Foster Care) – Foster care is a safety intervention that
allows the Department, pursuant to a court order, to provide protection
for children in licensed/approved placements. It is to be used when the
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assessment reveals that there are present/impending danger threats that
cannot be controlled in the child’s current living situation and the
circumstances are so grave or uncertain that the only way to ensure
safety is by removal of the child and placement in foster care. Child
welfare staff shall file a petition in court for removal.
Placement in out-of-home care is a safety intervention. At the 72-
hour initial ISP, safety is addressed. Safety concerns during family
visitation/contacts are incorporated in the ISP per Visiting Policy. If
visiting places a child’s safety at risk, any restrictions or the extent of
visits are addressed in the ISP. In cases that a less invasive safety plan
has been in place but is no longer maintaining the child’s safety, that
safety plan is terminated and out-of-home foster care placement is
indicated as the reason on the DHR-FCS-2110.
Reunification is based on the parent’s/caregiver’s capacity to maintain
the child’s safety and not on parent/caregiver achieving every
treatment goal identified in the ISP. Children should return home as
quickly as it is determined that safety threats can be controlled in the
child’s home. All impending danger threats may not be eradicated nor
caregivers may not have necessarily changed in order for children to
be safely reunified with their families. What is necessary for the safe
reunification is the establishment of well-defined circumstances within
a child’s home that mitigate against threats to child safety. The ISP
team will continue to address the family’s needs through the provision
of on-going services while maintaining the child safely in his/her own
home.
D. Summary Removal / Protective Custody
Child welfare staff may need to use a summary removal when out-of-home (foster
care) safety plans are needed to keep children safe. “Summary removal” is the
process where children are taken into protective custody to protect them from
imminent risk of serious harm. Summary removal refers to:
• law enforcement or DHR removing children from parental care or
custody without a court order; or
• the court issuing a pick-up order for the children regardless of the
parents’/custodians’ consent.
Protective custody is effective for only seventy-two (72) hours (including Saturdays,
Sundays, and holidays) immediately following the summary removal or issuance of
the pick-up order. A preliminary protective hearing (aka shelter care hearing) must
be held within the 72 hour timeframe to determine if continued out-of-home care is
needed. In addition, child welfare staff may return children to their home during the
72 hours when imminent risk of serious harm no longer exists.
Child welfare staff shall take children into protective custody when:
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• children are at imminent risk of serious harm; and
• the parents or primary caregivers are unwilling or unable to
provide protection; and
• it is not possible to protect the children from imminent, serious
harm through (1) the provision of services, including intensive
in-home services; or (2) use of an out-of-home (non-foster
care) safety plan; or (3) use of an Agreement For Foster Care.
Note: Code of Alabama, 1975 § 12-15-71 (a) (6) provides that children
cannot be removed from their parents’ custody solely because of emergency
housing needs. Poverty, not neglect, may be evident when families use
resources available to them, but are unable to meet their children’s basic
needs. Since poverty can result in children not receiving proper care, child
welfare staff shall take steps to help families access needed services prior to
seeking court intervention.
The county’s working agreements with law enforcement and the court will
determine when LEAs take children into protective custody or when pick-up
orders must be obtained prior to removal. When children are placed in out-of-
home care by either DHR or law enforcement without a pick-up order, child
welfare staff must notify the court and file a dependency petition the next
working day (refer to Legal Proceedings for more detailed information).
Child welfare staff shall carefully document the children’s situation including
the circumstances that placed them at imminent risk of serious harm and why
the risk could not be managed except by removal.
E. Monitoring and Transfer of Cases with Safety Plans
Child welfare staff shall continuously assess and monitor the effectiveness of the
safety plan for as long as it is in effect. To ensure that a safety plan is effective in
protecting children, it is critical that it be monitored by frequent in-person contacts,
phone contacts, and home visits. Regardless of when a safety plan is implemented if
it is to remain in place past the CA/N completion time frame, the case must be opened
to on-going protective services.
There must be a seamless transfer of cases with safety plans to assure that present and
impending safety threats continue to be managed. In most counties, cases with safety
plans in place will be transferred from investigative workers to on-going protective
services workers or foster care workers and this may occur within the first forty five
(45) days while the CA/N report is being completed. Children are most vulnerable at
the time that a case having a safety plan in place is transferred. On-going protective
service workers and foster care workers must understand that it is their responsibility
to monitor very closely the safety plan in order to assure the safety of children. It is
during the transfer period that a family can be most vulnerable, placing a child(ren) in
danger. Therefore, close and continuous monitoring is necessary to ensure safety
during the transfer period. County Departments shall establish local procedures for
the speedy and full communication and transfer between units of cases with safety
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threats and safety plans. Refer to Family Services Case Record Policies And
Procedures, II. D. Transferring Case Records Within A County Department which
provides guidelines for transferring cases. Cases are not to be closed with a safety
plan in effect.
III. CONTENT AND DOCUMENTATION OF SAFETY PLANS
A. Content of Safety Plan Document
Safety plans shall identify the actions to be taken to manage safety threats. The plan
must be written so that everyone involved understands and agrees to the plan. Safety
plans, when completed in the field, shall be documented on the Safety Plan, DHR-
FCS-2110, (see Forms section) with follow-up documentation in FACTS.
The following, at a minimum, shall be specifically addressed in the safety plan.
• steps to be taken to protect the children from safety threats;
• steps for monitoring the plan’s implementation including timeframes
for child welfare staff visits to the home to assess the children’s on-
going protection needs; and
• individuals responsible for taking identified steps.
All the individuals responsible for development and implementation shall sign safety
plans, in order to verify their concurrence with and approval of the plan. This
includes, at a minimum, the following individuals:
• Parents (unless they are not the primary caregiver and do not live in
the home);
• Primary caregivers;
• Age-appropriate children;
• Persons responsible for protection; and
• Child welfare staff and their supervisors who approve the plan.
When children and families will be receiving on-going protective services and the
initial ISP is developed or the existing ISP is revised, the safety plan (DHR-FCS-
2110) will continue to address any safety threats; and the ISP will address the
treatment needs of the parent/primary caregivers to increase their protective
capacities. Hence, the ISP and the safety plan (DHR-FCS-2110) are two separate
documents in on-going protective services cases.
B. Case Record Documentation
During a CA/N assessment child welfare staff must continuously assess and monitor
the effectiveness of the safety plan. Any identified safety threat is to be documented
on the safety plan form (DHR-FCS-2110) and in FACTS on the “Safety Threat” page.
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Safety planning is the responsibility of the Department and as such the case narrative
documentation will describe the following:
• how the safety plan is working to keep the child(ren) safe;
• any need for an increase or decrease in the level of intervention
identified in the safety plan;
• current level of the identified safety threats, including whether threat is
increased, decreased or is unchanged;
• assessment of person responsible for protection (e.g., how are they
doing, do they understand the safety plan, are they following the plan);
• any improvement in parental protective capacities.
Child welfare staff must document in the case narrative their analysis of and
conclusions regarding a child’s current safety.
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IV. DANGER THREATS – PRESENT AND IMPENDING
This section provides information to assist child welfare staff in assessing present and
impending danger threats. The ability of child welfare staff to identify present or impending
danger threats is a crucial aspect of the safety intervention process. Present danger threats
are conditions and circumstances that are occurring now and result in an immediate,
significant, and clearly observable safety threat to a vulnerable child. Impending danger
threats may not be clearly observable early in the assessment process, but become apparent
as the assessment process proceeds and more complete information is obtained.
Present and Impending danger threats are discussed below (see A & B). The list includes,
but is not limited to, the following and is provided to help child welfare staff familiarize
themselves with the concept of present and impending danger threats.
A. Present Danger Threats
Maltreating Now The parents’/primary caregivers’ mistreatment of the child is
occurring as the report is being made. The maltreatment will
typically be physical, verbal, or sexual in nature. Chronic neglect
may be presently occurring, but does not necessarily mean danger
exists.
Multiple Injuries This describes different kinds of injuries (e. g. a serious burn and
bruising) located on different parts of the body (e.g., bruises to the
arms and lower legs).
Face/Head This includes bruises, cuts, abrasions, swelling or any physical
manifestation to the face and head that allegedly occurred due to
the parents’/primary caregivers’ treatment of the child.
Unexplained or questionable injuries to the face and head are of
concern anytime they occur.
Serious Injury This typically includes broken bones, deep cuts, burns,
malnutrition etc. Failure to thrive can be included in this.
Premeditated Information must support that the allegations resulted from the
parents’/primary caregivers’ deliberate, preconceived plan or
thinking which preceded the maltreatment.
Several Victims There is more than one child who is currently being maltreated.
Several children in a chronic neglect situation but not at danger
would not be considered in this threat.
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History of Reports This threat requires no qualification about the nature of the
previous reports (i.e., whether they were minor or serious).
Concern is assumed and accepted when a family has a history of
reports. This present danger threat should always be considered in
relation to other threats when determining response time or
considering emergency custody matters.
Life Threatening
Living Arrangements
This is based on specific information that indicated a child’s living
situation is an immediate threat to the child’s safety. It includes
the most serious health circumstances (e. g., buildings capable of
falling in; exposure to the elements in bitter weather; fire hazards;
exposed electrical wiring; guns/knives available.
Bizarre Cruelty This qualifies the alleged maltreatment and usually requires an
interpretation. Examples include locking up children, torture,
exaggerated emotional abuse.
Accessible to
Maltreater
This threat must be considered along with other present danger
threats when determining response time or emergency safety needs
(e.g., only caregiver; significant amounts of care-giving time;
isolation from other). The threat can be used to indicate current
accessibility as well as anticipated accessibility in the near future
(e.g., when the child returns home from school).
Parents’/Primary
Caregivers’ Viewpoint
of Child is Bizarre
This is the extreme, not just a negative attitude. It is consistent
with the level of seeing the child as demon-possessed.
Child is Unsupervised
or Alone for Extended
Periods
To be considered present danger, it is more likely to involve a
younger child, even though an older child could be involved. The
time of day and length of time the child has been unsupervised is
important. This threat applies only when the child is without any
care, not when someone is caring for the child and complaining
that the parent is supposed to be there but isn’t at the current time.
The “present time” concept applies to this threat. It is not a
present danger threat if the child was unsupervised last night and
has someone providing care now.
Child is 0 – 6 Like some other threats, young age must be considered in context
with other present danger threats (e.g., child left alone).
Child Unable to
Protect Self
This threat must be considered in the context with other present
danger threats. It includes children who are older and possess
some incapacity.
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Child is Fearful or
Anxious
Unlike a generalized fear or anxiety, this threat describes children
who are openly afraid of (1) their present circumstances or (2)
their home situation or (3) a particular person because of a
personal threat. Information will likely describe actual
communication or emotional/physical manifestations based on the
children’s knowledge or perception of their situation.
Child Needs Medical
Attention
To be considered a present danger threat, the required medical care
must have an emergent quality and be significant enough that its
absence could seriously affect the child’s health and well-being.
Children who are not receiving routine medical care are not
considered as a present danger situation.
Parents/Primary
Caregivers Are
Unable to Perform
Parental
Responsibilities
This threat refers only to those parental duties and responsibilities
that are consistent with basic care or with assuring safety. The
threat considers whether parents’/caregivers’ inability to perform
basic parental duties leaves children in a threatened state.
Bizarre Behaviors This threat requires that the reporter’s information be interpreted
beyond what is actually said, and includes unpredictable,
incoherent weird outrageous, or totally inappropriate behaviors.
Parents/Primary
Caregivers Described
as Dangerous
Information would be considered a present danger when
parents/primary caregivers are described as physically or verbally
imposing and threatening; brandishing weapons; known to be
dangerous and aggressive or currently behaving in attacking or
aggressive ways. Parents/primary caregivers described as
dangerous may be behaving in bizarre ways; however, a more
specific and threatening behavior is captured in this threat.
Parent/Primary
Caregiver is Out of
Control
This threat may include aspects of the two preceding threats, but
allows for capturing emotional upset or depressed people who
cannot focus themselves or manage their behaviors in a way to
properly perform their parental responsibilities. The
parent’s/primary caregivers’ actions or lack of actions may not be
directed at the children, but may affect them in dangerous ways.
Parent/Primary
Caregiver is
Intoxicated
Applying the “present time” context, this threat refers to a
parent/primary caregiver who is drunk now or is consistently
drunk all the time. The parents’/primary caregivers’ condition
(i.e., drunk as compared to drinking) is more important than the
substance use.
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B. Impending Danger Threats
No adult in the home
will perform basic
parental duties and
responsibilities
This refers only to adults (not children) in a care-giving role.
Duties and responsibilities related to the provision of food,
clothing, shelter, and supervision are to be considered at a basic
level. This threat is observed in the following ways.
• Parent’s/primary caregiver’s physical or mental disability or
incapacitation renders the person unable to provide basic care
for the children.
• Parent/primary caregiver is or has been absent from the home
for lengthy periods of time, and no other adults are available to
provide basic care.
• Parents/primary caregivers have abandoned the children.
• Parents arranged care by an adult, but parents / primary
caregivers’ whereabouts are unknown or they have not
returned according to plan, and caregiver is asking for relief.
• A substance abuse problem renders parent/primary caregivers
incapable of routinely/consistently attending to children’ basic
needs.
• Parent primary caregiver is or will be incarcerated leaving
children without a responsible adult to provide care.
• Parent/primary caregiver does not respond to or ignores child’s
basic needs.
• Parent/primary caregiver allows child to wander in and out of
the home or through the neighborhood without necessary
supervision.
• Parent/primary caregiver allows other adults to improperly
influence (drugs, alcohol, abusive behavior) the child and he
parent/primary caregiver is present or approves.
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One or both parents
are violent
This threat includes aggressive behaviors or emotions. Observable
behaviors include:
• Family violence involves physical and verbal assault on a
parent in the presence of a child, causing the child to be fearful
for self and/or others.
• Family violence is occurring and a child is assaulted.
• Family violence is occurring and a child may be attempting to
intervene.
• Family violence is occurring and a child could be inadvertently
harmed even though the child may not be the actual target of
the violence.
• Parent/primary caregiver whose behavior outside of the home
(e. g., drugs, violence, aggressiveness, hostility) creates an
environment within the home which threatens child safety (e.
g., drug parties, gangs, drive-by shootings).
One or both parents /
primary caregivers
cannot control
behavior
This threat includes behaviors other than aggression or emotion
that affect child safety. This threat can be seen in the following
situations:
• Parent/primary caregiver is seriously depressed and unable to
control emotions or behaviors.
• Parent/primary caregiver is chemically dependent and unable
to control the dependency’s effects.
• Parent/primary caregiver makes impulsive decisions and plans
leaving the children in precarious situations (e.g.,
unsupervised, supervised by an unreliable or inappropriate
caregiver).
• Parent/primary caregiver is an impulse buyer resulting in a
lack of basic necessities.
• Parent/primary caregiver is emotionally immobilized
(chronically or situationally) and cannot control behavior.
• Parent/primary caregiver has addictive patterns or behaviors
(e.g., addiction to substances, gambling or computers) that are
uncontrolled and leave children in unsafe situations (e.g.,
failure to supervise or provide other basic care).
• Parent/primary caregiver is delusional and/or experiencing
hallucinations.
• Parent/primary caregiver cannot control sexual impulses.
• Parent/primary caregiver is seriously depressed and
functionally unable to meet the children’s basic needs.
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Child is perceived in
extremely negative
terms by one or both
parents/primary
caregivers
“Extremely” means a perception by the parent/primary caregiver
that is so negative that, when present, creates child safety
concerns. In order for this threat to exist, the types of perceptions
below must be present and must be inaccurate.
• Child is perceived to be the devil, demon possessed, evil, a
bastard or deformed, ugly, deficient, or embarrassing.
• Child has taken on the same identity as someone the
parent/primary caregiver hates and is fearful of or hostile
towards, and the parent/primary caregiver transfers feelings
and perceptions of the person onto the child.
• Child is considered to be punishing or torturing the
parent/primary caregiver.
• One parent/primary caregiver is jealous of the child and
believes the child is a detriment or threat to the
parents’/primary caregivers’ relationship and stands in the way
of their best interests.
• Parent/primary caregiver sees child as an undesirable
extension of self and views child with some sense of purging
or punishing.
Family does not have
resources to meet
basic needs
“Basic needs” refers to the family’s lack of (1) minimal resources
to provide shelter, food, and clothing or (2) the capacity to use
resources if they were available. Can be observed in following
situations:
• Family has no money.
• Family has no food, clothing, or shelter.
• Family finances are insufficient to support needs (e.g., medical
care) that, if unmet, could result in a threat to child safety.
• Parents/primary caregivers lack life management skills to
properly use resources when they are available.
• Family is routinely using their resources for things (e.g., drugs)
other than their basic care and support, leaving them without
their basic needs being adequately met.
• Child’s basic needs exceed normal basic needs because of
unusual conditions (e.g., disabled child) and the family is
unable to adequately address the needs.
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One or both
parents/primary
caregivers fear they
will maltreat the
child and request
placement
The safety decision-making elements of immediacy, severity, and
vulnerability must be considered when evaluating this threat.
• Parents/primary caregivers state they will mistreat.
• Parent/primary caregiver describes conditions and situations
that stimulate them to think about maltreating.
• Parent/primary caregiver talks about being worried about,
fearful of, or preoccupied with maltreating the child.
• Parent/primary caregiver identifies things that the child does
that aggravate or annoy the parent/primary caregiver in ways
that makes the parent want to attack the child.
• Parent/primary caregiver describes disciplinary incidents that
have become out of control.
• Parents/primary caregivers are distressed or “at the end of their
rope,” and are asking for some relief in either specific (e.g.,
“take the child”) or general (e.g., “please help me before
something awful happens”) terms.
• One parent/primary caregiver is expressing concerns about
what the other parent/primary caregiver is capable of or may
be doing.
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One or both
parents/primary
caregivers intend(ed)
to hurt the child and
show no remorse
“Intended” suggests that before or during the time the child was
mistreated, the parents’/primary caregivers’ conscious purpose
was to hurt the child. This threat must be distinguished from an
incident in which the parent/primary caregiver meant to discipline
or punish the child and the child was inadvertently hurt.
• The incident was planned or had an element of premeditation
and there is no remorse.
• The nature of the incident or use of an instrument can be
reasonably assumed to heighten the level of pain or injury
(e.g., cigarette burns) and there is no remorse.
• Parent’s/primary caregiver’s motivation to teach or discipline
seems secondary to inflicting pain and/or injury and there is no
remorse.
• Parent/primary caregiver can reasonably be assumed to have
had some awareness of what the result would be prior to
incident and there is no remorse.
• Parent’s/primary caregiver’s actions were not impulsive, there
was sufficient time and deliberation to assure that the actions
hurt the child, and there is no remorse.
• Parent/primary caregiver does not acknowledge any guilt or
wrong-doing and there was intent to hurt the child.
• Parent/primary caregiver intended to hurt the child and shows
no empathy for the pain or trauma the child has experienced.
• Parent/primary caregiver may feel justified; may express that
the child deserved it and they intended to hurt the child.
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One or both parents /
primary caregivers
lack parenting
knowledge, skills, and
motivation thereby
affecting child safety
The safety decision-making elements of immediacy, severity, and
vulnerability apply here as well as basic parenting qualities. One
determining factor is based on the parent’s/primary caregiver’s lack of
basic knowledge or skills that prevent them from meeting the child’s
basic needs. A second factor is lack of motivation on the part of
parents/primary caregivers resulting in their abdicating their role to
meet basic needs or failing to adequately perform the parental role to
meet the child’s basic needs. The inability and/or unwillingness to
meet basic needs creates child safety concerns. This is observed in the
following ways.
• Parent’s/primary caregiver’s intellectual capacities affect
judgement and/or knowledge in ways that prevent the provision of
adequate basic care.
• Young or intellectually challenged parents/primary caregivers
have little or no knowledge of a child’s needs and capacity.
• Parent’s/primary caregiver’s expectations of the child far exceed
the child’s capacity thereby placing the child in unsafe situations.
• Parent/primary caregiver does not know what basic care is or how
to provide it (e.g., how to feed or diaper; how to protect or
supervise according to the child’s age).
• Parents’/primary caregivers’ parenting skills are exceeded by a
child’s special needs and demands in ways that affect safety.
• Parent’s/primary caregiver’s knowledge and skills are adequate for
some children’s ages and development, but not for others (e.g.,
able to care for an infant, but cannot control a toddler).
• Parent/primary caregiver does not want to be a parent and does not
perform the role, particularly in terms of basic care.
• Parent/primary caregiver is averse to parenting and does not
provide basic needs.
• Parent/primary caregiver avoids parenting and basic care
responsibilities.
• Parent/primary caregiver allows others to parent or provide care to
their child without concern for knowing the other person’s ability
and capacity.
• Parent/primary caregiver does not know or does not apply basic
safety measures (e.g., keeping medications, sharp objects or
household cleaners out of reach of small children).
• Parents/caregivers place their own needs above needs of children,
thereby affecting the children’s safety.
• Parents/caregivers do not believe the children’s disclosure of
abuse/neglect even when there is a preponderance of evidence and
this affects the children’s safety.
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There is an indication
that the parents /
primary caregivers
will flee
This threat is selected if the facts suggest that the family will hide
the child by changing residences, leaving the jurisdiction, refusing
access to the child, and the consequences for the child may be
severe and immediate. This can be observed in the following
situations.
• Family is highly transient.
• Family has little tangible attachments (e.g., job, home,
property, or extended family).
• Parent/primary caregiver is evasive, manipulative, or
suspicious.
• There is precedence for avoidance and flight.
• There are or will be civil or criminal complications that the
family wants to avoid.
• There are other circumstances prompting flight (e.g., warrants,
false identities uncovered, criminal convictions, or financial
indebtedness).
Child has exceptional
needs that the parent /
primary caregiver
cannot or will not
meet
“Exceptional” refers to specific child conditions (e.g., mental and
physical disability, blindness) that are either organic or naturally
induced as opposed to parentally induced.
The key is parents, by not addressing the child’s exceptional
needs, will not or cannot meet the child’s basic needs. Conditions
below describe this threat.
• Child has a physical or mental condition that, if untreated, is a
safety threat.
• Parent/primary caregiver does not recognize the condition.
• Parent/primary caregiver views the condition as less serious
than it is.
• Parent/primary caregiver refuses to address the condition for
religious or other reasons.
• Parent/primary caregiver lacks the capacity to fully understand
the condition or the safety threat.
• Parent’s/primary caregiver expectations of the child are totally
unrealistic in view of the child’s condition.
• Parent/primary caregiver allows the child to live or be placed
in situations in which harm is increased by virtue of the child’s
condition.
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Revision No. 12
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Living arrangements
seriously endanger a
child’s physical health
This threat refers to conditions in the home which are immediately
life-threatening or seriously endangering a child’s physical health
(e.g., people discharging firearms without regard to who might be
harmed; the lack of hygiene is so dramatic as to cause or
potentially cause serious illness). This threat is seen in the
following circumstances.
• Housing is unsanitary, filthy, infested, a health hazard.
• The house’s physical structure is decaying, falling down.
• Wiring and plumbing in the house are substandard, exposed.
• Furnishings or appliances are hazardous.
• Heating, fireplaces, stoves, are hazardous and accessible.
• There are natural or man-made hazards located close to the
home.
• The home has upper stories with easily accessible open
windows or balconies.
• Occupants in the home, activity within the home, or traffic in
and out of the home present a specific threat to a child’s safety.
Parent’s / primary
caregiver’s
whereabouts are
unknown
The parent’s/primary caregiver’s whereabouts are unknown while
the CA/N assessment is being completed and this is affecting child
safety. This threat is observed in the following situations.
• Child has been abandoned or left with someone who does not
know the parent/primary caregiver.
• Parent/primary caregiver has left the child with someone and
not returned as planned.
• Parent/primary caregiver did not express plans to return or the
parent/primary caregiver has been gone longer than expected
or what would be normally acceptable.
• No one knows the parent’s/primary caregiver’s identity.
• Parents’/primary caregivers’ unexplained absence exceeds a
few days.
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Child shows serious
emotional effects of
maltreatment and a
lack of behavioral
control
Key words are “serious” and “lack of behavioral control.”
“Serious suggests that the child’s condition has immediate
implications for intervention (e. g., extreme emotional
vulnerability, suicide prevention).
“Lack of behavioral control” describes the provocative child who
stimulates reactions in others. The safety decision-making
elements of immediacy, severity, and vulnerability apply.
This threat is seen in the following behaviors.
• Child threatens suicide, attempts suicide or appears to be
having suicidal thoughts.
• Child will run away.
• Child’s emotional state is such that immediate mental
health/medical care is needed.
• Child is capable of and likely to self-mutilate.
• Child is a physical danger to others.
• Child abuses substances and may overdose.
• Child is so withdrawn that basic needs are not being met.
Child shows serious
physical effects of
maltreatment
The key word is “serious,” and suggests that the child’s condition
has immediate implications for intervention (e.g., need for medical
attention, extreme physical vulnerability).
• Child has severe injuries.
• Child has physical symptoms from maltreatment that require
immediate medical treatment (e.g., failure to thrive).
• Child has physical symptoms from maltreatment that require
continual medical treatment.
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One or both
parents/primary
caregivers overly
reject intervention
This threat refers to situations where the parent/primary caregiver
refuses to see child welfare staff and/or to let child welfare staff
see the child. Behaviors can include the following:
• Parent/primary caregiver refuses to speak with child welfare
staff.
• Parent/primary caregiver is openly hostile or physically
aggressive toward child welfare staff.
• Parent/primary caregiver refuses access to the home.
• Parent/primary caregiver hides child or refuses access to child.
• Parent/primary caregiver avoids all contact with child welfare
staff (e.g., misses or never shows up for appointments; are not
at home when child welfare staff visits).
• Parent/primary caregiver constantly deceives child welfare
staff about the child’s condition, conditions in the home,
and/or events and circumstances related to the CA/N report
and intervention.
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Both parents /
primary caregivers
cannot or do not
explain the child’s
injuries and/or
conditions
Parents/primary caregivers are unable or unwilling to explain
maltreating conditions or injuries that are consistent with the facts.
This threat is seen in the following behaviors of parents/primary
caregivers.
• Parents/primary caregivers acknowledge the presence of
injuries and/or conditions, but plead ignorant as to how they
occurred.
• Parents/primary caregivers express concern for the child’s
condition, but are unable to explain it.
• Parents/primary caregivers appear to be totally competent and
appropriate with the exception of (1) the physical or sexual
abuse and (2) the lack of an explanation or (3) an explanation
that makes no sense.
• Parents/primary caregivers accept the presence of injuries and
conditions, but do not explain them or seem concerned.
• Sexual abuse has occurred in which (1) the child discloses; (2)
family circumstances, including opportunity, may or may not
be consistent with sexual abuse: and (3) the parents/primary
caregivers deny the abuse, blame the child, or offer no
explanation or an explanation that is unbelievable.
• “Battered Child Syndrome” case circumstances are present and
the parents/primary caregivers appear to be competent, but the
child’s symptoms do not match the parents’/primary
caregivers’ appearance and there is no explanation for the
child’s symptoms.
• Parents’/primary caregivers’ explanations are far-fetched.
• Facts observed by child welfare staff and/or supported by other
professionals that relate to the incident, injury and/or
conditions contradict the parents’/primary caregivers’
explanations.
• History and circumstantial information are incongruent with
the parents’/primary caregivers’ explanation of the injuries and
conditions.
• Parents’/primary caregivers’ verbal expressions do not match
their emotional responses and there is not a believable
explanation.
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Child is fearful of the
home situation
“The home situation” includes specific family members and/or
other conditions in the living situation (e.g., frequent presence of
known drug users in the household). This threat is seen in the
behaviors of a child.
• Child demonstrates emotional and/or physical responses (e.g.,
crying, inability to focus, nervousness, withdrawal) indicating
fear of the living situation or of people within the home
• Child expresses fear and describes people and circumstances
that are reasonably threatening.
• Child recounts previous experiences that form the basis for
fear.
• Child’s fearful response escalates at the mention of home
people or circumstances associated with reported incidents.
• Child describes personal threats that seem reasonable and
believable.
Child is seen by either
parent/primary
caregiver as being
responsible for the
parents’/primary
caregivers’ problems
This threat involves situations where a child is blamed for the
parents’/primary caregivers’ problems and this attitude will likely
result in a safety concern for the child. This threat is seen in the
following behaviors of a parent/primary caregiver.
• Child is blamed and held accountable for CPS involvement.
• Parents/primary caregivers directly associate their problems
(e.g., difficulties in their lives, limitations to their freedom,
financial or other burdens) to the child.
• Conflicts that parents/primary caregivers experience with
others (e.g., family members, neighbors, friends, school, and
police) are considered to be the child’s fault.
• Losses the parent/primary caregiver experiences (e.g., job,
relationships) are attributed to the child.
Safety Assessment
Child Protective Services Policies And Procedures
Revision No. 12
Effective November 1, 2006
29
The maltreating
parent/primary
caregiver exhibits no
remorse or guilt
This is observed in the following.
• Parent’s/primary caregiver’s expressions of regret or sorrow
are unbelievable and self-serving.
• Parent’s/primary caregiver’s regrets are more associated with
getting caught than what was done.
• Parent/primary caregiver indicates a belief that the child
deserved what he or she got.
• Parent/primary caregiver shows no recognition of wrong or
inappropriateness.
• Parent/primary caregiver does not express any empathy toward
the child’s condition or injuries.
• Parent/primary caregiver demonstrates a self-righteous attitude
and believes actions were justified.
• Parent/primary caregiver rationalizes the maltreating behavior
as discipline, training or in the child’s best interest.
• Parent/primary caregiver views the maltreating behavior as a
parental right.
One or both
parents/primary
caregivers have failed
to benefit from
previous professional
help
“Previous professional help” suggests that a record exists and is
known. “Previous professional help” refers to the
parents’/primary caregivers’ adult lives and relates to current
problems that are pertinent to child safety and risk of
maltreatment. This is seen in the following situations.
• CPS has intervened before with respect to similar or exactly
the same parental behavior that is currently threatening safety,
yet there is not indication of change.
• Parents/primary caregivers have received professional help
prior to this incident, and that help was concerned with similar
or exactly the same behavior in question. The
parent’s/primary caregiver’s current behavior suggests no
change or relapse.
• The parent’s/primary caregiver’s assertion that they have
received help before for these conditions and are rehabilitated.
Safety Assessment
Child Protective Services Policies And Procedures
Revision No. 12
Effective November 1, 2006
30
V. PARENTAL/PRIMARY CAREGIVER PROTECTIVE CAPACITIES
Assessing child safety requires that parental/primary caregiver’s protective capacities be
assessed along with the present and impending danger threats. This section provides
information to assist child welfare staff in assessing parental/primary caregiver’s protective
capacities.
Research indicates that individuals possess certain characteristics that are specifically and
directly associated with their being protective of their children. These characteristics are
“Parental/Primary Caregiver Protective Capacities.” Protective capacity characteristics have
the following in common:
• prepare an individual to be protective;
• enable and empower an individual to be protective;
• is necessary and fundamental to being protective;
• exist prior to being protective or the need to be protective; and
• relate to acting or being able to act on behalf of a child.
Protective capacities are not innate and therefore, there are varying and individual levels of
parental/caregiver protective capacities. They are seen in three areas of functioning:
behavioral, cognitive and emotional. These are discussed below.
A. Behavioral Protective Capacities
The caregiver has a
history of protecting.
This refers to a person with many experiences and events in
which he or she has demonstrated clear and reportable evidence
of having been protective. Examples might include:
• People who have raised children (now older) with no
evidence of maltreatment or exposure to danger.
• People who have protected his or her children in
demonstrative ways by separating them from danger; seeking
assistance from others; or similar clear evidence.
• Caregivers and other reliable people who can describe various
events and experiences where protectiveness was evident.
The caregiver takes
action.
This refers to a person who is action-oriented as a human being,
not just a caregiver.
• People who perform when necessary.
• People who proceed with a course of action.
• People who take necessary steps.
• People who are expedient and timely in doing things.
• People who discharge their duties.
Safety Assessment
Child Protective Services Policies And Procedures
Revision No. 12
Effective November 1, 2006
31
The caregiver
demonstrates impulse
control.
This refers to a person who is deliberate and careful; who acts in
managed and self-controlled ways.
• People who do not act on their urges or desires.
• People that do not behave as a result of outside stimulation.
• People who avoid whimsical responses.
• People who think before they act.
• People who are planful.
The caregiver is
physically able.
This refers to people who are sufficiently healthy, mobile and
strong.
• People who can chase down children.
• People who can lift children.
• People who are able to restrain children.
• People with physical abilities to effectively deal with dangers
like fires or physical threats.
The caregiver
has/demonstrates
adequate skill to fulfill
caregiving
responsibilities.
This refers to the possession and use of skills that are related to
being protective.
• People who can feed, care for, supervise children according to
their basic needs.
• People who can handle, manage, oversee as related to
protectiveness.
• People who can cook, clean, maintain, guide, shelter as
related to protectiveness.
The caregiver
possesses adequate
energy.
This refers to the personal sustenance necessary to be ready and
on the job of being protective.
• People who are alert and focused.
• People who can move; are on the move; ready to move; will
move in a timely way.
• People who are motivated and have the capacity to work and
be active.
• People express force and power in their action and activity.
• People who are not lazy or lethargic.
• People who are rested or able to overcome being tired.
Safety Assessment
Child Protective Services Policies And Procedures
Revision No. 12
Effective November 1, 2006
32
The caregiver sets
aside her/his needs in
favor of a child.
This refers to people who can delay gratifying their own needs,
who accept their children’s needs as a priority over their own.
• People who do for themselves after they’ve done for their
children.
• People who sacrifice for their children.
• People who can wait to be satisfied.
• People who seek ways to satisfy their children’s needs as the
priority.
The caregiver is
adaptive as a
caregiver.
This refers to people who adjust and make the best of whatever
caregiving situation occurs.
• People who are flexible and adjustable.
• People who accept things and can move with them.
• People who are creative about caregiving.
• People who come up with solutions and ways of behaving
that may be new, needed and unfamiliar but more fitting.
The caregiver is
assertive as a
caregiver.
This refers to being positive and persistent.
• People who are firm and convicted.
• People who are self-confident and self-assured.
• People who are secure with themselves and their ways.
• People who are poised and certain of themselves.
• People who are forceful and forward.
The caregiver uses
resources necessary to
meet the child’s basic
needs.
This refers to knowing what is needed, getting it and using it to
keep a child safe.
• People who get people to help them and their children.
• People who use community public and private organizations.
• People who will call on police or access the courts to help
them.
• People who use basic services such as food and shelter.
Safety Assessment
Child Protective Services Policies And Procedures
Revision No. 12
Effective November 1, 2006
33
The caregiver supports
the child.
This refers to actual, observable sustaining, encouraging and
maintaining a child’s psychological, physical and social well-being.
• People who spend considerable time with a child filled with
positive regard.
• People who take action to assure that children are encouraged
and reassured.
• People who take an obvious stand on behalf of a child.
B. Cognitive Protective Capacities
The caregiver plans
and articulates a plan
to protect the child.
This refers to the thinking ability that is evidenced in a reasonable,
well-thought-out plan.
• People who are realistic in their idea and arrangements about
what is needed to protect a child.
• People whose thinking and estimates of what dangers exist and
what arrangement or actions are necessary to safeguard a child.
• People who are aware and show a conscious focused process
for thinking that results in an acceptable plan.
• People whose awareness of the plan is best illustrated by their
ability to explain it and reason out why it is sufficient.
The caregiver is
aligned with the child.
This refers to a mental state or an identity with a child.
• People who strongly think of themselves as closely related to or
associated with a child.
• People who think that they are highly connected to a child and
therefore responsible for a child’s well-being and safety.
• People who consider their relationship with a child as the
highest priority.
The caregiver has
adequate knowledge to
fulfill caregiving
responsibilities and
tasks.
This refers to information and personal knowledge that is specific
to caregiving that is associated with protection.
• People who know enough about child development to keep kids
safe.
• People who have information related to what is needed to keep
a child safe.
• People who know how to provide basic care which assures that
children are safe.
Safety Assessment
Child Protective Services Policies And Procedures
Revision No. 12
Effective November 1, 2006
34
The caregiver is reality
oriented; perceives
reality accurately.
This refers to mental awareness and accuracy about one’s
surroundings; correct perceptions of what is happening; and the
viability and appropriateness of responses to what is real and
factual.
• People who describe life circumstances accurately.
• People who recognize threatening situations and people.
• People who do not deny reality or operate in unrealistic ways.
• People who are alert to danger within persons and the
environment.
• People who are able to distinguish threats to child safety.
The caregiver has
accurate perceptions of
the child.
This refers to seeing and understanding a child’s capabilities, needs
and limitations correctly.
• People who know what children of certain age or with
particular characteristics are capable of.
• People who respect uniqueness in others.
• People who see a child exactly as the child is and as others see
the child.
• People who recognize the child’s needs, strengths and
limitations. People who can explain what a child requires,
generally, for protection and why.
• People who see and value the capabilities of a child and are
sensitive to difficulties a child experiences.
• People who appreciate uniqueness and difference.
• People who are accepting and understanding.
The caregiver
understands his/her
protective role.
This refers to awareness…knowing there are certain solely owned
responsibilities and obligations that are specific to protecting a
child.
• People who possess an internal sense and appreciation for their
protective role.
• People who can explain what the “protective role” means and
involves and why it is so important.
• People who recognize the accountability and stakes associated
with the role.
• People who value and believe it is his/her primary
responsibility to protect the child.
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Child Protective Services Policies And Procedures
Revision No. 12
Effective November 1, 2006
35
The caregiver is self-
aware as a caregiver.
This refers to sensitivity to one’s thinking and actions and their
effects on others – on a child.
• People who understand the cause – effect relationship
between their own actions and results for their children
• People who are open to who they are, to what they do, and to
the effects of what they do.
• People who think about themselves and judge the quality of
their thoughts, emotions and behavior.
• People who see that the part of them that is a caregiver is
unique and requires different things from them.
C. Emotional Protective Capacities
The caregiver is able to
meet own emotional
needs.
This refers to satisfying how one feels in reasonable, appropriate
ways that are not dependent on or take advantage of others, in
particular, children.
• People who use personal and social means for feeling well
and happy that are acceptable, sensible and practical.
• People who employ mature, adult-like ways of satisfying their
feelings and emotional needs.
• People who understand and accept that their feelings and
gratification of those feelings are separate from their child.
The caregiver is
emotionally able to
intervene to protect the
child.
This refers to mental health, emotional energy and emotional
stability.
• People who are doing well enough emotionally that their
needs and feelings don’t immobilize them or reduce their
ability to act promptly and appropriately.
• People who are not consumed with their own feelings and
anxieties.
• People who are mentally alert, in touch with reality.
• People who are motivated as a caregiver and with respect to
protectiveness.
The caregiver is
resilient as a caregiver.
This refers to responsiveness and being able and ready to act
promptly.
• People who recover quickly from set backs or being upset.
• People who spring into action.
• People who can withstand.
• People who are effective at coping as a caregiver.
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Child Protective Services Policies And Procedures
Revision No. 12
Effective November 1, 2006
36
The caregiver is
tolerant as a caregiver.
This refers to acceptance, allowing and understanding, and
respect
• People who can let things pass.
• People who have a big picture attitude, who don’t over react
to mistakes and accidents.
• People who value how others feel and what they think.
The caregiver displays
concern for the child
and the child’s
experience and is
intent on emotionally
protecting the child.
This refers to a sensitivity to understand and feel some sense of
responsibility for a child and what the child is going through in
such a manner to compel one to comfort and reassure.
• People who show compassion through sheltering and soothing
a child
• People who calm, pacify and appease a child.
• People who physically take action or provide physical
responses that reassure a child, that generate security.
The caregiver and
child have a strong
bond and the caregiver
is clear that the
number one priority is
the well-being of the
child.
This refers to a strong attachment that places a child’s interest
above all else.
• People who act on behalf of a child because of the closeness
and identity the person feels for the child.
• People who order their lives according to what is best for their
children because of the special connection and attachment that
exits between them.
• People whose closeness with a child exceeds other
relationships.
• People who are properly attached to a child.
The caregiver
expresses love,
empathy and
sensitivity toward the
child; experiences
specific empathy with
the child’s perspective
and feelings.
This refers to active affection, compassion, warmth and
sympathy.
• People who fully relate to, can explain, and feel what a child
feels, thinks and goes through.
• People who relate to a child with expressed positive regard
and feeling and physical touching.
• People who are understanding of children and their life
situation.

https://dhr.alabama.gov/wp-content/uploads/2023/04/CPS-10-Out-of-Home-Protocol-4-27-23.pdf

OUT-OF-HOME PROTOCOL
Out-Of-Home Protocol
Child Protective Services Policies And Procedures
Revision No. 47
Effective January 29, 2020
i
TABLE OF CONTENTS
I. INTRODUCTION 1
II. GENERAL REQUIREMENTS 2
A. Determining Who Conducts The CA/N Assessment 2
B. Entering Reports Into The Central Registry 2
C. Notifying District Attorneys and Law Enforcement Agencies 2
D. Providing Notification Of CA/N Allegations 2
E. Conducting The CA/N Assessment 3
III. OUT-OF-HOME CARE SETTINGS 3
A. Day Care Centers Licensed By DHR 3
B. Exempt Day Care Centers 7
C. Family/Group Day Care Homes 10
D. Foster Family Homes Approved By DHR 13
E. Foster Family Homes Approved By Private Child-Placing Agencies Or
A State Agency Other Than DHR 16
F. Group Homes And Institutions Licensed By DHR 19
G. Group Homes And Institutions Operated By State Agencies Other Than DHR 22
H. Group Homes And Institutions Licensed/Certified (But Not Operated)
By State Agencies Other Than DHR 24
I. Schools And Allegations Involving Discipline/Corporal Punishment 28
J. Schools And Allegations Not Involving Discipline/Corporal Punishment 30
K. Non-Finalized Adoptive Homes 33
L. All Other Out-Of-Home Care Settings 36
Child Protective Services Policies And Procedures
Revision No. 17
March 1, 2008
1
I. INTRODUCTION
CA/N reports involving incidents that occur in out-of-home settings require procedures which
vary slightly from those identified in CA/N Assessment policy. These reports are different
because they involve:
• children who have allegedly been abused/neglected while in the care and control
of a home/facility/agency which is licensed, approved or certified by the state,
operated as a state facility, or is a private or religious facility/agency that is
exempt from licensing procedures; and
• persons allegedly responsible for the abuse/neglect who have responsibility for
the care, supervision, and/or control of children through their employment, unpaid
service as a volunteer, or connection with (e.g., students completing an
educational practicum, board members) the out-of-home care setting.
Out-of-home care settings include, but are not limited to:
• day care and night time centers (exempt and DHR licensed);
• day care and night time homes (family and group);
• foster family homes (regular, related, and therapeutic);
• institutions and group homes (licensed by DHR, another State agency or a
private child-placing agency);
• schools (public and private); and
• non-finalized adoptive homes (i.e., final decree not yet issued).
The following assumptions are made about out-of-home care settings.
• Out-of-home caregivers are held accountable to more strict caregiving standards
since parental discretion in child rearing is inherently broader than out-of-home
caregiver discretion, and
• Reports involving out-of-home settings shall be given priority during the CA/N
assessment process because parents and the public have invested children’s care
to a trusted and, in many cases, state licensed or approved home facility, or
agency.
Child Protective Services Policies And Procedures
Revision No. 9
Effective August 1, 2004
2
II. GENERAL REQUIREMENTS
The following requirements are applicable to all reports involving out-of-care settings.
A. Determining Who Conducts The CA/N Assessment
CPS staff in the county where the out-of-home care setting is located shall conduct the
CA/N assessment. This individual must not have any responsibility for
approving/licensing the setting.
The individual responsible for approving/licensing the setting or the child’s worker may
accompany CPS staff when necessary. If the out-of-home care setting is an
institution/group home licensed (but not operated) by another state agency, SDHR and
the other state agency must agree for a staff member from the other state agency to
accompany CPS staff when conducting the CA/N assessment.
If assistance is needed with determining who conducts the CA/N assessment or who may
need to accompany that person, the county child welfare supervisor shall contact the
Office of Child Protective Services to discuss the report and coordinate the CA/N
assessment.
B. Entering Reports Into The Central Registry
Child welfare staff in the County Department where the out-of-home care setting is
located shall enter the report into the Central Registry. When reports involve
discipline/corporal punishment in school settings, child welfare staff shall delay Central
Registry data entry until notification is received from law enforcement that the report will
be or has been investigated as child abuse/neglect. Code of Alabama 1975, § 16-28A-3
allows school systems to set their own corporal punishment policies. The law also
provides that public school teachers or other school officials are exempt from being
investigated for abuse/neglect related to the use of corporal punishment when that
punishment is consistent with the employing Board of Education’s established written
discipline policies (§ 16-28A-2).
C. Notifying District Attorneys (DAs) and Law Enforcement Agencies (LEAs)
Child welfare staff shall notify DAs and LEAs (in the county where the out-of-home care
setting is located) about CA/N reports according to the county’s written working
agreement with their DA and LEAs. Refer to General Policies And Procedures for
content required in these agreements.
D. Providing Notification Of CA/N Allegations
Child welfare staff in the county conducting the CA/N assessment shall, at a minimum,
provide notification of CA/N allegations according to CA/N Assessment policy, section
II. E. Notifications specific to an individual setting are identified in that setting’s
protocol (see section III).
Child Protective Services Policies And Procedures
September 1, 2002 3
In addition, non-DHR agency administrators (or their designee) shall also be kept
informed about the CA/N assessment’s progress, and the administrators’ assistance shall
be requested, when needed, to complete the CA/N assessment process. CA/N
information that can be disclosed to these individuals is limited to:
• Specific allegations included in the report;
• Names of the setting’s employees or volunteers who have been identified
as being responsible for the abuse/neglect;
• Identity of individuals at the out-of-home setting that will be interviewed;
• Approximate timeframe within which the CA/N assessment will be
completed; and
• Any other information that could prevent abuse/neglect of other children
in the out-of-home care setting.
E. Conducting The CA/N Assessment
Child welfare staff shall follow the information collection protocol described in CA/N
Assessment policy (section III) when conducting CA/N assessments. In addition, child
welfare staff shall also review documentation maintained by the setting for information
pertinent to the CA/N assessment. This includes, but is not limited to:
• the setting’s policy manual (e.g., staff/child ratio, disciplinary procedures);
• the child’s record; and
• any records on the person allegedly responsible for the abuse/neglect.
If child welfare staff are denied access to any information (e.g., individuals required to be
interviewed/observed; documentation maintained by the setting) needed to complete the
CA/N assessment, the denial and surrounding circumstances shall be documented in the
CA/N record. In addition, if persons allegedly responsible for abuse/neglect request the
presence of their attorney during interviews, child welfare staff shall consult with their
supervisor to determine if DHR needs legal representation, if DA or LEA staff need to be
present, or if the interview needs to be delayed.
III. OUT-OF-HOME CARE SETTINGS
Information in the following sections (A. – L.) provides CA/N assessment policy and procedures
which are specific to the individual out-of-home care settings.
A. Day Care Centers Licensed By DHR
Who Conducts The CA/N Assessment
CPS staff in the county where the day care center is located shall conduct the CA/N
assessment. This individual must not have responsibility for licensing the center.
Child Protective Services Policies And Procedures
Revision No. 17
March 1, 2008
4
Licensing staff may accompany the person, and if necessary, assist with the CA/N
assessment.
Notification Of Allegations
Notifications shall include the following information, at a minimum.
• Incidents reported as alleged abuse/neglect;
• Names of children allegedly abused/neglected; and
• Dates/timeframes the incidents are alleged to have occurred.
The following entities shall be notified when the report is received. The notification may
be provided verbally or in writing.
• SDHR Child Day Care Division – All counties shall notify SDHR Child
Day Care Division directly.
• Other County Departments – If the report involves a child who lives in a
county other than where the center is located, notify that county.
• DAs and LEAs per the county’s written working agreement.
• Day Care Center’s Administrator – “Administrator” is considered the
owner of the center or the governing authority’s board chairman. If the
administrator has been identified as the person allegedly responsible for
abuse/neglect and the center is owned by another individual or is governed by
a board, the owner or the chairman of the board shall be notified.
Day care administrators shall also be kept informed about the CA/N
assessment and called upon, when appropriate, to expedite the CA/N
assessment process. Information that may be disclosed to the administrator
includes:
1. allegations reported and who, at the center, will be interviewed;
2. name(s) of the center’s employees or volunteers who have been
identified as responsible for the abuse/neglect;
3. approximate timeframe within which the CA/N assessment will be
completed; and
4. any other information that could prevent the abuse/neglect of other
children at the center.
Note: It may be appropriate for the person conducting the CA/N assessment
to request that the person responsible for abuse/neglect not have contact with
children at the center until the CA/N assessment is complete.
Child Protective Services Policies And Procedures
Revision No. 10
Effective February 22, 2005
5
The following notifications shall be provided within five (5) working days of the report’s
receipt. The notification may be provided personally during the initial contact or mailed.
• Persons allegedly responsible for abuse/neglect – this must be written
notification with a copy filed in the CA/N record
• Parents/custodians of children identified in the report – these individuals
shall be given a general description in person or in writing of the allegations
and informed that an abuse/neglect CA/N assessment is being conducted. The
“Letter Notifying Parent Or Primary Caregiver Of Allegations” can be
generated through FACTS if written notification is the method used. The
identity of alleged person(s) responsible for abuse/neglect of identified
children may be revealed to the parents/custodians only. The
parents/custodians must also be advised that their children should not be
questioned or probed for information while the CA/N assessment is in
progress as this may contaminate the evidence in the event a criminal case is
initiated. Child welfare staff may also request that the parents/custodians
observe their children for any unusual behavioral symptoms, and if any are
noted, that they contact the person conducting the CA/N assessment.
Information Collection
Child welfare staff conduct individual, private interviews with the following persons.
• Children allegedly abused/neglected – it is preferable that these interviews
be conducted away from the day care center’s premises. Child welfare staff
are prohibited from transporting children away from the center unless the
children are in DHR custody.
• Persons allegedly responsible for the abuse/neglect – if the request for an
individual, private interview is denied, child welfare staff shall document the
circumstances in the CA/N record.
• Collaterals – all individuals who reportedly have information about the
alleged abuse/neglect; witnesses to the alleged incident;
• Other children at the day care center – depending on the case situation,
child welfare staff may also need to interview other children at the day care
center in order to corroborate information received from the children
identified in the report or to seek out other children who may be experiencing
abuse/neglect. These children should be interviewed privately, and their
parents/custodians must be notified in person or by telephone before the
interview whenever possible. Written notification is not required and “Letter
Notifying Parent Or Primary Caregiver Of Allegations” generated through
FACTS shall not be used for notification purposes. If prior notification is not
feasible, the parents/custodians must be contacted as soon after the interview
Child Protective Services Policies And Procedures
Revision No. 10
Effective February 22, 2005
6
as possible. The parents may be told information their children revealed; however, the
identity of alleged person(s) responsible for abuse/neglect shall not be revealed to
parents/custodians of other children in the center and caution must be taken not to
divulge any confidential information regarding other children and their families.
Dispositions, Notifications, Due Process Rights And Central Registry Data Entry
A disposition shall be reached for each allegation and each person allegedly responsible
for the abuse/neglect per CA/N Assessment policy, section IV. C. 1.
Child welfare staff shall provide persons allegedly responsible for the abuse/neglect with
written notification of the disposition upon completion of the CA/N assessment when the
disposition is “not indicated” or “unable to complete.” If the disposition is “indicated,”
the notification is considered a preliminary disposition and must include information on
due process rights. This notification may be hand-delivered or mailed. If mailed,
notifications to persons with “indicated” dispositions must be sent by both first-class and
certified mail. If a CA/N hearing is held, the hearing officer will notify persons allegedly
responsible for abuse/neglect as to the final disposition.
All individuals and agencies receiving notification of the allegations shall also be notified
about the disposition. The notification is provided at the completion of the CA/N
assessment for “not indicated” and “unable to complete” dispositions, and following the
provision of due process rights if the disposition is “indicated.”
Child welfare staff shall not disclose “indicated” dispositional information prior to a
CA/N hearing. If the safety of the children in the day care center would be jeopardized
by withholding that information, the disposition may be shared with the day care
administrator prior to the hearing. The use of this emergency provision for sharing
information shall only be used after the county child welfare supervisor has contacted
SDHR Legal for concurrence.
Child welfare staff shall enter the final disposition into the Central Registry for
“indicated” dispositions following the CA/N hearing or when due process rights are
waived. All other dispositions are entered upon the CA/N assessment’s completion.
Child Protective Services Policies And Procedures
Revision No. 18
Effective April 10, 2009
7
B. Exempt Day Care Centers
Who Conducts The CA/N Assessment
CPS staff in the county where the day care center is located shall conduct the CA/N
assessment. SDHR day care staff may accompany the person, and if necessary, assist
with the CA/N assessment.
Notification Of Allegations
Notifications shall include the following information, at a minimum.
• Incidents reported as alleged abuse/neglect;
• Names of children allegedly abused/neglected; and
• Dates/timeframes the incidents are alleged to have occurred.
The following entities shall be notified when the report is received. The notification may
be provided verbally or in writing.
• SDHR Child Day Care Division – All counties shall notify SDHR Child
Day Care Division directly.
• Other County Departments – If the report involves a child who lives in a
county other than where the center is located, notify that county.
• DAs and LEAs per the county’s written working agreement.
• Day Care Center’s Administrator – “Administrator” is considered the
person who is responsible for administering the center. If the administrator
has been identified as the person allegedly responsible for abuse/neglect,
notify the church pastor, the committee chairperson administering the day
care program, or the governing authority’s board chairperson.
Day care administrators shall also be kept informed about the CA/N
assessment and called upon, when appropriate, to expedite the CA/N
assessment process. Information that may be disclosed to the administrator
includes:
1. allegations reported and who, at the center, will be interviewed;
2. name(s) of the center’s employees or volunteers who have been
identified as responsible for the abuse/neglect;
3. approximate timeframe within which the CA/N assessment will be
completed; and
4. any other information that could prevent the abuse/neglect of other
children at the center.
Child Protective Services Policies And Procedures
Revision No. 10
Effective February 22, 2005
8
Note: It may be appropriate for the person conducting the CA/N assessment
to request that the person responsible for abuse/neglect not have contact with
children at the center until the CA/N assessment is complete.
The following notifications shall be provided within five (5) working days of the report’s
receipt. The notification may be provided personally during the initial contact or mailed.
• Persons allegedly responsible for abuse/neglect – this must be written
notification with a copy filed in the CA/N record
• Parents/custodians of children identified in the report – these individuals
shall be given a general description in person or in writing of the allegations
and informed that an abuse/neglect CA/N assessment is being conducted. The
“Letter Notifying Parent Or Primary Caregiver Of Allegations” can be
generated through FACTS if written notification is the method used. The
identity of alleged person(s) responsible for abuse/neglect of identified
children may be revealed to the parents/custodians only. The
parents/custodians must also be advised that their children should not be
questioned or probed for information while the CA/N assessment is in
progress as this may contaminate the evidence in the event a criminal case is
initiated. Child welfare staff may also request that the parents/custodians
observe their children for any unusual behavioral symptoms, and if any are
noted, that they contact the person conducting the CA/N assessment.
Information Collection
Child welfare staff conduct individual, private interviews with the following persons.
• Children allegedly abused/neglected – it is preferable that these interviews
be conducted away from the day care center’s premises. Child welfare staff
are prohibited from transporting children away from the center unless the
children are in DHR custody.
• Persons allegedly responsible for the abuse/neglect – if the request for an
individual, private interview is denied, child welfare staff shall document the
circumstances in the CA/N record.
• Collaterals – all individuals who reportedly have information about the
alleged abuse/neglect; witnesses to the alleged incident.
• Other children at the day care center – depending on the case situation,
child welfare staff may also need to interview other children at the day care
center in order to corroborate information received from the children
identified in the report or to seek out other children who may be experiencing
abuse/neglect. These children should be interviewed privately, and their
parents/custodians must be notified in person or by telephone before the
interview whenever possible. Written notification is not required and “Letter
Notifying Parent Or Primary Caregiver Of Allegations” generated through
FACTS shall not be used for notification purposes. If prior notification is not
feasible, the parents/custodians must be contacted as soon after the interview
Child Protective Services Policies And Procedures
Revision No. 10
Effective February 22, 2005
9
as possible. The parents may be told information their children revealed; however, the
identity of the alleged person(s) responsible for abuse/neglect shall not be revealed to
parents/custodians of other children in the center and caution must be taken not to
divulge any confidential information regarding other children and their families.
Dispositions, Notifications, Due Process Rights And Central Registry Data Entry
A disposition shall be reached for each allegation and each person allegedly responsible
for the abuse/neglect per CA/N Assessment policy, section IV. C. 1.
Child welfare staff shall provide persons allegedly responsible for the abuse/neglect with
written notification of the disposition upon completion of the CA/N assessment when the
disposition is “not indicated” or “unable to complete.” If the disposition is “indicated,”
the notification is considered a preliminary disposition and must include information on
due process rights. This notification may be hand-delivered or mailed. If mailed,
notifications to persons with “indicated” dispositions must be sent by both first-class and
certified mail. If a CA/N hearing is held, the hearing officer will notify persons allegedly
responsible for abuse/neglect as to the final disposition.
All individuals and agencies receiving notification of the allegations shall also be notified
about the disposition. The notification is provided at the completion of the CA/N
assessment for “not indicated” and “unable to complete” dispositions, and following the
provision of due process rights if the disposition is “indicated.”
Child welfare staff shall not disclose “indicated” dispositional information prior to a
CA/N hearing. If the safety of the children in the day care center would be jeopardized
by withholding that information, the disposition may be shared with the day care
administrator prior to the hearing. The use of this emergency provision for sharing
information shall only be used after the county child welfare supervisor has contacted
SDHR Legal for concurrence.
Child welfare staff shall enter the final disposition into the Central Registry for
“indicated” dispositions following the CA/N hearing or when due process rights are
waived. All other dispositions are entered upon the CA/N assessment’s completion.
Child Protective Services Policies And Procedures
Revision N0. 53
Effective April 27, 2023
10
C. Family/Group Day Care Homes
Who Conducts The CA/N Assessment
CPS staff in the county where the day care home is located shall conduct the CA/N
assessment, and this person must not have responsibility for approving the home. SDHR
Office of Child Care Services may be present during CA/N assessment interviews.
Notification Of Allegations
Notifications shall include the following information, at a minimum.
• Incidents reported as alleged abuse/neglect;
• Names of children allegedly abused/neglected; and
• Dates/timeframes the incidents are alleged to have occurred.
The following entities shall be notified when the report is received. The notification may
be provided verbally or in writing.
• County’s Day Care Home Approval Unit
• Other County Departments – If the report involves a child who lives in a
county other than where the center is located, notify that county.
• DAs and LEAs per the county’s written working agreement.
• Day Care Home Provider (i.e., person whose name is on the Day Care
Home Approval) – if the person responsible for abuse/neglect is someone
other than the day care home provider.
The day care home provider shall also be kept informed about the CA/N
assessment and called upon, when appropriate, to expedite the CA/N
assessment process. Information that may be disclosed to this person
includes:
1. allegations reported and who, at the home, will be interviewed;
2. name(s) of the home employees or volunteers who have been
identified as responsible for the abuse/neglect;
3. approximate timeframe within which the CA/N assessment will be
completed; and
4. any other information that could prevent the abuse/neglect of other
children at the home.
Note: It may be appropriate for the person conducting the CA/N assessment
to request that the person responsible for abuse/neglect not have contact with
children at the home until the CA/N assessment is complete.
Child Protective Services Policies And Procedures
Revision No. 10
Effective February 22, 2005
11
The following notifications shall be provided within five (5) working days of the report’s
receipt. The notification may be provided personally during the initial contact or mailed.
• Persons allegedly responsible for abuse/neglect – this must be written
notification with a copy filed in the CA/N record
• Parents/custodians of children identified in the report– these individuals
shall be given a general description in person or in writing of the allegations
and informed that an abuse/neglect CA/N assessment is being conducted. A
county developed “Letter Notifying Parent Or Primary Caregiver Of
Allegations” should be written if written notification is the method used. The
identity of alleged person(s) responsible for abuse/neglect of identified
children may be revealed to the parents/custodians only. The
parents/custodians must also be advised that their children should not be
questioned or probed for information while the CA/N assessment is in
progress as this may contaminate the evidence in the event a criminal case is
initiated. Child welfare staff may also request that the parents/custodians
observe their children for any unusual behavioral symptoms, and if any are
noted, that they contact the person conducting the CA/N assessment.
Information Collection
Child welfare staff conduct individual, private interviews with the following persons.
• Children allegedly abused/neglected – it is preferable that these interviews
be conducted away from the day care home’s premises. Child welfare staff
are prohibited from transporting children away from the home unless the
children are in DHR custody.
• Persons allegedly responsible for the abuse/neglect – if the request for an
individual, private interview is denied, child welfare staff shall document the
circumstances in the CA/N record.
• Collaterals – all individuals who reportedly have information about the
alleged abuse/neglect; witnesses to the alleged incident.
• Other children at the day care home – depending on the case situation, child
welfare staff may also need to interview other children at the day care home
in order to corroborate information received from the children identified in the
report or to seek out other children who may be experiencing abuse/neglect.
These children should be interviewed privately, and their parents/custodians
must be notified in person or by telephone before the interview whenever
possible. Written notification is not required and “Letter Notifying Parent Or
Primary Caregiver Of Allegations” generated through FACTS shall not be
used for notification purposes. If prior notification is not feasible, the
parents/custodians must be contacted as soon after the interview as possible.
Child Protective Services Policies And Procedures
Revision No. 15
Effective June 1, 2007
12
The parents may be told information their children revealed; however, the
identity of alleged person(s) responsible for abuse neglect shall not be
revealed to parents/custodians of other children in the home and caution must
be taken not to divulge any confidential information regarding other children
and their families.
Dispositions, Notifications, Due Process Rights And Central Registry Data Entry
A disposition shall be reached for each allegation and each person allegedly responsible
for the abuse/neglect per CA/N Assessment policy, section IV. C. 1.
Child welfare staff shall provide persons allegedly responsible for the abuse/neglect with
written notification of the disposition upon completion of the CA/N assessment when the
disposition is “not indicated” or “unable to complete.” If the disposition is “indicated,”
the notification is considered a preliminary disposition and must include information on
due process rights. This notification may be hand-delivered or mailed. If mailed,
notifications to persons with “indicated” dispositions must be sent by both first-class and
certified mail. If a CA/N hearing is held, the hearing officer will notify persons allegedly
responsible for abuse/neglect as to the final disposition.
All individuals and agencies receiving notification of the allegations shall also be notified
about the disposition. The notification is provided at the completion of the CA/N
assessment for “not indicated” and “unable to complete” dispositions, and following the
provision of due process rights if the disposition is “indicated.”
CA/N Hearings are not extended to the day care provider’s family members unless the
family member has been identified as the day care home’s substitute care provider.
Family members allegedly responsible for abuse/neglect (not entitled to a CA/N hearing)
with a preliminary disposition of “indicated” are entitled to an administrative record
review. Information obtained about the day care provider’s family members can be used
to determine the ongoing approval of the day care home. The day care approval cannot
be suspended or revoked on the basis of the CA/N disposition unless the provider has
been given the opportunity for a CA/N hearing. Child welfare staff may, however,
advise parents/custodians of other children attending the day care home that there are
safety issues or the children may be at risk of serious harm.
Child welfare staff shall not disclose “indicated” dispositional information prior to a
CA/N hearing. If the safety of the children in the day care home would be jeopardized
by withholding that information, the disposition may be shared with the day care
provider prior to the hearing. The use of this emergency provision for sharing
information shall only be used after the county child welfare supervisor has contacted
SDHR Legal for concurrence.
Child welfare staff shall enter the final disposition into the Central Registry for
“indicated” dispositions following the CA/N hearing or when due process rights are
waived. All other dispositions are entered upon the CA/N assessment’s completion.
Child Protective Services Policies And Procedures
Revision No. 10
Effective February 22, 2005
13
D. Foster Family Homes Approved By DHR
Who Conducts The CA/N Assessment
CPS staff in the county where the foster family home is located shall conduct the CA/N
assessment, and this person must not have responsibility for approving the home. The
county’s resource staff (i.e., foster family home approval staff) and/or the child’s foster
care worker may be present during CA/N assessment interviews if necessary.
Notification Of Allegations
Notifications shall include the following information, at a minimum.
• Incidents reported as alleged abuse/neglect;
• Names of children allegedly abused/neglected; and
• Dates/timeframes the incidents are alleged to have occurred.
The following entities shall be notified when the report is received. The notification may
be provided verbally or in writing.
• SDHR’s Office of Foster And Out-of-Home Care
• County’s Resource Unit (i.e., foster family home approval unit)
• Other County Departments – If the report involves a child who lives in a
county other than where the home is located, notify that county.
• DAs and LEAs per the county’s written working agreement.
The following notifications shall be provided within five (5) working days of the report’s
receipt. The notification may be provided personally during the initial contact or mailed.
• Persons allegedly responsible for abuse/neglect – this must be written
notification with a copy filed in the CA/N record; if this person is the foster
parent, information on the Alabama State Foster Parent Association, its goals
of peer support and advocacy, and its toll-free telephone number (1-888-545-
2372) must also be included in the notification.
• Parents/custodians of children identified in the report – these individuals
shall be given a general description in person or in writing of the allegations,
informed that an abuse/neglect CA/N assessment is being conducted, and
notified about any protective actions taken. A county developed “Letter
Notifying Parent Or Primary Caregiver Of Allegations” should be written if
written notification is the method used. The identity of alleged person(s)
responsible for abuse/neglect of identified children may be revealed to the
parents/custodians only.
Child Protective Services Policies And Procedures
Revision No. 5
Effective August 1, 2003
14
Information Collection
Child welfare staff conduct individual, private interviews with the following persons.
• Children allegedly abused/neglected – it is preferable that these interviews
be conducted away from the foster family home. The child’s worker may be
present for the interview if that person’s presence would be beneficial to
CA/N assessment information collection.
• All other children in the home – purpose is to corroborate information
received from the reporter or other individuals interviewed during the CA/N
assessment and to identify if they, too, may be abused/neglected.
• Persons allegedly responsible for the abuse/neglect – if the request for an
individual, private interview is denied, child welfare staff shall document the
circumstances in the CA/N record.
• Non-offending foster parent (if one exists)
• Collaterals – all individuals who reportedly have information about the
alleged abuse/neglect; witnesses to the alleged incident.
Dispositions, Notifications, Due Process Rights And Central Registry Data Entry
A disposition shall be reached for each allegation and each person allegedly responsible
for the abuse/neglect per CA/N Assessment policy, section IV. C. 1.
Child welfare staff shall provide persons allegedly responsible for the abuse/neglect with
written notification of the disposition upon completion of the CA/N assessment when the
disposition is “not indicated” or “unable to complete.” If the disposition is “indicated,”
the notification is considered a preliminary disposition and must include information on
due process rights. This notification may be hand-delivered or mailed. If mailed,
notifications to persons with “indicated” dispositions must be sent by both first-class and
certified mail. If a CA/N hearing is held, the hearing officer will notify persons allegedly
responsible for abuse/neglect as to the final disposition.
All individuals and agencies receiving notification of the allegations shall also be notified
about the disposition. The notification is provided at the completion of the CA/N
assessment for “not indicated” and “unable to complete” dispositions, and following the
provision of due process rights if the disposition is “indicated.”
When foster parents have been identified as responsible for the abuse/neglect and the
disposition is “indicated,” the foster parents’ right to a CA/N hearing does not preclude
DHR’s right to remove foster children from the foster home prior to the hearing.
Decisions to remove any foster children from foster homes shall be made by the child’s
ISP team, unless safety threats exist, and may occur at any stage of the CA/N assessment
process. If safety threats exist and the child must be removed immediately, an ISP must
be held within 72 hours of the removal. If a hearing is held, and the hearing officer
Child Protective Services Policies And Procedures
Revision No. 15
Effective June 1, 2007
15
reverses the County Department’s “indicated” disposition, DHR is not required to return
any foster children who were removed from the home if the ISP team determines that the
children’s return to the home is not in their best interests.
CA/N hearings are not extended to the foster parents’ family members, even if these
family members are part of the household. Family members allegedly responsible for
abuse/neglect with a preliminary disposition of “indicated” are entitled to an
administrative record review. Information obtained about the foster parents’ family
members can be used to determine the ongoing approval of the home. The foster family
home approval cannot be suspended or revoked on the basis of the CA/N disposition
unless the provider has been given the opportunity for a CA/N hearing. The CA/N
hearing must not be construed as a fair hearing on foster family homes in general. Code
of Alabama 1975 § 38-7-9 specifically excludes boarding homes and free homes from the
fair hearing process afforded to group child care facilities.
Child welfare staff shall not disclose “indicated” dispositional information prior to a
CA/N hearing. If the safety of the children in the home would be jeopardized by
withholding that information, the disposition may be shared prior to the hearing. The use
of this emergency provision for sharing information shall only be used after the county
child welfare supervisor has contacted SDHR Legal for concurrence.
Child welfare staff shall enter the final disposition into the Central Registry for
“indicated” dispositions following the CA/N hearing or when due process rights are
waived. All other dispositions are entered upon the CA/N assessment’s completion.
Child Protective Services Policies And Procedures
Revision No. 53
Effective April 27, 2023
16
E. Foster Family Homes Approved By Private Child-Placing Agencies Or A State
Agency Other Than DHR
Who Conducts The CA/N Assessment
CPS staff in the county where the home is located shall conduct the CA/N assessment.
Staff from the private child-placing agency or the other state agency may be present
during CA/N assessment interviews.
Notification Of Allegations
Notifications shall include the following information, at a minimum.
• Incidents reported as alleged abuse/neglect;
• Names of children allegedly abused/neglected; and
• Dates/timeframes the incidents are alleged to have occurred.
The following entities shall be notified when the report is received. The notification may
be provided verbally or in writing.
• SDHR’s Office of Resource Management (when the home is approved by
another agency) – this office will notify the other state agency, and may
request that the other agency forego notifying the foster parents about the
pending CA/N assessment. This office is to be notified at the receipt of
allegations involving children placed in programs or facilities licensed by
other state agencies.
• SDHR’s Office of Resource Management should also be notified of the
final disposition of all CANs involving children in these same programs.
Notification should occur after due process has been completed or is waived.
This is the division that will notify the other state agency of the final
disposition.
• Child-placing agency administrator – child welfare staff may request that
the agency forego notifying the foster parents about the pending CA/N
assessment.
• Other County Departments – If the report involves a child who lives in a
county other than where the home is located, notify that county.
• DAs and LEAs per the county’s written working agreement.
The following notifications shall be provided within five (5) working days of the report’s
receipt. The notification may be provided personally during the initial contact or mailed.
• Persons allegedly responsible for abuse/neglect – this must be written
notification with a copy filed in the CA/N record; if this person is the foster
parent, information on the Alabama State Foster Parent Association, its goals
of peer support and advocacy, and its toll-free telephone number (1-888-545-
Child Protective Services Policies And Procedures
Revision No. 10
Effective February 22, 2005
17
2372) must also be included in the notification.
• Parents/custodians of children identified in the report – these individuals
shall be given a general description in person or in writing of the allegations
and informed that an abuse/neglect CA/N assessment is being conducted. The
“Letter Notifying Parent Or Primary Caregiver Of Allegations” can be
generated through FACTS if written notification is the method used. The
identity of alleged person(s) responsible for abuse/neglect of identified
children may be revealed to the parents/custodians only.
Information Collection
Child welfare staff conduct individual, private interviews with the following persons.
• Children allegedly abused/neglected – it is preferable that these interviews
be conducted away from the foster home’s premises. The child’s worker may
be present for the interview if that person’s presence would be beneficial to
CA/N assessment information collection. Child welfare staff are prohibited
from transporting children away from the home unless the children are in
DHR custody.
• All other children in the home – purpose is to corroborate information
received from the reporter or other individuals interviewed during the CA/N
assessment and to identify if they, too, may be abused/neglected.
• Persons allegedly responsible for the abuse/neglect – if the request for an
individual, private interview is denied, child welfare staff shall document the
circumstances in the CA/N record.
• Collaterals – all individuals who reportedly have information about the
alleged abuse/neglect; witnesses to the alleged incident.
Dispositions, Notifications, Due Process Rights And Central Registry Data Entry
A disposition shall be reached for each allegation and each person allegedly responsible
for the abuse/neglect per CA/N Assessment policy, section IV. C. 1.
Child welfare staff shall provide persons allegedly responsible for the abuse/neglect with
written notification of the disposition upon completion of the CA/N assessment when the
disposition is “not indicated” or “unable to complete.” If the disposition is “indicated,”
the notification is considered a preliminary disposition and must include information on
due process rights. This notification may be hand-delivered or mailed. If mailed,
notifications to persons with “indicated” dispositions must be sent by both first-class and
certified mail. If a CA/N hearing is held, the hearing officer will notify persons allegedly
responsible for abuse/neglect as to the final disposition.
All individuals and agencies receiving notification of the allegations shall also be notified
about the disposition. The notification is provided at the completion of the CA/N
assessment for “not indicated” and “unable to complete” dispositions, and following the
Child Protective Services Policies And Procedures
Effective September 1, 2002 18
provision of due process rights if the disposition is “indicated.” If the home is approved
by another state agency, the Office of Licensing and Resource Development will provide
notification to that agency and address any corrective action that may be needed.
Due process rights are not extended to the foster parents’ family members, even if these
family members are part of the foster family household. Information obtained about the
foster parents’ family members can be used to determine the ongoing approval of the
home. The approval cannot be suspended or revoked on the basis of the CA/N
disposition unless the provider has been given the opportunity for a CA/N hearing.
Child welfare staff shall not disclose “indicated” dispositional information prior to a
CA/N hearing. If the safety of the children in the day care home would be jeopardized
by withholding that information, the disposition may be shared with the day care
provider prior to the hearing. The use of this emergency provision for sharing
information shall only be used after the county child welfare supervisor has contacted
SDHR Legal for concurrence.
Child welfare staff shall enter the final disposition into the Central Registry for
“indicated” dispositions following the CA/N hearing or when due process rights are
waived. All other dispositions are entered upon the CA/N assessment’s completion.
Child Protective Services Policies And Procedures
Effective September 1, 2002 19
F. Group Homes And Institutions Licensed By DHR
Who Conducts The CA/N Assessment
CPS staff in the county where the group home or institution is located shall conduct the
CA/N assessment. If children identified in the report are in the custody or planning
responsibility of another DHR county, the child’s worker may be present during the
interviews if it will benefit the CA/N assessment process.
Notification Of Allegations
Notifications shall include the following information, at a minimum.
• Incidents reported as alleged abuse/neglect;
• Names of children allegedly abused/neglected; and
• Dates/timeframes the incidents are alleged to have occurred.
The following entities shall be notified when the report is received. The notification may
be provided verbally or in writing.
• SDHR’s Office of Licensing And Resource Development
• Other County Departments – If the report involves a child who is in another
County’s custody or planning responsibility.
• DAs and LEAs per the county’s written working agreement.
• Group home or institution administrator – if the administrator has been
identified as the person responsible for the abuse/neglect, notify the governing
board chairperson or other appropriate governing authority.
The administrator (or governing chairperson or authority) shall also be kept
informed about the CA/N assessment and called upon, when appropriate, to
expedite the CA/N assessment process. Information that may be disclosed to
this person includes:
1. allegations reported and who, at the home, will be interviewed;
2. name(s) of the home employees or volunteers who have been
identified as responsible for the abuse/neglect;
3. approximate timeframe within which the CA/N assessment will be
completed; and
4. any other information that could prevent the abuse/neglect of other
children at the home.
Note: It may be appropriate for the person conducting the CA/N assessment
to request that the person responsible for abuse/neglect not have contact with
children at the home/institution until the CA/N assessment is complete.
Child Protective Services Policies And Procedures
Revision No. 10
Effective February 22, 2005
20
The following notifications shall be provided within five (5) working days of the report’s
receipt. The notification may be provided personally during the initial contact or mailed.
• Persons allegedly responsible for abuse/neglect – this must be written
notification with a copy filed in the CA/N record
• Parents/custodians of children identified in the report – these individuals
shall be given a general description in person or in writing of the allegations
and informed that an abuse/neglect CA/N assessment is being conducted. The
“Letter Notifying Parent Or Primary Caregiver Of Allegation” can be
generated through FACTS if written notification is the method used. The
identity of alleged person(s) responsible for abuse/neglect of identified
children may be revealed to the parents/custodians only.
Information Collection
Child welfare staff conduct individual, private interviews with the following persons.
• Children allegedly abused/neglected – it is preferable that these interviews
be conducted away from the home’s/institution’s premises. Child welfare
staff are prohibited from transporting children away from the home/institution
unless the children are in DHR custody.
• Persons allegedly responsible for the abuse/neglect – if the request for an
individual, private interview is denied, child welfare staff shall document the
circumstances in the CA/N record.
• Collaterals – all individuals who reportedly have information about the
alleged abuse/neglect; witnesses to the alleged incident.
Depending on the case situation, child welfare staff may also need to interview other
children at the home/institution in order to corroborate information received from the
children identified in the report or to seek out other children who may be experiencing
abuse/neglect. These children shall be interviewed privately, and their parents/custodians
shall be notified in person or by telephone before the interview whenever possible.
Written notification is not required and “Letter Notifying Parent Or Primary Caregiver
Of Allegations” generated through FACTS shall not be used for notification purposes. If
prior notification is not feasible, the parents/custodians must be contacted as soon after
the interview as possible. The parents may be told information their children revealed;
however, the identity of alleged person(s) responsible for abuse/neglect shall not be
revealed to parents/custodians of other children in the group home/institution and caution
must be taken not to divulge any confidential information regarding other children and
their families.
Dispositions, Notifications, Due Process Rights And Central Registry Data Entry
A disposition shall be reached for each allegation and each person allegedly responsible
for the abuse/neglect per CA/N Assessment policy, section IV. C. 1.
Child Protective Services Policies And Procedures
Effective September 1, 2002 21
Child welfare staff shall provide persons allegedly responsible for the abuse/neglect with
written notification of the disposition upon completion of the CA/N assessment when the
disposition is “not indicated” or “unable to complete.” If the disposition is “indicated,”
the notification is considered a preliminary disposition and must include information on
due process rights. This notification may be hand-delivered or mailed. If mailed,
notifications to persons with “indicated” dispositions must be sent by both first-class and
certified mail. If a CA/N hearing is held, the hearing officer will notify persons allegedly
responsible for abuse/neglect as to the final disposition.
All individuals and agencies receiving notification of the allegations shall also be notified
about the disposition. The notification is provided at the completion of the CA/N
assessment for “not indicated” and “unable to complete” dispositions, and following the
provision of due process rights if the disposition is “indicated.” The Office of Licensing
and Resource Development is responsible for addressing any corrective action that may
be needed.
Child welfare staff shall not disclose “indicated” dispositional information prior to a
CA/N hearing. If the safety of the children in the home/institution would be jeopardized
by withholding that information, the disposition may be shared with the administrator
prior to the hearing. The use of this emergency provision for sharing information shall
only be used after the county child welfare supervisor has contacted SDHR Legal for
concurrence.
Child welfare staff shall enter the final disposition into the Central Registry for
“indicated” dispositions following the CA/N hearing or when due process rights are
waived. All other dispositions are entered upon the CA/N assessment’s completion.
Child Protective Services Policies And Procedures
Revision No. 47
Effective January 29, 2020
22
G. Group Homes And Institutions Operated By State Agencies Other Than DHR
Who Conducts The CA/N Assessment
Law enforcement in the county where the group home/institution is located with the
assistance of the operating state agency. (See listing of facilities in the Appendix.)
Child Welfare Intake Responsibilities
• Child welfare staff shall inform reporters that they need to contact law
enforcement agency to complete an offense/incident report.
• County staff receiving these CA/N reports shall immediately contact SDHR’S
Division of Resource Management (which notifies the operating state
agency), and the law enforcement agency that has jurisdiction over the
home/institution. This initial contact may be made by telephone, but must be
followed up with a written intake summary and a DHR-FCS-1593, Written
Report of Suspected Child Abuse/Neglect.
• Maintain a copy of these documents in DHR’s CA/N record.
• If SDHR receives the CA/N report, child welfare staff in the county where the
home/institution is located will be notified by telephone. A DHR-FCS-1593,
Written Report of Suspected Child Abuse/Neglect, will be completed and sent
to the County Department for submission to the appropriate law enforcement
agency.
• SDHR’s Office of Licensing And Resource Management is to be notified at
the receipt of allegations involving children placed in programs or facilities
licensed by other state agencies. This division notifies the operating state
agency about the CA/N report and provides them with a copy of the 1593.
• SDHR’s Office of Licensing And Resource Management should also be
notified of the final disposition of all CANs involving children in these same
programs. Notification should occur after due process has been completed or
is waived. This is the division that will notify the other state agency of the
final disposition.
• County staff will provide the DHR-FCS-1593 to the facility administrator.
• Child welfare staff in the county where the home/institution is located shall
enter the CA/N report into the Central Registry upon receipt of law
enforcement’s completed investigation.
Child Protective Services Policies And Procedures
Revision No. 46
Effective January 8, 2020
23
Law Enforcement Investigations
Law enforcement shall attempt to complete their investigation within sixty (60) days of
receiving the report. They are also responsible for providing the written notification of
allegations to persons responsible for the abuse/neglect. When the investigation is
complete, a written report must be submitted to the County DHR where the
home/institution is located. The report must include the investigative findings, method
and date of notifications provided, and a disposition for the allegations and the person
allegedly responsible for the abuse/neglect.
Due Process Rights, Notification of Disposition, and Sharing CA/N Information
Child welfare staff shall provide the person responsible for abuse/neglect with written
notice of the opportunity for a CA/N hearing. This notification may be hand-delivered or
mailed. If mailed, notifications to persons with “indicated” dispositions must be sent by
both first-class and certified mail. If due process rights are waived, child welfare staff
shall then provide notification of the final disposition to the home’s/institution’s
administrator or designee. If a CA/N hearing is held, the Hearing Officer will provide
written notification of the disposition to the person responsible for abuse/neglect, and
child welfare staff shall then notify the administrator or designee.
Administrators or designees may be notified about “indicated” dispositions prior to a
CA/N hearing if the safety of children in the home/institution would be jeopardized by
withholding that information. The use of this emergency provision for sharing
information shall only be used after the county child welfare supervisor has contacted
SDHR Legal for concurrence.
Child welfare staff shall enter the final disposition into the Central Registry for
“indicated” dispositions when due process rights are waived or following the CA/N
hearing. All other dispositions are entered upon the CA/N assessment’s completion. A
copy of the completed investigation is then sent to the District Attorney’s office.
Child Protective Services Policies And Procedures
Revision No. 47
Effective January 29, 2020
24
H. Group Homes And Institutions Licensed/Certified (But Not Operated) By Other
State Agencies
Who Conducts The CA/N Assessment
CPS staff in the county where the home/institution is located shall enter the report into
the Central Registry and conduct the CA/N assessment. A staff member from the other
state agency may accompany CPS staff when both state agencies agree that it is
appropriate.
Notification Of Allegations
Notifications shall include the following information, at a minimum.
• Incidents reported as alleged abuse/neglect;
• Names of children allegedly abused/neglected; and
• Dates/timeframes the incidents are alleged to have occurred.
The following entities shall be notified when the report is received. The notification may
be provided verbally or in writing.
• SDHR’s Office of Licensing And Resource Management – is to be notified
at the receipt of allegations involving children placed in programs or facilities
licensed by other state agencies. This office will notify the state agency that
has licensing/certification responsibility.
• SDHR’s Office of Licensing And Resource Management- should also be
notified of the final disposition of all CANs involving children in these same
programs. Notification should occur after due process has been completed or
is waived. This is the division that will notify the other state agency of the
final disposition.
• Other County Departments – If the report involves a child in the custody or
planning responsibility of another county.
• DAs and LEAs per the county’s written working agreement.
• Group home/institution administrator – if the person responsible for
abuse/neglect is someone other than the administrator. If the administrator
has been identified as being responsible for the abuse/neglect, a staff member
designated by the licensing/certifying agency shall be notified.
The administrator or designee shall also be kept informed about the CA/N
assessment and called upon, when appropriate, to expedite the CA/N
assessment process. Information that may be disclosed to this person
includes:
1. allegations reported and who, at the home, will be interviewed;
2. name(s) of the home employees or volunteers who have been
identified as responsible for the abuse/neglect;
Child Protective Services Policies And Procedures
Revision No. 10
Effective February 22, 2005
25
3. approximate timeframe within which the CA/N assessment will be
completed; and
4. any other information that could prevent the abuse/neglect of other
children at the home.
Note: It may be appropriate for the person conducting the CA/N assessment
to request that the person responsible for abuse/neglect not have contact with
children at the home/institution until the CA/N assessment is complete.
The following notifications shall be provided within five (5) working days of the report’s
receipt. The notification may be provided personally during the initial contact or mailed.
• Persons allegedly responsible for abuse/neglect – this must be written
notification with a copy filed in the CA/N record
• Parents/custodians of children identified in the report – this notification is
the responsibility of child welfare staff in the County DHR that holds
custody/planning responsibility. If the group home/institution holds custody,
child welfare staff in the County DHR conducting the CA/N assessment shall
provide notification. Regardless of who is responsible for providing the
notification, the parents/custodians must not be notified until the
home/institution administrator or designee has been notified. Notification to
the parents/custodians in person or in writing shall include a general
description of the allegations, information that an abuse/neglect CA/N
assessment is being conducted, and information about any protective actions
taken. The “Letter Notifying Parent Or Primary Caregiver Of Allegations”
can be generated through FACTS if written notification is method used. The
identity of the alleged person(s) responsible for abuse/neglect of identified
children may be revealed to the parents/custodians only.
Information Collection
Child welfare staff conduct individual, private interviews with the following persons.
• Children allegedly abused/neglected – it is preferable that these interviews
be conducted away from the home’s/institution’s premises. Child welfare
staff are prohibited from transporting children away from the home unless the
children are in DHR custody.
• Persons allegedly responsible for the abuse/neglect – if the request for an
individual, private interview is denied, child welfare staff shall document the
circumstances in the CA/N record.
• Collaterals – all individuals who reportedly have information about the
alleged abuse/neglect; witnesses to the alleged incident.
Child Protective Services Policies And Procedures
Revision No. 10
Effective February 22, 2005
26
Depending on the case situation, child welfare staff may also need to interview other
children at the home/institution in order to corroborate information received from the
children identified in the report or to seek out other children who may be experiencing
abuse/neglect. These children should be interviewed privately, and their
parents/custodians must be notified in person or by telephone before the interview
whenever possible. Written notification is not required and “Letter Notifying Parent Or
Primary Caregiver Of Allegations” generated through FACTS shall not be used for
notification purposes. If prior notification is not feasible, the parents/custodians must be
contacted as soon after the interview as possible. The parents may be told information
their children revealed; however, the identity of alleged person(s) responsible for
abuse/neglect shall not be revealed to parents/custodians of other children in the group
home/institution and caution must be taken not to divulge any confidential information
regarding other children and their families.
Child welfare staff must also collect information related to any reports regarding
incidents occurring in the home/institution that involved the children identified in the
report and the person allegedly responsible for the abuse/neglect. The home’s
institution’s policies and procedures regarding the handling of these incidents must also
be reviewed.
Dispositions, Notifications, Due Process Rights And Central Registry Data Entry
A disposition shall be reached for each allegation and each person allegedly responsible
for the abuse/neglect per CA/N Assessment policy, section IV. C. 1.
Child welfare staff shall provide persons allegedly responsible for the abuse/neglect with
written notification of the disposition upon completion of the CA/N assessment when the
disposition is “not indicated” or “unable to complete.” If the disposition is “indicated,”
the notification is considered a preliminary disposition and must include information on
due process rights. This notification may be hand-delivered or mailed. If mailed,
notifications to persons with “indicated” dispositions must be sent by both first-class and
certified mail. If a CA/N hearing is held, the hearing officer will notify persons allegedly
responsible for abuse/neglect as to the final disposition.
All individuals and agencies receiving notification of the allegations shall also be notified
about the disposition. The notification is provided at the completion of the CA/N
assessment for “not indicated” and “unable to complete” dispositions, and following the
provision of due process rights if the disposition is “indicated.”
Child welfare staff shall not disclose “indicated” dispositional information prior to a
CA/N hearing. If the safety of the children in the group home/institution would be
jeopardized by withholding that information, the disposition may be shared with the
administrator/designee prior to the hearing. The use of this emergency provision for
sharing information shall only be used after the county child welfare supervisor has
contacted SDHR Legal for concurrence.
Child Protective Services Policies And Procedures
Revision No. 10
Effective February 22, 2005
27
Child welfare staff shall enter the final disposition into the Central Registry for
“indicated” dispositions following the CA/N hearing or when due process rights are
waived. All other dispositions are entered upon the CA/N assessment’s completion.
Child Protective Services Policies And Procedures
Revision No. 15
Effective June 1, 2007
28
I. Schools And Allegations Involving Discipline/Corporal Punishment
Who Conducts The CA/N Assessment
Code of Alabama 1975 § 26-14-6.1 stipulates that law enforcement agencies shall
conduct the investigation on CA/N reports where the person responsible for
abuse/neglect is a public or private school teacher or other school official and the
allegations involve discipline or corporal punishment.
School systems are allowed to set their own corporal punishment policies (Code of
Alabama 1975 § 16-28A-3). In addition, Title 26 does not apply to public school
teachers or other school employees when using corporal punishment as long as that
punishment is consistent with the established written discipline policies of the employing
board of education (Code of Alabama 1975 § 16-28A-2).
Note: SDHR Legal has interpreted that Code of Alabama 1975 § 26-14-6.1 does not
provide authorization for DHR to conduct abuse/neglect investigations involving
discipline or corporal punishment in school settings. All reports received by DHR
involving discipline or corporal punishment in schools must be forwarded to law
enforcement for investigation including incidents where the punishment deviates from
school board policy and seems excessive (e.g., choking, slapping, pulling hair, etc.), but
was used for the expressed purpose of maintaining order and discipline in the school
setting.
Intake Responsibilities
Child welfare staff that receive CA/N reports involving discipline or corporal punishment
in school settings shall, upon receipt, telephone the law enforcement agency that has
jurisdiction over the school about the report. The verbal report must then be followed up
by sending law enforcement a written intake summary and a completed DHR-DFC-1593,
Written Report of Suspected Child Abuse/Neglect. (Refer to Forms section for a sample
letter to law enforcement). A copy of these documents shall be maintained in DHR’s
CA/N record. Child welfare staff shall also inform reporters that they need to contact the
law enforcement agency to complete an offense/incident report.
If SDHR receives the CA/N report, the County Department will be notified by telephone,
and a DHR-DFC-1593, Written Report of Suspected Child Abuse/Neglect, will be sent to
the County Department for submission to the appropriate law enforcement agency.
If law enforcement determines the incident was consistent with the board of education’s
written discipline policy, the allegations are not considered a CA/N report and the report
is not entered into the Central Registry.
When law enforcement determines the incident was not consistent with established
discipline policy, they may investigate the incident as child abuse/neglect. Violation of
school board policy does not necessarily indicate that child abuse has occurred.
Child Protective Services Policies And Procedures
Revision No. 34
Effective March 1, 2017
29
Child welfare staff in the county where the school is located are responsible for entering
these CA/N reports into the Central Registry after law enforcement confirms that the
report will be or has been investigated as child abuse.
Law Enforcement Investigations
Law enforcement shall attempt to complete their investigation within sixty (60) days of
receiving the report. They are also responsible for providing the written notification of
allegations to persons responsible for the abuse/neglect. When the investigation is
complete, a written report must be submitted to the County DHR where the school is
located. The report must include the investigative findings, method and date of
notifications provided, and a disposition for the allegations and the person allegedly
responsible for the abuse/neglect.
Dispositions, Notification of CA/N Hearings, and Sharing CA/N Information
Child welfare staff shall provide the person responsible for abuse/neglect with written
notice of the opportunity for a CA/N hearing. This notification may be hand-delivered or
mailed. If mailed, notifications to persons with “indicated” dispositions must be sent by
both first-class and certified mail. If due process rights are waived, child welfare staff
shall then provide notification of the final disposition to the school principal or
superintendent. If a CA/N hearing is held, the Hearing Officer will provide written
notification of the disposition to the person responsible for abuse/neglect, and child
welfare staff shall then notify the school principal. If the school principal was identified
as the person responsible for the abuse/neglect, the notification must be sent to the
superintendent of the Board of Education.
Principals/superintendents may be notified about “indicated” dispositions prior to a
CA/N hearing if the safety of children in the school would be jeopardized by withholding
that information. The use of this emergency provision for sharing information shall only
be used after the county child welfare supervisor has contacted SDHR Legal for
concurrence.
Child welfare staff shall enter the final disposition into the Central Registry for
“indicated” dispositions when due process rights are waived or following the CA/N
hearing. All other dispositions are entered upon the CA/N assessment’s completion. A
copy of the completed investigation is then sent to the District Attorney’s office.
Child Protective Services Policies And Procedures
Effective September 1, 2002 30
J. Schools And Allegations Not Involving Discipline/Corporal Punishment
Who Conducts The CA/N Assessment
CPS staff in the county where the school is located shall conduct the CA/N assessment.
Notification Of Allegations
Notifications shall include the following information, at a minimum.
• Incidents reported as alleged abuse/neglect;
• Names of children allegedly abused/neglected; and
• Dates/timeframes the incidents are alleged to have occurred.
The following entities shall be notified when the report is received. The notification may
be provided verbally or in writing.
• DAs and LEAs per the county’s written working agreement.
• School Principal – if the principal has been identified as the person
responsible for abuse/neglect, the superintendent of the Board of Education
shall be notified and may designate another school official to act as the
contact person during the CA/N assessment.
The principal, superintendent or designee shall also be kept informed about
the CA/N assessment and called upon, when appropriate, to expedite the
CA/N assessment process. Information that may be disclosed to this person
includes:
1. allegations reported and who, at the school, will be interviewed;
2. name(s) of the school employees or volunteers who have been
identified as responsible for the abuse/neglect;
3. approximate timeframe within which the CA/N assessment will be
completed; and
4. any other information that could prevent the abuse/neglect of other
children at the school.
Note: It may be appropriate for the person conducting the CA/N assessment
to request that the person responsible for abuse/neglect not have contact with
children at the school until the CA/N assessment is complete.
The following notifications shall be provided within five (5) working days of the report’s
receipt. The notification may be provided personally during the initial contact or mailed.
• Persons allegedly responsible for abuse/neglect – this must be written
notification with a copy filed in the CA/N record
Child Protective Services Policies And Procedures
Revision No. 10
Effective February 22, 2005
31
• Parents/custodians of children identified in the report – these individuals
shall be given a general description in person or in writing of the allegations
and informed that an abuse/neglect CA/N assessment is being conducted. The
“Letter Notifying Parent Or Primary Caregiver Of Allegations” can be
generated through FACTS if written notification is the method used. The
identity of alleged person(s) responsible for abuse/neglect of identified
children may be revealed to the parents/custodians only. The
parents/custodians must also be advised that their children should not be
questioned or probed for information while the CA/N assessment is in
progress as this may contaminate the evidence in the event a criminal case is
initiated. Child welfare staff may also request that the parents/custodians
observe their children for any unusual behavioral symptoms, and if any are
noted, that they contact the person conducting the CA/N assessment.
Information Collection
Child welfare staff conduct individual, private interviews with the following persons.
• Children allegedly abused/neglected
• Persons allegedly responsible for the abuse/neglect – if the request for an
individual, private interview is denied, child welfare staff shall document the
circumstances in the CA/N record.
• Collaterals – all individuals who reportedly have information about the
alleged abuse/neglect; witnesses to the alleged incident. If an entire class
witnessed the incident, two (2) or three (3) children may be interviewed
instead of the entire class.
Dispositions, Notifications, Due Process Rights And Central Registry Data Entry
A disposition shall be reached for each allegation and each person allegedly responsible
for the abuse/neglect per CA/N Assessment policy, section IV. C. 1.
Child welfare staff shall provide persons allegedly responsible for the abuse/neglect with
written notification of the disposition upon completion of the CA/N assessment when the
disposition is “not indicated” or “unable to complete.” If the disposition is “indicated,”
the notification is considered a preliminary disposition and must include information on
due process rights. This notification may be hand-delivered or mailed. If mailed,
notifications to persons with “indicated” dispositions must be sent by both first-class and
certified mail. If a CA/N hearing is held, the hearing officer will notify persons allegedly
responsible for abuse/neglect as to the final disposition.
All individuals and agencies receiving notification of the allegations shall also be notified
about the disposition. The notification is provided at the completion of the CA/N
assessment for “not indicated” and “unable to complete” dispositions, and following the
provision of due process rights if the disposition is “indicated.”
Child Protective Services Policies And Procedures
Effective September 1, 2002 32
Child welfare staff shall not disclose “indicated” dispositional information prior to a
CA/N hearing. If the safety of the children in the school would be jeopardized by
withholding that information, the disposition may be shared with the principal,
superintendent, or designee prior to the hearing. The use of this emergency provision for
sharing information shall only be used after the county child welfare supervisor has
contacted SDHR Legal for concurrence.
Child welfare staff shall enter the final disposition into the Central Registry for
“indicated” dispositions following the CA/N hearing or when due process rights are
waived. All other dispositions are entered upon the CA/N assessment’s completion.
Child Protective Services Policies And Procedures
Effective September 1, 2002 33
K. Non-Finalized Adoptive Homes
“Non-finalized” means the child has been placed in the adoptive home and the Adoptive
Home Placement Agreement has been signed, but the final decree of adoption has not yet
been issued by the Probate Court.
Who Conducts The CA/N Assessment
CPS staff in the county where the adoptive home is located shall conduct the CA/N
assessment, and this person must not have responsibility for approving the home. The
person responsible for approving the home may be present during the CA/N assessment
interviews.
Notification Of Allegations
Notifications shall include the following information, at a minimum.
• Incidents reported as alleged abuse/neglect;
• Names of children allegedly abused/neglected; and
• Dates/timeframes the incidents are alleged to have occurred.
The following entities shall be notified when the report is received. The notification may
be provided verbally or in writing.
• SDHR’s Office of Adoption – when the report involves a child in DHR
permanent custody who has been placed in a non-foster parent adoptive home;
this office shall also be kept informed about the CA/N assessment’s progress
• County Resource Unit responsible for approving the home
• DAs and LEAs per the county’s written working agreement.
• Child-Placing Agency Administrator if placement was made by that agency
The agency administrator shall also be kept informed about the CA/N
assessment and called upon, when appropriate, to expedite the CA/N
assessment process. Information that may be disclosed to this person
includes:
1. allegations reported;
2. name(s) of the adoptive parent(s) who have been identified as
responsible for the abuse/neglect;
3. approximate timeframe within which the CA/N assessment will be
completed; and
4. any other information that could prevent the abuse/neglect of other
children in the home.
Child Protective Services Policies And Procedures
Effective September 1, 2002 34
The following notification shall be provided within five (5) working days of the report’s
receipt. The notification may be provided personally during the initial contact or mailed.
• Persons allegedly responsible for abuse/neglect – this must be written
notification with a copy filed in the CA/N record
Information Collection
Child welfare staff conduct individual, private interviews with the following persons.
• Children allegedly abused/neglected – it is preferable that these interviews
be conducted away from the adoptive home’s premises. Child welfare staff
are prohibited from transporting children away from the home unless the
children are in DHR custody.
• All other children in the home – purpose is to corroborate information in the
report and discovered during other CA/N assessment interviews as well as
determining if they, too, may be experiencing abuse/neglect
• Persons allegedly responsible for the abuse/neglect – if the request for an
individual, private interview is denied, child welfare staff shall document the
circumstances in the CA/N record.
• Non-offending adoptive parent if one exists
• Collaterals – all individuals who reportedly have information about the
alleged abuse/neglect; witnesses to the alleged incident.
In addition, a decision may be made to remove children from the adoptive home at any
time during the CA/N assessment process, and this decision is the responsibility of the
child’s ISP team. The adoptive parents right to a CA/N hearing does not preclude DHR’s
right to remove children prior to the hearing if the situation warrants the removal.
Dispositions, Notifications, Due Process Rights And Central Registry Data Entry
A disposition shall be reached for each allegation and each person allegedly responsible
for the abuse/neglect per CA/N Assessment policy, section IV. C. 1.
Child welfare staff shall provide persons allegedly responsible for the abuse/neglect with
written notification of the disposition upon completion of the CA/N assessment when the
disposition is “not indicated” or “unable to complete.” If the disposition is “indicated,”
the notification is considered a preliminary disposition and must include information on
due process rights. This notification may be hand-delivered or mailed. If mailed,
notifications to persons with “indicated” dispositions must be sent by both first-class and
certified mail. If a CA/N hearing is held, the hearing officer will notify persons allegedly
responsible for abuse/neglect as to the final disposition.
Child Protective Services Policies And Procedures
Effective September 1, 2002 35
All individuals and agencies receiving notification of the allegations shall also be notified
about the disposition. The notification is provided at the completion of the CA/N
assessment for “not indicated” and “unable to complete” dispositions, and following the
provision of due process rights if the disposition is “indicated.”
Due process rights are not extended to the adoptive parents’ family members, even if
these family members are part of the household. Information obtained about the adoptive
parents’ family members can be used to determine the ongoing approval of the home.
Child welfare staff shall not disclose “indicated” dispositional information prior to a
CA/N hearing. If the safety of the children in the home would be jeopardized by
withholding that information, the disposition may be shared with the reporter or the
child-placing agency administrator prior to the hearing. The use of this emergency
provision for sharing information shall only be used after the county child welfare
supervisor has contacted SDHR Legal for concurrence.
Child welfare staff shall enter the final disposition into the Central Registry for
“indicated” dispositions following the CA/N hearing or when due process rights are
waived. All other dispositions are entered upon the CA/N assessment’s completion.
Child Protective Services Policies And Procedures
Revision No. 5
Effective August 1, 2003
36
L. All Other Out-of-Home Care Settings
Child welfare staff are responsible for conducting CA/N assessment on reports involving
incidents occurring other organized settings (e.g., church camps, unlicensed day care
home, Girl Scouts, Boy Scouts) where the person responsible for the abuse/neglect was
in a caregiver role (paid or volunteer) at the time of the alleged incident.
Who Conducts The CA/N Assessment
CPS staff in the county where the setting is located shall conduct the CA/N assessment.
Notification Of Allegations
Notifications shall include the following information, at a minimum.
• Incidents reported as alleged abuse/neglect;
• Names of children allegedly abused/neglected; and
• Dates/timeframes the incidents are alleged to have occurred.
The following entities shall be notified when the report is received. The notification may
be provided verbally or in writing.
• Other County Departments – If the report involves a child who lives in a
county other than where the camp or group activity is located, notify that
county.
• DAs and LEAs per the county’s written working agreement.
• Entity (e.g., person, agency, organization) responsible for supervising or
overseeing the person allegedly responsible for the abuse/neglect
The “entity” shall also be kept informed about the CA/N assessment and
called upon, when appropriate, to expedite the CA/N assessment process.
Information that may be disclosed to this person includes:
1. allegations reported and who will be interviewed;
2. name(s) of the person(s) identified as responsible for the
abuse/neglect;
3. approximate timeframe within which the CA/N assessment will be
completed; and
4. any other information that could prevent the abuse/neglect of other
children at the home.
Note: It may be appropriate for the person conducting the CA/N assessment
to request that the person responsible for abuse/neglect not have contact with
the children until the CA/N assessment is complete.
Child Protective Services Policies And Procedures
Revision No. 10
Effective February 22, 2005
37
The following notifications shall be provided within five (5) working days of the report’s
receipt. The notification may be provided personally during the initial contact or mailed.
• Persons allegedly responsible for abuse/neglect – this must be written
notification with a copy filed in the CA/N record
• Parents/custodians of children identified in the report – these individuals
shall be given a general description of the allegations in person or in writing
and informed that an abuse/neglect CA/N assessment is being conducted. The
“Letter Notifying Parent Or Primary Caregiver Of Allegations” can be
generated through FACTS if written notification is the method used. The
identity of alleged person(s) responsible for abuse/neglect of identified
children may be revealed to the parents/custodians only. The
parents/custodians must also be advised that their children should not be
questioned or probed for information while the CA/N assessment is in
progress as this may contaminate the evidence in the event a criminal case is
initiated. Child welfare staff may also request that the parents/custodians
observe their children for any unusual behavioral symptoms, and if any are
noted, that they contact the person conducting the CA/N assessment.
Information Collection
Child welfare staff conduct individual, private interviews with the following persons.
• Children allegedly abused/neglected
• Persons allegedly responsible for the abuse/neglect – if the request for an
individual, private interview is denied, child welfare staff shall document the
circumstances in the CA/N record.
• Collaterals – all individuals who reportedly have information about the
alleged abuse/neglect and witnesses to the alleged incident. If all the children
in the camp or group activity witnessed the incident, two (2) or three (3)
children may be interviewed.
Dispositions, Notifications, Due Process Rights And Central Registry Data Entry
A disposition shall be reached for each allegation and each person allegedly responsible
for the abuse/neglect per CA/N Assessment policy, section IV. C. 1.
Child welfare staff shall provide persons allegedly responsible for the abuse/neglect with
written notification of the disposition upon completion of the CA/N assessment when the
disposition is “not indicated” or “unable to complete.” If the disposition is “indicated,”
the notification is considered a preliminary disposition and must include information on
due process rights. This notification may be hand-delivered or mailed. If mailed,
notifications to persons with “indicated” dispositions must be sent by both first-class and
certified mail.
Child Protective Services Policies And Procedures
Revision No. 5
Effective August 1, 2003
38
Due process rights for these individuals is provided through an administrative record
review, and if a review is held, the SDHR administrative record reviewer will notify the
persons allegedly responsible for abuse/neglect as to the final disposition.
All individuals and agencies receiving notification of the allegations shall also be notified
about the disposition. The notification is provided at the completion of the CA/N
assessment for “not indicated” and “unable to complete” dispositions, and following the
provision of due process rights if the disposition is “indicated.”
Child welfare staff shall not disclose “indicated” dispositional information prior to an
administrative record review. If the safety of the children in the out-of-home setting
would be jeopardized by withholding that information, the disposition may be shared
with the reporter and the entity supervising/overseeing the camp/group activity prior to
the hearing. The use of this emergency provision for sharing information shall only be
used after the county child welfare supervisor has contacted SDHR Legal for
concurrence.
Child welfare staff shall enter the final disposition into the Central Registry for
“indicated” dispositions following the record review or when due process rights are
waived. All other dispositions are entered upon the CA/N assessment’s completion.

https://dhr.alabama.gov/wp-content/uploads/2021/05/CPS-09-DHR-Protocol-to-Allegations-Involving-Substance-Affected.pdf

DHR Protocol to Allegations Involving Substance Affected – Exposed
Children
Child Protective Services Policies And Procedures
Revision No. 37
Effective January 1, 2018
1
Purpose To inform County Department of Human Resources
of amendments made to the Child Abuse and
Treatment Act (CAPTA) by the Comprehensive
Addiction and Recovery ACT OF 2016 (CARA)
[Public Law 114-198].
The amendments relate to the needs of infants born
and identified as being affected by prenatal
substance and alcohol exposure and the
requirement that states have in place policies and
procedures that address the needs of substance
affected/exposed children.
Note: This release will reference policy and
procedures already in CPS policy, with additional
emphasis placed on CARA requirements for
developing and documenting a plan of safe care for
the affected children, family and/or caregiver.
Program Implications The Comprehensive Addiction and Recovery Act
(CARA) will require county departments, when
working with substance affected/ exposed children
to have procedures in place for immediate
screening, risk and safety assessment, and prompt
investigation of such reports.
Amendments made to CAPTA per CARA [Public
Law 114-198] will require DHR to implement the
following:
• Removal of the term “illegal” from CA/N
Allegations And Definitions, Positive Test for
Drugs at Birth/Drug Withdrawal. Refer to
Administrative Letter No. 7521;
• Require health care providers involved in the
delivery or care of infants who are affected
by substance use disorder, withdrawal
symptoms resulting from prenatal substance
exposure, or Fetal Alcohol Spectrum
Disorder to report all cases to DHR for
assessment. This includes those infants
who test positive for prescribed
medications and over the counter
medications. Refer to September 14, 2016,
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Children
Child Protective Services Policies And Procedures
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Effective January 1, 2018
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Infant Safe Care Planning Memorandum,
sent to Health Care Providers.
Code of Alabama 1975 § 26-14-3 addresses
mandatory reporting. Mandated reporters
include, hospital doctor, nurse, physician
office staff, etc. who must report known or
suspected child abuse/neglect to a “duly
constituted authority,” primarily DHR and
Law Enforcement. Refer to Child Protective
Services Policy (CPS), CA/N Introduction, E.
Child Abuse/Neglect Reporting, 1.
Mandatory.
• County development of a plan of safe care
that ensures the safety and well-being of an
infant born and identified affected by
substance abuse or withdrawal symptoms
resulting from prenatal drug exposure or a
Fetal Alcohol Spectrum Disorder. The plan
of safe care must address the health and
substance use disorder treatment needs of
both the infant and the affected family or
caregiver;
The Plan of Safe Care is required for infants
affected by all substance abuse, not just
illegal substance abuse, and must address
the immediate safety needs of the affected
infant, health and substance use disorder
needs of the affected family or caregiver; and
referrals to appropriate services that support
the affected infant and family or caregivers.
• SDHR Office of Data Analysis reports to the
National Child Abuse and Neglect Data
System (NCANDS) the number of infants
identified as being affected by substance
abuse or withdrawal symptoms resulting from
prenatal drug exposure or a Fetal Alcohol
Spectrum Disorder; the number of such
infants for whom a plan of safe care was
developed; and the number of such infants
for whom a referral was made for appropriate
services including services for the affected
family or primary caregiver. This information
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Effective January 1, 2018
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will be compiled from county data entered in
FACTS.
• Develop and implement as part of the
Individualized Service Plan (ISP) monitoring
systems regarding the implementation of
plans of safe care to determine the
appropriateness of services provided for the
infant and affected family.
Substance Affected/
Exposed Children
Allegations/Definitions
Present DHR policy lists the following
allegations/definitions relative to drug/alcohol
exposed children. Refer to CA/N Allegations And
Definitions.
A referral meets the criteria for investigation if one
or more of the allegations listed are present.
• Positive Test For Alcohol At Birth/Fetal
Alcohol Syndrome:
Child tests positive at birth for alcohol and/or
exhibits symptoms of fetal alcohol syndrome.
Fetal alcohol syndrome is associated with
growth, mental, and physical problems (e.g.
low birth weight, facial abnormalities, organ
dysfunction, etc.) that occur in a baby when a
mother consumes alcohol during pregnancy.
• Positive Test For Drugs At Birth/Drug
Withdrawal:
Infants who test positive at birth for drugs are
considered to be abused/neglected. Infants
who test positive at birth for prescription
medication or over the counter medications
due to the mother’s consumption and misuse
of prescription medications or over the
counter medications are considered to be
abused/neglected. Misuse of prescription
medications or over the counter medications
is defined as an excessive amount of the
medication in the infant’s system as
determined by a medical professional.
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Chemical Endangerment
(Methamphetamine):
Child(ren) are in a situation/environment
where through direct or indirect exposure
they ingest or inhale, a controlled substance
(methamphetamine) or chemical substance
(e.g., pseudoephedrine, Freon, sulfuric acid,
etc.) used in the production of
methamphetamine, and parents/primary
caregivers” purpose for being in possession
of the chemicals is to produce or
manufacture crystal meth for personal use or
distribution.
Note: Per DHR policy “reports on unborn children
are not accepted as CA/N reports. Child welfare
staff shall provide reporters with information about
other DHR programs and community resources as
appropriate.” Refer to CA/N Intake, IV. Analysis And
Decision Making, B. Case Situations Not Accepted
As CA/N Reports.
A report may be taken if there are other children in
the home who may be subjected to alleged
abuse/neglect due to the mothers drug/alcohol use.
Screening At Intake Upon receiving a referral from a hospital, doctor,
nurse, etc., regarding a drug exposed infant, child
welfare staff shall adhere to CA/N Intake Policy.
At intake County Departments shall accept and
enter in the Family, Adult, and Child Tracking
System (FACTS) all referrals from health care
providers alleging that an infant has been born
affected by illegal substance abuse or withdrawal
symptoms resulting from prenatal drug exposure
(legal or illegal substances). To enter in FACTS
access the Client Detail screen. Check the
Substance Affected/Exposed box. This checkbox
was recently added and will be enabled to capture
any substance affected/exposed children twelve
(12) months of age or younger. If the child is less
than twelve (12) months of age this intake cannot
be taken as an I & R and will have to be taken as a
CA/N or a CPS Prevention to be assessed.
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Only referral information received that meets the
department’s definition of alleged abuse/neglect
(i.e., risk of serious harm) is accepted as CA/N
reports. Refer to CA/N Intake, IV. Analysis And
Decision Making, A. CA/N Reports.
Referrals that do not meet the department’s
definition of alleged abuse/neglect (i.e., no risk of
serious harm) shall not be screened out and must
be accepted as a CPS Prevention referral. “If during
the assessment, safety threats are identified and a
safety plan is needed, the CPS Prevention
assessment stops and the case must be converted
to an abuse/neglect report.” Refer to Child
Protective Services, CPS Prevention Policy And
Procedures.
Investigative Response to
Reports Received at Intake
Involving Substance
Affected/ Exposed Infants
Child welfare staff shall follow standard CA/N
Assessment or CPS Prevention Policy in all cases
accepted for assessment.
Upon receiving a referral involving a substance
affected/exposed child(ren) investigative staff with
the county department shall respond immediately
to the hospital or any other location to see this child
to assess the severity of or potential for physical,
mental, or emotional harm to the child. Refer to
December 1, 2016 Memo, Amended Timely
Response to Intake Calls, from DHR Commissioner.
Per policy (CA/N Allegations And Definitions), when
the report is received before the infant is
discharged from the hospital, child welfare staff
must:
• make in-person contact with the mother,
• the infant,
• hospital medical staff prior to the infants
discharge,
• the mother’s and infant’s address must be
verified (e.g., relatives, Medicaid records,
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DHR records, postal service), and
• a home visit must be made within twelve (12)
hours after the infants discharge.
Per policy (CA/N Allegations And Definitions), when
the report is received after the infants discharge
from the hospital, child welfare staff must collect
and assess information about:
• conditions and circumstances related to the
substance use/misuse (e.g., type, frequency,
duration, underlying conditions);
• the presence of any other individuals (e.g.,
household members, friends) in the home
who may also be using/misusing substances
or influencing the parent’s substance
use/misuse;
• how the parent’s substance use/misuse is
impacting caregiving knowledge and skills;
• the parent’s ability to meet the infant’s unique
needs;
• adequacy of living arrangements and means
of financial support; and
• whether the mother has other children not
living with her; if so, those children
whereabouts, current living arrangement and
legal status. Specifically assess whether
there are safety and permanency needs
(e.g., mother left child in an inappropriate or
unsafe setting) in these children’s current
living arrangement. If there is any indication
that child safety is or was a concern for these
children (e.g., parental rights terminated),
consideration must be given as to whether
the same or similar circumstances and safety
issues may occur with this infant.
During the investigative process it is necessary to
determine whether the child may remain safely in
the home while treatment and services are provided
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to address the conditions which place the child at
risk of serious harm.
Safety assessment involves identifying and
evaluating safety threats, and assessing parents’ or
primary caregivers’ protective capacities. Child
welfare staff shall be alert to safety threats and
implement safety plans (in home, out-of-home [non
foster care]) as needed at any time during the
assessment. Refer to Safety Assessment, I.
Purpose, A. Determining Safety of Children.
Per policy, “all counties shall develop local
procedures for ensuring that, when a case is
opened for on-going services, an ISP is developed
within policy timeframes.” Refer to CA/N
Assessment, VI. Review, Approval, And
Assignment For On-going Services.
Developing And
Monitoring Plans of Safe
Care
A plan of safe care for any infant whom the
Department determines to be affected by substance
abuse or to be suffering from withdrawal symptoms
resulting from prenatal drug exposure shall be
developed with input from the following:
• parents and caregivers,
• health care providers involved in the mother’s
or child’s medical or mental health care, and
• other professionals and agencies involved in
serving the affected infant and family.
Developed as part of the Individualized Service Plan
(ISP) process (refer to Individualized Service Plans,
II. The Individualized Service Planning Process, A.
Assessment, 1. Plan of Safe Care), a plan of safe
care shall address the following:
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• the infant’s ongoing health, development,
and well-being;
• the parent’s/primary caregivers need for
treatment for substance use and mental
disorders;
• appropriate care for the infant who may be
experiencing neurodevelopmental or physical
effects or withdrawal symptoms from prenatal
substance exposure; and
• Services and supports that strengthen the
parent’s capacity to nurture and care for the
infant and to ensure the infants continued
safety and well-being.
A safety plan and plan of safe care may often
address the same processes and issues. A safety
plan will address identified and documented safety
threats. The plan of safe care goes beyond
immediate safety factors to address the affected
caregiver’s need for substance use and/or mental
health treatment and the health and developmental
needs of the affected infant.
“To achieve identified goals and desired case
outcomes requires the plan of safe care
incorporated in the ISP be monitored and evaluated
regularly by County Departments to determine its
effectiveness in producing desired outcomes.
Reviewing an ISP also includes reviewing the case
narrative. Supervisors review narratives to evaluate
the quality of casework practice and evidence of
outcomes for children and families. Narrative entries
must reflect elements of the ISP process, be directly
related to steps and goals, and demonstrate that
actions taken are supportive of the ISP and
children’s permanency goals.” Refer to Individualize
Service Plan Policy, II. The Individualized Service
Planning Process, C. Developing The Individualized
Service Plan, 8. Monitoring And Evaluating ISPs,
11. Supervisory Review And Approval.
Plans of safe care shall be entered in the
contact/narrative in FACTS. A Plan of Safe Care will
be added to the purpose box drop down pick list on
the narrative screen. Neither closure nor case
connect will be allowed without this narrative entry.
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Children
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The State Department of Human Resources Office
of Data Analysis shall monitor County Department’s
entry of plans of safe care in FACTS and provide
monthly data updates to county departments. The
Office of Data Analysis shall also make required
data reports to the National Child Abuse and
Neglect Data System (NCANDS).
In addition SDHR Office of Child Welfare Quality
Assurance as a normal part of onsite reviews will
randomly select and review plans of safe care to
ensure county staff is implementing steps outlined
in the plan of safe care. SDHR Office of Child
Welfare Quality Assurance will discuss findings with
the County Director and Supervisory staff within the
county department.
Supportive/Rehabilitative
Services
Child welfare staff, under provisions in Child Abuse
Prevention Act (CAPTA), shall refer all infants and
toddlers from birth to 36 months, with indicated
abuse/neglect reports received on or
after June 25, 2004 to AEIS. AEIS, a division of
Alabama Department of Rehabilitation Services, is
funded under Part C of the Individuals with
Disabilities Education Act (IDEA). Early
Intervention Services identifies through evaluation
infants and toddlers with a twenty five percent delay
in the major areas of development (e.g., physical,
social, adaptive, cognitive, or communication skills)
and provides early intervention supports and
services to eligible children. Refer to Child
Protective Services, Special CA/N Procedures,
Referral of Infants And Toddlers (under 36 months)
to Alabama Early Intervention Services (AEIS).
CPS must also offer and/or make referrals for
appropriate services. Preventive services include
supportive and rehabilitative services that are
provided to children and families to prevent out-of-
home placements. Supportive and rehabilitative
services for children and adults include, but are not
limited to the following:
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• case management;
• case planning;
• child day care services;
• family planning services; and
• clinical services
Transfer of Substance
Affected/Exposed Children
Cases Within County
Departments
It is important that there be minimal disruption in the
provision of on-going services to families. Transfer
of cases within a county department is guided by
each county’s organization and caseload standards.
Each county should develop a protocol for
transferring cases between workers and units. Refer
to Child Protective Services, Family Services Case
Record, II. Establishing And Maintaining Case
Records, D. Transferring Case Records Within A
County Department.

https://dhr.alabama.gov/wp-content/uploads/2024/05/CPS-11-Special-CAN-Procedures-2.pdf

SPECIAL CA/N PROCEDURES
Special CA/N Procedures
Child Protective Services Policies And Procedures
Revision No. 56
Effective May 03, 2024
i
TABLE OF CONTENTS
A. Restricted Cases 1
1. Determining Restricted Status 1
2. Assigning Restricted Status 1
3. Removing Restricted Status 1
B. CA/N Reports Involving DHR Employees And Close Working Associates 2
C. CA/N Reports Involving Children In DHR Permanent Custody 2
D. Community Notification Act Regarding Adult Convicted Sex Offenders 2
E. Community Notification Act Regarding Adjudicated Juvenile Sex Offenders 4
F. Medical Neglect Of Handicapped Infants Under One Year Of Age 6
1. Guidelines For Assessing Treatment Decisions 6
2. Multi-Disciplinary Team’s Evaluation Process 7
3. Decisions Regarding Continued DHR Intervention 8
G. Case Management Procedures When Families Move 8
H. Protective Service Alerts 9
I. Reports Involving Other States 9
J. Reports Involving Multiple County Departments 10
K. Reports Involving “Groups” Of Children In Out-Of-Home Settings 11
L. Multiple Reports Received On The Same Children 11
M. New Information On Prior CA/Ns With “Unable To Complete” Dispositions 12
N. Updating Completed CA/Ns With New Information 12
O. Referral Of Infants And Toddlers (under 36 months) to Alabama
Early Intervention Services (AEIS) 13
P. Suspension Protocol for CA/N Reports 14
Q. CA/N Reports Involving Child Sex Trafficking 15
R. Investigations/In-Home Cases Involving Runaway/Missing/Sex Trafficking………26
Children
Special CA/N Procedures
Child Protective Services Policies And Procedures
Revision No. 19
Effective February 1, 2010
1
A. Restricted Cases
“Restricted” is a status that, when applied to a specific case, means access to the case material
(written or automated data) is limited to designated individuals. Access to restricted cases is
determined according to security levels assigned by County DHR Directors and SDHR
supervisors.
1. Determining Restricted Status
Cases involving the following individuals shall be “restricted.”
• Current DHR employees (active, on leave, contract) and their immediate
family members, and
• Children in DHR permanent custody (including those in non-finalized
adoptive placements).
Cases involving close working associates of DHR may be restricted. County Directors
are responsible for identifying specific individuals (e.g., doctors, teachers, Multi-
Disciplinary Team members, QA committee members) in their county whose working
relationship with the County Department may be adversely affected by case information
being made available through county or statewide search. The restriction may also cover
that person’s spouse or children.
2. Assigning Restricted Status
County Departments shall restrict appropriate cases during Central Registry (i.e.,
FACTS) data entry. FACTS Help Desk will apply the restriction to all reports received
on these children prior to DHR being granted permanent custody. Child welfare staff
shall complete the revised memorandum “Request To Restrict CA/N Reports On Child In
DHR Permanent Custody” (Forms And Instructions) and give to a Mentor who shall
notify the FACTS Help Desk to restrict these reports by submitting the form to FACTS
Help Desk. A separate form must be completed for each child.
Case records (i.e., paper files) on restricted cases shall be stored in a secure location (e.g.,
locked drawer, locked file cabinet). County Departments shall develop local procedures
for storage that ensure the case material is accessed only by designated individuals.
3. Removing Restricted Status
The restricted status shall be removed on cases involving current employees (and their
immediate family members) after six (6) months of non-DHR employment. Other
individuals’ restriction status may be removed at the County Director’s discretion by
contacting the FACTS Help Desk. When the restricted status is removed, an individual’s
record becomes available for county and statewide inquiry.
Special CA/N Procedures
Child Protective Services Policies And Procedures
Revision No. 53
Effective April 27, 2023
2
B. CA/N Reports Involving DHR Employees And Close Working Associates
When CA/N reports are received on DHR employees or close working associates (refer to CA/N
Intake, section IV., C. 1., for additional information), the County Director or designee shall work
in partnership with another county DHR in close proximity to complete the CA/N assessment. If
needed, SDHR Office of Child Protective Services (CPS) consultant may be contacted for
assistance in determining who will conduct the CA/N assessment.
C. CA/N Reports Involving Children In DHR Permanent Custody
All CA/N reports involving children in DHR permanent custody shall be restricted and retain
that status indefinitely. Reports received between the date permanent custody was awarded and
the final placement date shall be restricted by the County Department. FACTS Help Desk will
apply the restriction to all reports received on these children prior to DHR being granted
permanent custody. Child welfare staff shall complete the revised memorandum “Request To
Restrict CA/N Reports On Child In DHR Permanent Custody” (Forms And Instructions) and
give to a Mentor who shall notify the FACTS Help Desk to restrict these reports by submitting
the form to FACTS Help Desk. A separate form must be completed for each child.
When children have been placed in an adoptive home and report that they were abused or
neglected while in a previous placement or in their birth parents’ home, the County Department
receiving the report shall notify SDHR’s Office of Adoption. If multiple counties need to be
involved in the CA/N assessment (e.g., adoptive home is in Mobile County and the child’s
previous placement or birth parents’ home is in Madison County), an adoption consultant will
serve as liaison between the counties. Child welfare staff in the county where the alleged
incident occurred will enter the CA/N into the Central Registry under the child’s birth name, and
the counties involved will work in partnership to complete the CA/N assessment. The child’s
adoptive name shall not be entered into the Central Registry and there is to be no cross-
referencing except by SDHR’s Office of Adoption.
When a current CA/N report is received on a child who has been placed for adoption, but the
adoption is not finalized, child welfare staff in the county where the child currently lives will
take the report using the child’s birth name, enter the report into the Central Registry as a
restricted case, and complete the CA/N assessment. Refer to Out-Of-Home Protocol for
additional information.
All inquiries, from any source, about CAN reports on children who are or were in DHR
permanent custody must be referred to SDHR’s Office of Adoption.
D. Community Notification Act Regarding Adult Convicted Sex Offenders
The Alabama Sex Offender Registration and Community Notification Act (Act No 2011-640),
Code of Alabama 1975, effective July 1, 2011, replaces Code of Alabama 1975 (§ 15-20-1
through 15-20-38).
§ 15-20-26 (c) provides that “no adult criminal sex offender shall establish a residence or any
other living accommodation where a minor resides.” However, “an adult criminal sex offender
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Revision No. 22
Effective October 1, 2011
3
may reside with a minor if the adult criminal sex offender is the parent, grandparent, stepparent,
sibling, or step sibling of the minor, unless one of the following conditions applies:
(1) The adult criminal sex offender’s parental rights have been or are in the process of being
terminated as provided by law.
(2) Any minor or adult child, grandchild, or stepchild of the adult criminal sex offender was
a victim of a criminal sex offense committed by the adult criminal sex offender.
(3) Any minor sharing a residence with the adult criminal sex offender at the time of the
offense was a victim of a criminal sex offense committed by the adult criminal sex
offender.”
(4) The adult criminal sex offender has at any time been convicted of any criminal sex
offense that involved a child, regardless of whether the offender was related to or shared
a residence with the victim. For purposes of this section the definition of “criminal sex
offense involving a child” specifies that a child is under the age of 12 in order for this
condition to apply [Code of Alabama 1975 § 15-20-21 (5)].
Furthermore, § 15-20-33 (a) provides that adult criminal sex offenders are covered by the Act for
life.
An adult “criminal sex offender” is defined in § 15-20-21 (1) as “a person convicted of any of
the criminal offenses identified in the law. These include, but are not limited to:
a. Rape in the first or second degree (§ 13A-6-61 or 13A-6-62);
b. Sodomy in the first or second degree (§13A-6-63 or 13A-6-64);
c. Sexual torture (§ 13A-6-65.1);
d. Sexual abuse in the first or second degree (§ 13A-6-66 or 13A-6-67);
e. Enticing a child to enter a vehicle, room, house, office, or other place for immoral
Purposes (§ 13A-6-69);
f. Promoting prostitution in the first or second degree (§ 13A-12-111 or 13A-12-112);
g. Violation of the Alabama Child Pornography Act (§ 13A-12-191, 13A-12-192,
13A-12-196, or 13A-12-197);
h. Kidnapping of a minor, except by a parent, in the first or second degree (§ 13A-6-43
or § 13A-6-44);
i. Incest (§ 13A-13-3) when the offender is an adult and the victim is a minor;
j. Soliciting a child by computer for the purposes of committing a sexual act and
transmitting obscene material to a child by computer (§ 13A-6-110 or 13A-6-111);
k. Any solicitation, attempt, or conspiracy to commit any of the offenses listed in
paragraphs a. to j., inclusive; and
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l. Any crime committed in any state or a federal, military, Indian, or a foreign country
jurisdiction which, if it had been committed in this state under the current provisions
of law, would constitute an offense listed in paragraphs a. to k., inclusive;
m. Sexual abuse of a child less than 12 years old (§ 13A-6-69.1);
n. A school employee having sexual contact with a student (§13A-6-82);
o. Foster parent engaging in a sex act, having sexual contact, or soliciting a sex act or
sex contact with a foster child as provided by (§13A-6-71); and
p. A member of the clergy having sexual contact with an individual under age nineteen
(19) or a protected person under age twenty-two (22) by (§13A-6-85).
When a County Department receives notice that a convicted sex offender has moved into a
residence in the county, all County Department files (i.e., paper and automated) shall be cleared
to determine if there is any information that indicates the individual is residing in the home with
a child under age eighteen (18).
If the County Department learns, from any source, that a convicted sex offender (adult or
juvenile) is living in the home where a child under age eighteen (18) resides, regardless of
whether or not the offender is exempt from the Act’s residency requirements, the County
Department shall complete a CA/N report using the “other risk of serious harm” allegation.
Both law enforcement and the District Attorney’s office shall be notified immediately. The
county shall conduct a CA/N assessment to determine child safety and the risk of serious harm to
any children residing in the home. Protective services, including court intervention, shall be
provided as needed.
E. Community Notification Act Regarding Adjudicated Juvenile Sexual Offenders
The Alabama Sex Offender Registration and Community Notification Act (Act No 2011-640),
Code of Alabama 1975, is also applicable to juvenile sexual offenders. A juvenile sex offender
is defined in § 15-20-21 (7) as an individual adjudicated delinquent of a criminal sex offense.
A juvenile sex offender age fourteen (14) or older at the time of the sex offense is subject to
registration and notification if adjudicated delinquent for any of the following sex offenses:
1. rape in the first degree (§ 13A-6-61);
2. sodomy in the first degree (§ 13A-6-63);
3. sexual abuse in the first degree (§ 13A-6-66);
4. sexual torture (§ 13A-6-65.1);
5. any offense committed in any other jurisdiction which, if it had been committed in this
state under the current provisions of law, would constitute an offense listed in
subdivisions (1) to (4);
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Effective October 1, 2011
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6. any offense committed in this state or any other jurisdiction, compatible to or more
severe than aggravated sexual abuse as described in 18 U.S.C. § 2241 (a) or (b); and any
attempt or conspiracy to commit any one of the offenses listed in subdivisions (1) to (6).
Upon release or upon adjudication of delinquency if the juvenile sexual offender is not
committed, a juvenile sexual offender adjudicated delinquent of any of the above listed sex
offenses on or after July 1, 2011, shall be subject to registration and notification for life. The
juvenile sex offender and the parent, custodian (e.g. child welfare staff if custody vested in
DHR) or guardian will register with law enforcement in each county in which the juvenile sex
offender resides or intends to reside immediately (e.g., within 3 business days). This
requirement shall also be applicable to a juvenile sex offender/youthful offender entering the
state to establish residence. Failure to provide registration information is a Class C Felony.
Note: If adjudicated prior to July 1, 2011, the juvenile sex offender shall be subject to
registration and notification for ten (10) years [§ 15-20-33 (b)] from the date of last release
from the offense.
The adjudicated juvenile sexual offender is prohibited from:
• establishing a residence or establishing other living accommodations, or applying for,
accepting or maintaining employment vocation or volunteer within 2,000 feet of a school,
or child care facility. A child care facility includes both DHR licensed and approved
facilities including foster parents as well as statutory exempt facilities like church day care
programs.
• applying for, accepting or maintaining employment/vocation/volunteer within 500 feet of
a playground/park/athletic field/facility/business where principal purpose is to
care/educate/entertain children; and
• changing his/her name (adult or juvenile) unless incident to a change in marital
status/religion.
When a County Department receives notice that an adjudicated juvenile sexual offender has
moved into a residence in the county, all County Department files (i.e., paper and automated)
shall be cleared to determine if there is any information that indicates the individual is residing
in the home with a child under age eighteen (18).
If the County Department learns, from any source, that an adjudicated juvenile sexual offender is
residing in the home where a child under the age of eighteen (18) resides, regardless of whether
or not the offender is in compliance with the Act’s notification/residency requirements, the
County Department shall complete a CA/N report using the “other risk of serious harm”
allegation, to determine child safety and the threat of serious harm to any children residing in the
home. Both law enforcement and the District Attorney’s office shall be notified immediately.
Protective services, including court intervention, shall be provided as needed.
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F. Medical Neglect Of Handicapped Infants Under One Year of Age
The medical neglect referenced in this section involves the withholding of medically indicated
treatment from infants solely on the basis of their present or anticipated mental or physical
impairment. When DHR receives these reports, child welfare staff shall take the following
actions.
• Begin the CA/N assessment immediately.
• Petition the court to have medical records produced if DHR is denied access.
• Notify SDHR’s Office of Child Protective Services about the petition as soon as
it has been filed.
The assessment guidelines and evaluation process described in the following sections apply to
these reports and shall also be applied to situations involving:
• other severely disabled children when DHR is called upon to intervene, on behalf of
the child, in the proposed medical treatment plan, and
• children in DHR custody or planning responsibility who are over age one (1) and
have a life-threatening medical condition.
1. Guidelines For Assessing Treatment Decisions
“Withholding medically indicated treatment” is defined as failure to respond to an
infant’s life-threatening conditions by providing treatment (including appropriate
nutrition, hydration and medication) which, in the treating physician’s reasonable
medical judgment, will most likely be effective in ameliorating or correcting all life-
threatening conditions.
“Infant” is defined as any child less than one year (1) of age. The reference to one year
of age does not imply that treatment should be changed or discontinued when an infant
reaches one year of age, or to affect or limit proper medical care standards for children
over one year of age.
“Reasonable medical judgment” is defined as medical judgment that would be made by a
reasonably prudent physician who is knowledgeable about the case and the treatment
possibilities with respect to the medical conditions involved.
In addition to infants less than one (1) year of age, the standards set forth in the definition
of “withholding medically indicated treatment” must be consulted during CA/N
assessments involving any medical treatment issues for children over age one (1) when
the children have been continuously hospitalized since birth, born extremely prematurely,
or have a long-term disability. In all such cases, the children must be provided
appropriate nutrition, hydration and medication.
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Treatment to ameliorate or correct all life-threatening conditions may be withheld
in the following situations:
• Child is chronically and irreversibly comatose; or
• Treatment would merely prolong death, would not be effective in
ameliorating or correcting all life-threatening conditions, or would
otherwise be futile in terms of the child’s survival; or
• The treatment itself, under such circumstances, would be inhumane.
During the course of the CA/N assessment, child welfare staff shall consult with the
Infant Care Review Committee (at the medical facility where the infant is a patient, if the
facility has one) for information, and obtain written recommendations regarding the
appropriate course of medical treatment and whether DHR intervention is necessary to
ensure that treatment is provided.
If the facility does not have an Infant Care Review Committee and the County
Department has an operational Multi-Disciplinary Team, consult the team for
information and written recommendations. Note: Appropriate medical experts (e.g.,
neonatologist, pediatric neurologist, pediatrician, immunologist) should be added to the
team when reviewing these cases.
In counties where there is no Infant Care Review Committee or operational Multi-
Disciplinary Team, child welfare staff must consult an independent specialist for written
recommendations.
2. Multi-Disciplinary Team’s Evaluation Process
The Multi-Disciplinary Team will review the child’s current and prospective medical
treatment plans. The review shall include, but is not limited to, the following:
• diagnosis;
• nutrition and hydration;
• medication;
• life-support equipment;
• resuscitation;
• surgery;
• diagnostic tests; and
• prognosis.
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The team shall consider the perspective and opinions of the treating physician, the
parents/legal custodians and other relatives when making its recommendation. The team
shall issue a written recommendation to DHR on the appropriate course of medical
treatment and whether DHR intervention is necessary to ensure that treatment is
provided.
3. Decisions Regarding Continued DHR Intervention
The written recommendation of the Infant Care Review Committee, Multi-Disciplinary
Team, or independent specialist shall be reviewed by staff from the appropriate county
DHR, Office of Child Protective Services, and SDHR Legal. These persons will decide
whether to accept, modify, or reject the recommendation.
County Departments shall file a petition for the court to review or intervene in the
treatment decision when any of the following conditions are present.
(1) There is a difference of opinion between any or all of the following:
• treating physician;
• Infant Care Review Committee, Multi-Disciplinary Team, or
independent specialist;
• Parents/legal custodians;
• DHR.
(2) The parents/legal custodians refuse or fail to make any treatment decision.
(3) The child is in DHR’s legal custody.
The court will normally give preference to the views of parents, legal guardians or
relatives who have significant attachments to the child. DHR bears the burden of proof
and must present clear and convincing evidence that the parents’/legal custodians’ view
is not in the child’s best interest.
If the preceding conditions are not present, child welfare staff shall document (in the case
record) all concerned parties’ agreement to the treatment plan and no further action is
necessary.
G. Case Management Procedures When Families Move
Refer to Transfer of Cases policy when families move to another county or state while CA/N
assessments are being conducted or on-going services are being provided. Transfer of Cases
policy also addresses exceptions to transferring case responsibility.
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H. Protective Service Alerts
Protective service alerts shall be used in case situations where a child’s/family’s exact
whereabouts are unknown and child welfare staff’s opinion is that further harm may come to the
child unless protective services are provided. Alerts are completed on the DHR-FCS-1597 and
submitted with the “Cover Memo For Child Protective Services Alert” (refer to Forms And
Instructions). Alerts must contain the following information:
• Name(s) of the state(s) to receive the alert;
• Identifying information on the children and family members (e.g., names, birth
dates, ethnicity, gender, social security numbers);
• Brief description of the child/family situation and DHR’s concerns;
• Child’s/family’s suspected destination (if known) and action requested if the
child/family is located (e.g., provide protective services, take child into protective
custody);
• child’s legal status and a copy of the court order if DHR holds custody; and
• name, address and phone number of DHR contact person if the child/family is
located.
Alerts to county DHR offices within Alabama may be sent directly to the appropriate office(s).
Alerts to other states must be routed through SDHR’s Office of Interstate Compact on the
Placement of Children (ICPC). The ICPC Office will submit the alert to the other state(s). If
assistance is needed with protective service alerts involving other states, contact your ICPC
consultant.
I. Reports Involving Other States
DHR may receive CA/N reports where an incident occurred in another state but the child
allegedly abused/neglected resides in Alabama. DHR has jurisdiction to investigate out-of-state
incidents of alleged abuse/neglect involving the following:
• children in the Department’s custody and the abuse/neglect is committed out-of-state by
Alabama foster parents, others authorized to care for children in DHR custody; other
individuals (non-caregiver), and
• Alabama children not in DHR custody who are allegedly abused/neglected in another
state.
Out-of state allegations of abuse/neglect of a child that resides in Alabama shall be entered in
FACTS (Family, Adult, and Children Tracking System) and completed in accordance with CA/N
Assessment policy. Child welfare supervisors shall contact SDHR’s Office of Child Protective
Services if there is any question about whether a case needs to be entered into the Central
Registry.
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Residency is defined for dependency proceedings in the Code of Alabama, 1975 § 12-15-302
(d) thusly “county where the child resides means the county in which the child and legal
custodian have established legal residence or have resided for six or more months of a calendar
year. (This term shall not include placements by a state department or agency).” (Act 2008-277,
§ 16).
Note: Establishing a legal residence is evidenced by where one pays utility bills, has registered
to vote, pays rent, etc.
County Departments shall request the other state’s assistance with interviewing pertinent
individuals residing in their state and to provide written documentation of those interviews.
Upon completion of the investigation, including due process, DHR staff are authorized to enter
investigative findings into the Central Registry as “indicated” or “not indicated” [Code of
Alabama 1975 § 26-14-8 (a)]. A code of “unable to complete” may be entered if for some
reason the investigation may not be completed per policy requirements.
County Departments may receive requests from other states for assistance in completing CA/N
assessments when incidents occur in the other state and the person allegedly responsible for
abuse/neglect (PAR) lives in Alabama. County Departments shall provide the requested
assistance and may handle the situation as an out-of-town inquiry (OTI), information and referral
(I&R) or the case may be opened on FACTS (Family, Adult, and Children Tracking System).
These cases (requests) are not entered into Alabama’s Central Registry as abuse/neglect reports.
Reports may also be received where a CA/N incident occurred in Alabama, but the child lives in
another state. County Departments are responsible for conducting these CA/N assessments and
shall request the other state’s assistance with interviewing pertinent individuals who reside in the
other state. These reports shall be entered into the Central Registry.
J. Reports Involving Multiple County Departments
Counties shall work in partnership to complete CA/N assessments on CA/N reports that involve
multiple counties (e.g., incident occurred in one county and the person allegedly responsible for
abuse/neglect lives in another county). Generally, the county where the children currently live
shall maintain case management responsibility for the CA/N assessment and other counties may
be requested to conduct interviews with pertinent individuals residing in their county and to
provide written documentation of those interviews.
Child welfare staff in the County Department where the intake information is received shall
enter that information into FACTS. Alabama statutes designate the Department to receive
reports of alleged abuse/neglect and not specific counties in which children may live. If the
children identified in the intake information currently live in another county, child welfare staff
shall immediately contact child welfare staff in county where the children currently live in order
to provide the intake information within sufficient time for initial child contact timeframes to be
met; to determine which county will conduct which interviews when individuals pertinent to the
report reside in multiple counties; and determine to whom the intake information must be
transferred. The information must be transferred by a supervisor and may be completed prior to
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or following the creation of a case. Refer to the FACTS Quick Reference Guide, sections on
Transferring a CPS or AANE Intake to Another County or Transferring a Case to Another
County.
The County Department receiving the CA/N report shall also provide notification of the
allegations to the District Attorney’s office and law enforcement in the county where the
incident occurred.
The County Department where the children live is responsible for:
• completing Central Registry data entry for the CA/N assessment; and
• submitting completed CA/N assessments to the District Attorney’s office and law
enforcement in the county where the incident occurred.
Note: If counties need assistance in determining which county will conduct specific CA/N
assessment functions, the County Department where the children live shall contact the Office of
Child Protective Services for assistance.
K. Reports Involving “Groups” Of Children In Out-Of-Home Settings
The following procedures shall be applied to incidents occurring in out-of-home settings.
• Separate CA/N assessments shall be conducted for all children in DHR custody or
planning responsibility who reside in foster family home settings, regardless of the
allegations.
• Separate CA/N assessments shall be conducted for each child when CA/N reports
involve “multiple” incidents and the allegations are unique to each child.
• A single CA/N assessment shall be conducted for a group of children when the
report involves “collective” incidents (i.e., allegations are the same for all the
children.
L. Multiple Reports Received On The Same Children
When multiple CA/N reports involving the same children/incidents/allegations are received from
different reporters, the first report received serves as the basis for the CA/N assessment, and
subsequent reports are documented as collateral contacts. When multiple CA/N reports are
received on the same children and the allegations are different, separate CA/N assessments shall
be conducted. If a disposition has not been reached on the original CA/N report, assessment of
the additional allegations may be documented using an FACTS case activity note on the original
report.
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M. New Information On Prior CA/Ns With “Unable To Complete” Dispositions
When new information is received that allows for completion of a CA/N assessment that had
previously been disposed of as “unable to complete,” child welfare staff shall follow one of the
steps below.
1. If the new information is received prior to the original timeframe for completion
(i.e., 120 days from the original report date if the report was received prior to 9/1/02, 90
days from the original report date if the report was received on or after 9/1/02), and 60
days from the original report date if the report was received on or after 3/1/17), contact
the FACTS Help Desk and request that the original report be re-opened. The FACTS Help
will delete the closure approval which changes the Referral Disposition to “pending”, and
the report is reassigned to the County Department. Child welfare staff shall complete the
CA/N assessment.
OR
2. If the new information is received after the original timeframe for completion
(i.e., 120 days from the original report date if the report was received prior to 9/1/02, 90
days from the original report date if the report was received on or after 9/1/02), and 60
days from the original report date if the report was received on or after 3/1/17), create a
new CA/N Intake and CA/N Assessment on FACTS. Complete a narrative entry in both
reports that references the other report and associates the new information to the original
“Unable To Complete” report.
N. Updating Completed CA/Ns In FACTS With New Information
New information received on completed CA/N assessments must be entered into the Central
Registry. When new information must be added to an original CA/N report on FACTS, child
welfare staff shall follow one of the steps below, depending on the specific case situation.
1. When the new information does not change the disposition and the CA/N
assessment is closed on FACTS, child welfare staff must notify the county mentor and
request that the CA/N assessment be put into pending status. It is the responsibility of
the county mentor to request that the FACTS Help Desk put the CA/N assessment into
pending status. The FACTS Help Desk will place the original CA/N assessment into
pending status, notify the county office of the status change, and county child welfare
staff shall enter the new information into FACTS. Because the pending status reopens
the CA/N assessment, the county supervisor shall enter the new information and
immediately close the CA/N assessment.
OR
2. If a court finds or other compelling evidence or information (e.g., DNA,
confession) substantiates, for the same incident involved in the original CA/N report, that
abuse/neglect occurred and that finding changes DHR’s disposition, persons responsible
for the abuse/neglect must receive written notice of the disposition’s change and their
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entitlement to due process. Child welfare staff must also enter documentation of the
change into the CA/N report’s narrative on FACTS. If the investigation is closed, child
welfare staff must notify the FACTS county mentor and request that the CA/N
assessment be put into pending status. It is the responsibility of the county mentor to
request that the FACTS Help Desk put the CA/N assessment into pending status. The
FACTS Help Desk will place the original CA/N report into “pending” status, notify the
county office of the status change, and the county supervisor will make the appropriate
change to the disposition.
OR
3. If the child victim reveals new information later (e.g., 120 days, 6 months, etc.)
on the same incident during therapy on a report entered on FACTS with a “not indicated”
disposition and the new information changes the “not indicated” finding to
“indicated”, child welfare staff will contact the FACTS county mentor who will then
contact the FACTS Help Desk and request the CA/N assessment be put into pending
status. Persons responsible for the abuse/neglect (PARAN) must be advised in writing
that the investigation has been reopened due to new information received, sent a new
disposition letter once the reopened investigation has been completed, and offer as
appropriate a CA/N hearing or administrative record review. Because the new
disposition letter is not in FACTS, the letter advising the PARAN that the case has been
reopened must be a county originated letter. The FACTS Help Desk will place the
original CA/N report into “pending” status, notify the county office of the status change,
and the county supervisor will make the appropriate change to the disposition.
O Referral Of Infants And Toddlers (under 36 months) To Alabama Early
Intervention Services (AEIS)
Child welfare staff, under provisions in Child Abuse Prevention Act (CAPTA), shall refer all
infants and toddlers from birth to 36 months, with indicated abuse/neglect reports received on or
after June 25, 2004 to AEIS. AEIS, a division of Alabama Department of Rehabilitation
Services, is funded under Part C of the Individuals with Disabilities Education Act (IDEA).
Early Intervention Services identifies through evaluation infants and toddlers with a twenty five
percent delay in the major areas of development (e.g., physical, social, adaptive, cognitive, or
communication skills) and provides early intervention supports and services to eligible children.
AEIS-DHR CAPTA referral form is required for all children who meet eligibility requirements
(i.e., must be under 36 months at time of indicated disposition). FACTS will generate the AEIS-
DHR CAPTA Referral Form (DHR-FCS-2121) from case participant information for children
under 36 months with an indicated disposition. Due process requirements must be completed for
the person allegedly responsible for abuse/neglect before disposing of a CA/N assessment and
before sending the DHR-FCS-2121 to Child Find. Referrals should be sent directly to the
attention of ADRS/EI, 602 South Lawrence Street, Montgomery, Alabama 36104, or faxed to
(334) 293-7393.
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AEIS staff may contact the DHR caseworker for additional information needed to process the
referral. Under Code of Alabama 1975 § 26-14-8 (c) (9) child welfare staff can share
information with AEIS. Refer to Child Protective Services Policies And Procedures, Central
Registry, E. Use And Disclosure Of CA/N Information.
Referrals to AEIS are documented in the service case record. Parental consent is not required
when making referrals to AEIS but, the referral should be discussed with the parents or primary
caregiver. AEIS assumes responsibility for obtaining written parental consent needed before
AEIS can conduct an evaluation for referred infants/toddlers not in the custody of the
Department. Child welfare staff shall pursue parental consent only when the referred
infant/toddler is in the custody of the Department.
Note: Part C of Individuals with Disabilities Education Act (IDEA) recognizes foster parents as
surrogate parents eligible to give written consent for evaluation when an infant/toddler is in
foster care. Child welfare staff are not recognized as surrogate parents under Part C and
therefore cannot give written parental consent for children in foster care even if DHR holds
custody. In order to satisfy both AEIS and departmental consent requirements for children in
our care both the foster parent and child welfare worker must sign the consent forms.
AEIS has seven district offices statewide. County Departments can contact the AEIS Child Find
toll free hotline: 1-800-543-3098 to find out the location of the nearest AEIS district office.
P. Suspension Protocol for CA/N Reports
CA/N reports are sometimes received by DHR that will require a joint investigation by DHR and
law enforcement (LEA) or require the assistance of an out-of-state agency (OSA) to complete.
The following definitions shall be used when considering entering reports in FACTS under
LEA/OSA.
A. Law Enforcement Agency (LEA) is defined in Code of Alabama § 36-21-40 as
“The state Department of Public Safety, The Alabama Board of Corrections, the
police department of each incorporated city or town, the department of each
sheriff of the state, including all deputy sheriffs, the Enforcement Division of the
State Department of Conservation and Natural Resources and the Public Service
Commission, and each public agency in the state charged with the enforcement of
any laws and the officers or employees of which have power as such officials or
employees to make arrests. The term does not include the National Guard or any
military organization.”
B. Out-of- State Agency (OSA) for purposes of this protocol is defined as an “agency in
another state responsible for providing child protective services in that state.”
Note: This is the only definition of an “out-of-state agency” applicable when entering the OSA
designation in FACTS. Do not suspend in FACTS for OSA if you are awaiting information
from any other out-of-state agency.
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Only the supervisor may document any data on the Suspension screen. This includes
suspension reason, request for suspension as well as approval of suspension. The worker is
not to enter any information on the Suspension screen.
Entry in FACTS using the LEA designation will be limited to the following situations:
• CA/Ns where DNA results are pending and DNA results will determine if the report is
“indicated”, “not indicated”;
• CA/N involving child death and autopsy is being conducted; and
• a criminal case linked to the CA/N report is pending. Refer to Child Protective Services
Policies and Procedures, Due Process, III. Administrative Record Reviews, A.
Administrative Record Reviews in Cases That Involve Criminal Prosecution.
CA/Ns in LEA status in FACTS must be kept on the agenda of the local multi-disciplinary team
or regular meetings of the child advocacy center and reviewed at least quarterly. FACTS
narrative must be updated after each meeting to reflect the status (e.g., new developments or no
changes) in the case status.
County Directors shall ensure that CA/Ns in LEA/OSA status is reviewed (access INVS 215
report) by appropriate supervisory staff at least quarterly to determine the appropriateness of
continuation of the case in LEA/OSA status. Contact the Office of Child Protective Services at
334-242-9500 for guidance if you have questions about the LEA/OSA status of a particular case.
C. Suspension for Administrative Record Review or Administrative Hearing
Referrals may be suspended for Administrative Record Review or Administrative Hearing only
after the PARAN has requested Administrative Record Review or Administrative Hearing and
that date has been documented in FACTS. Only the supervisor may document any data on the
Suspension screen. This includes suspension reason, request for suspension as well as
approval of suspension. The worker is not to enter any information on the suspension
screen.
Note: The County will use templates for the Indicated Letters To The PARAN until FACTS
moves the letters from the Suspension Screen to the Due Process Screen.
Q. CA/N Reports Involving Child Sex Trafficking
1. Overview
Under federal law (Preventing Sex Trafficking and Strengthening Families Act, H.R.
4980) if a minor under the age of eighteen (18) has been recruited, enticed, harbored,
transported, obtained, exploited, or maintained to engage in commercial sexual activity, a
sexually explicit performance, or the production of pornography, then the minor is a
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victim of sex trafficking. Any sexually exploited child under eighteen (18) is considered
a victim of sex trafficking, even if there is no force, fraud or coercion.
Child sex trafficking victims, like other child victims, come from multiple racial and
ethnic groups, socio economic backgrounds, and include both boys and girls. Victims
may be U.S. citizens or children trafficked to the U.S. from all regions of the world.
Runaway and homeless youths as well as LGBTQ (lesbian, gay, bisexual, transgender,
queer) youth are at particularly high risk for becoming victims, though some trafficked
youths continue living at home and attending school. Traffickers often exploit victims by
preying on their hopes to improve their lives or the lives of their families. Traffickers
also kidnap victims and use physical force, violence, or psychological stress to control
them and force them into sex trafficking.
The Department of Human Resources (DHR) is committed to the identification or, rescue
and protection of, and providing services for children who have allegedly been victims of
child sex trafficking. Victims rarely identify themselves as such and often come to the
attention of the Department due to another form of abuse, neglect, or abandonment.
2. Applicable State Law (Code of Alabama)
Section 13A-6-152
Human trafficking in the first degree.
(a) A person commits the crime of human trafficking in the first degree if:
(1) He or she knowingly subjects another person to labor servitude or sexual
servitude.
(2) He or she knowingly obtains, recruits, entices, solicits, induces, threatens,
isolates, harbors, holds, restrains, transports, provides, or maintains any minor for
the purpose of causing a minor to engage in sexual servitude.
(3) He or she knowingly gives monetary consideration or any other thing of value
to engage in any sexual conduct with a minor or an individual he or she believes
to be a minor.
(b) For purposes of this section, it is not required that the defendant have
knowledge of a minor victim’s age, nor is reasonable mistake of age a defense to
liability under this section.
(c) A corporation, or any other legal entity other than an individual, may be
prosecuted for human trafficking in the first degree for an act or omission only if
an agent of the corporation or entity performs the conduct which is an element of
the crime while acting within the scope of his or her office or employment and on
behalf of the corporation or entity, and the commission of the crime was either
authorized, requested, commanded, performed, or within the scope of the person’s
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employment on behalf of the corporation or entity or constituted a pattern of
conduct that an agent of the corporation or entity knew or should have known was
occurring.
(d) Any person who obstructs, or attempts to obstruct, or in any way interferes
with or prevents the enforcement of this section shall be guilty of a Class C
felony.
(e) Human trafficking in the first degree is a Class A felony.
Section 13A-6-153 – Human trafficking in the second degree.
(a) A person commits the crime of human trafficking in the second degree if:
(1) A person knowingly benefits, financially or by receiving anything of value,
from participation in a venture or engagement for the purpose of sexual servitude
or labor servitude.
(2) A person knowingly recruits, entices, solicits, induces, harbors, transports,
holds, restrains, provides, maintains, subjects, or obtains by any means another
person for the purpose of labor servitude or sexual servitude.
(3) A corporation, or any other legal entity other than an individual, may be
prosecuted for human trafficking in the second degree for an act or omission only
if an agent of the corporation or entity performs the conduct which is an element
of the crime while acting within the scope of his or her office or employment and
on behalf of the corporation or entity, and the commission of the crime was either
authorized, requested, commanded, performed, or within the scope of the person’s
employment on behalf of the corporation or entity or constituted a pattern of
conduct that an agent of the corporation or entity knew or should have known was
occurring.
(4) Any person who obstructs, or attempts to obstruct, or in any way interferes
with or prevents the enforcement of this section shall be guilty of a Class A
misdemeanor.
(b) Human trafficking in the second degree is a Class B felony.
3. Section 13A-6-151 – Definitions
The following are definitions of terms which child welfare workers may hear when
working sex trafficking cases.
(1) Coercion: Any of the following:
a. Causing or threatening to cause physical injury or mental suffering to any
person, physically restraining or confining any person, or threatening to
physically restrain or confine any person or otherwise causing the person
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performing or providing labor or services to believe that the person or another
person will suffer physical injury or mental suffering.
b. Implementing any scheme, plan, or pattern intended to cause a person to
believe that failure to perform an act would result in physical injury, mental
suffering, or physical restraint of any person.
c. Destroying, concealing, removing, confiscating, or withholding from the
person or another person, or threatening to destroy, conceal, remove,
confiscate, or withhold from the person or another person, the person’s or any
person’s actual or purported government records, immigration documents,
identifying information, or personal or real property.
d. Exposing or threatening to expose any fact or information that if revealed
would tend to subject a person to criminal prosecution, criminal or
immigration proceedings, hatred, contempt, or ridicule.
e. Threatening to report the person or another person to immigration officials or
to other law enforcement officials or otherwise blackmailing or extorting the
person or another person.
f. Controlling a person’s access to a controlled substance, as the term is defined
in Section 20-2-2.
g. Rape or sodomy or threatened rape or sodomy of any person, as defined in
Title 13A.
(2) Deception: Any of the following:
a. Creating or confirming an impression of any existing fact or past event which
is false and which the accused knows or believes to be false.
b. Exerting financial control over the person or another person by placing the
person or another person under the actor’s control as a security or payment of
debt, if the value of the services as reasonably assessed is not applied toward
the liquidation of the debt or the length and nature of those services are not
respectively limited and defined or the principal amount of the debt does not
reasonably reflect the value of the items or services for which the debt was
incurred or by preventing a person from acquiring information pertinent to the
disposition of the debt, referenced in this paragraph.
c. Promising benefits or the performance of services which the accused does not
intend to be delivered. Evidence of failure to deliver benefits or perform
services standing alone shall not be sufficient to authorize a conviction under
this article.
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d. Using any scheme, plan, or pattern, whether overt or subtle, intended to cause
any person to believe that, if the person did not perform such labor, services, acts,
or performances, the person or another person would suffer physical injury or
mental suffering.
(3) Labor Servitude: Work or service of economic or financial value which is
performed or provided by another person and is induced or obtained by coercion
or deception.
(4) Mental Suffering: A high degree of mental pain or emotional disturbances, such
as distress, anxiety, public humiliation, or psychosomatic physical symptoms. It is
more than mere disappointment, anger, resentment, wounded pride, or
embarrassment and must be a direct result of the crime of human trafficking.
(5) Minor: A person under the age of 19.
(6) Physical Injury: Impairment of physical condition or substantial pain.
(7) Sexual Conduct: Any of the following acts:
a. Sexual intercourse. This term shall have its ordinary meaning and occurs upon
a penetration, however slight; emission is not required.
b. Sexual contact. Any known touching for the purpose of sexual arousal,
gratification, or abuse of the following:
1. The sexual or other intimate parts of the victim by the actor.
2. The sexual or other intimate part of the actor by the victim.
3. The clothing covering the immediate area of the sexual or
other intimate parts of the victim or actor.
c. Sexual explicit performances, meaning an act or show intended to arouse,
satisfy the sexual desires of, or appeal to the prurient interests of patrons or
viewers, whether public or private, live, photographed, recorded, videotaped,
or projected over the Internet.
d. Commercial sex acts, meaning any sex act on account of which anything of
value is given, promised to, or received, directly or indirectly, by any person.
(8) Sexual Servitude: Any sexual conduct as defined in subdivision (3) of Section 14-
11-30, for which anything of value is directly or indirectly given, promised to, or
received by any person, which conduct is induced or obtained by coercion or
deception from a person; provided, however, that if the sexual conduct is with
a minor, no coercion or deception is required.
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(9) Trafficking Victim: Any person, including minors, subjected to labor servitude,
sexual servitude, or involuntary servitude.
4. Sex Trafficking Indicators
Recognizing key indicators of sex trafficking is the first step in identifying victims.
Though there is no standard indicator of a child sex trafficking victim, several indicators
associated with child sex trafficking includes but is not limited to the following:
• lying about age/false ID
• inconsistencies in story
• has engaged in prostitution or commercial sex acts
• excess amount of cash in possession (reluctant to explain its source)
• hotel keys and key cards
• chronic runaway/homeless youth
• any mention of a pimp/boyfriend
• refers to employer/boyfriend using slang such as “Daddy
Not all of the indicators listed above are present in every sex trafficking situation, and the
presence of any of the indicators is not necessarily proof of sex trafficking.
5. Intake
Child Protective Services becomes aware of child sex trafficking through reports from
the community, law enforcement, the child, etc. Victims rarely identify themselves as
such and often come to the attention of the Department due to another form of abuse,
neglect, or abandonment; or a secondary crime such as truancy, loitering, disturbing the
peace, theft, harassment or domestic violence. The following procedures shall be
followed for any intake regarding a child alleged/suspected to be a victim of sex
trafficking:
• Obtain detailed information as to why the reporter suspects child sex trafficking
(e.g., child engaged in commercial sexual activity, sexually explicit performance,
production of pornography, etc.). Reporters rarely use the term “trafficking” but
by listening carefully to what a caller says, intake staff may pick up on language
that could indicate possible sex trafficking.
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Note: Cases often come to the attention of the Department after regular work
hours. County departments shall follow their after hour protocol policy (refer to
Child Protective Services, After Hour On Call Procedures) when reports
involving child sex trafficking are received after-hours.
• Assess intake information received and determine if it constitutes a valid report
(refer to CA/N Intake, Analysis And Decision Making).
• The response time for sex trafficking allegations is immediate. Per CA/N Intake
policy “Immediate” is defined as “as soon as possible after a report is received,
but no later than twelve (12) hours from receipt of the intake information.
• Enter the sex trafficking allegation under the allegation screen in FACTS and
submit to supervisor through FACTS for review/approval.
• Assignment by Supervisor through FACTS after approval, to CA/N investigative
worker.
6. Investigation
• The Department must conduct a joint investigation involving a minor under the
age of eighteen using the current multidisciplinary team approach with local
Child Advocacy Centers (CAC), in every alleged sex trafficking case. Within
twenty four (24) hours), DHR must refer an alleged sex trafficking case to the
appropriate law enforcement agency having jurisdiction. Law enforcement where
the sex trafficking incident occurred will be responsible for investigating the
allegations jointly with DHR.
Child protective services are directed toward preventing or remedying the
abuse/neglect of children who are unable to protect themselves. The focus of law
enforcement is gathering information on the trafficker for the purpose of
prosecution.
Throughout the investigation, the Department and law enforcement agencies
should collaborate as appropriate and in accordance with the law. Sharing of
reports, investigatory tools and information is strongly encouraged to assist the
investigation of the criminal matter and the child protection proceeding. Per
Code of Alabama 1975 § 26-14-8 (c) information may be disclosed “for
investigation of child abuse or neglect by the police or other law enforcement
agency.” For additional information on sharing CA/N information refer to Child
Protective Services, Central Registry, E. Use And Disclosure of CA/N
Information.
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Revision No. 31
Effective February 16, 2016
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Note: Each county department per policy (refer to Child Protective Services,
General Policies And Procedures, C. Working Agreement With Law
Enforcement) shall have updated their written working agreement with law
enforcement agencies (LEAs) to address county protocol for the joint
investigation of child sex trafficking cases.
• Establish child’s legal residence. If the child resides in another county the county
where the child resides will be contacted and the child’s legal county of residence
will be required to provide case management services for the child. This may
include obtaining an order of shelter care to place the child, as needed. If the
county department where the trafficking occurred assumes case management
responsibility and determines that the legal residence is different, case
management responsibility will be transferred to the child’s legal county of
residence. If the child’s legal county of residence is unknown and remains
unknown, the county where the abuse occurred and the victim was recovered will
assume full responsibility for the case.
If the alleged child victim is an immigrant from another country, the county
where the child is located will assume case management responsibility. SDHR
Legal shall be contacted regarding specific instructions on how to proceed.
• Follow policy in Child Protective Services, CA/N Assessment, III. Information
Collection Protocol and the county working agreement with law enforcement
when investigating the alleged abuse/neglect (CA/N) allegation.
Note: For a runaway/missing child in the custody or care of a county department,
identified as a sex trafficking victim refer to Out-of-Home Care Policies And
Procedures, Sections Applicable To All Out-of-Home Care, J. Runaway/Missing
Children.
• Child welfare staff must follow the Departments protocol on medical
examinations for sexual abuse allegations, including obtaining a specialized
examination (i.e., preferably by a medical practitioner who specializes in child
sexual abuse) within seventy two (72) hours of contact with the child. If a
medical practitioner who specializes in sexual abuse medical examinations is not
immediately available, the alleged child victim may need to be examined in the
nearest hospital emergency room.
Note: In cases where out-of-home care is necessary, the alleged victim shall
receive an EPSDT screening as soon as possible, and within 10 days of entry into
care (refer to Out-of-Home Care, V. Health/Medical Care). The EPSDT
screening should include a behavioral/mental health screening, which may reveal
evidence of post-traumatic stress, substance use or abuse, including memory
impairment, anxiety, depression, addictions, panic attacks, or phobias.
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• Per Ala. Code §12-15-125 and § 12-15-306 law enforcement may take a minor
into custody without a court order if the officer has reasonable grounds to believe
that the child or minor is suffering from an illness or injury or is in immediate
danger from the surroundings of the child or minor and that the immediate
removal of the child or minor from those surroundings is necessary for the
protection of the health and safety of the child or minor. According to Ala. Code
§ 12-15-306 the person removing the child shall immediately deliver the child to
the Department of Human Resources. “Additionally, pursuant to Ala. Code § 26-
4-6, law enforcement, a designated employee of DHR, a person in charge of a
hospital or similar institution or any treating physician may take a child into
protective custody if there is immediate danger. However, such official is
required to immediately notify the court having jurisdiction of this action. The
protective custody cannot exceed seventy two (72) hours. DHR is also required
to be notified immediately in order that child-protective proceedings may be
initiated.
DHR shall file a petition with the court seeking a court order granting protective
custody of the alleged child victim when (a) there is reasonable cause to believe
that the child is at substantial risk of harm or is in surroundings that present an
imminent risk of harm and the child’s immediate removal from those
surroundings is necessary to protect the child’s health and safety, (b) the
circumstances warrant issuing an ex parte order pending the preliminary hearing,
(c) consistent with the circumstances, reasonable efforts were made to prevent or
eliminate the need for removal of the child, (d) no remedy other than protective
custody is reasonably available to protect the child, and (e)continuing to reside in
the home is contrary to the child’s welfare.
A summary removal (also known as shelter care) hearing must be held within
seventy-two (72) hours of taking children into protective custody. This hearing
determines if continued out-of-home care is needed. Refer to Child Protective
Services, Legal Proceedings, III. Dependency Proceedings, D. Hearings, 1.
Summary Removal/Shelter Care.
A minor allegedly abused or neglected placed by the court with DHR (i.e.,
temporary custody) may be placed in a licensed foster home, therapeutic foster
home, with a relative, or in a residential treatment facility. Be aware that the
minor may be looking for an opportunity to return as quickly as possible to the
situation from which they were removed (Stockholm syndrome). Flight risk must
be assessed. The placement setting should ensure the victim’s safety and allow
the victim to be interviewed in an appropriate setting.
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Effective February 16, 2016
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The child shall be placed in an appropriate placement, but child welfare staff must
ensure that when assessing for placement with family that the family has had no
involvement in the sex trafficking and that the trafficker will not have access to
the child or that the child has no access to the trafficker. Do not place a child
suspected of being a victim of sex trafficking with a parent, relative caregiver, or
legal custodian if there is reasonable suspicion that the person in question is a
trafficker or cannot protect the child.
If a child sex trafficking victim is returned home, child welfare staff must work
with the child and family to ensure that the child is safe, will not return to
trafficking and is receiving the appropriate services to assist in overcoming the
trauma and the desire to return to trafficking. As each case is very different, child
welfare staff must assess, along with the family and professionals treating the
trauma, what is required to maintain the child safely in the community? At no
time shall the child have access to the trafficker nor shall the trafficker have any
access to the child.
• Schedule an initial forensic interview within ten (10) days. Any interviewing of
the victim shall be coordinated with law enforcement. The forensic interview is
the first step in interviewing the child to find out if he or she has been mistreated.
The extent of the initial forensic interview may be influenced by allegations being
investigated, the ability to assess forensic interviewing resources and counties
written working agreement with law enforcement.
One of the objectives of forensic interviewing is to reduce the number of times
children are interviewed and thereby reduce additional trauma to the victim. Be
aware that secondary forensic interviews may be needed. These secondary
interviews are more in-depth and are usually conducted by specially trained
professionals.
Interviews shall be conducted in a child-friendly, sensitive and safe environment,
preferably at a Child Advocacy Center or other setting as deemed appropriate by
the local Multi-Disciplinary Team. Safety is imperative and paramount (i.e., the
alleged PARAN must not be given access to the alleged victim). A victim of sex
trafficking will not disclose if he or she does not feel safe. It may take several
continuing interviews to establish trust with a trafficking victim. Victims may not
tell the truth as they may have been told by their trafficker that law enforcement
will punish them, not help them. Rapport and trust are essential components of
the forensic interview of a sex trafficking victim.
An interpreter should be used if the child was born in a country outside of the
United States and does not speak fluent English. Interpreters should be
independent, qualified, and reliable. The interpreter should have no connection
with the trafficker, but the interpreter should have an understanding of trafficking.
Children, adults at the scene should not be asked to interpret.
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• Complete per Individualized Service Plan Policy, an initial ISP within thirty (30)
days of the determination made that the case will be opened for on-going child
welfare services. If an out-of-home care (e.g., foster care) removal occurs prior to
the ISPs development, the team must meet within 72 hours of the removal to
develop the initial ISP.
The initial ISP will be reviewed at a meeting of the child and family planning
team (e.g., ISP team) within thirty (30) days of the date the initial ISP was
developed. The team will determine if the current placement is the correct
placement for the child and determine if additional services are needed as a result
of any trauma or behavioral needs the child may have.
Thereafter, ISP reviews must occur at least every six months from the date of the
initial ISP and more frequently as needed. Refer and staff case with the county
Multi-Disciplinary team as soon as possible. Sex trafficking victims require
specialized services to insure that they are treated properly to prevent recidivism.
DHR is mandated to provide for the development and coordination of
Multi-Disciplinary Child Protection Teams throughout Alabama to assist
and supplement protective services for abused and neglected children
(§26-16-50). The team will be able to determine the correct placement of
the child and determine if additional services are needed as a result of any
trauma or behavioral needs the child may have. After the initial referral
case consultation shall take place at regular intervals. Refer to Child
Protective Services, Multi-Disciplinary Child Protection Teams, for
additional information.
Note: In assessing the need for specialized services, preference should be given
to seeking a therapist that specializes in treating victims of child sex trafficking.
When a child in foster care is in the physical custody of his parents and in need of
surgery or other medical treatment, the parents must give the necessary consent.
When the County Department is awarded temporary custody of a child by court
order; the Code of Alabama gives the Department full authority to make health
and medical decisions without court approval. Refer to Out-of-Home Care
Policies And Procedures, V. Health/Medical Care, B. Ongoing Medical Care, 2.
Authorization for Surgery or Other Medical Treatment, Emergency or Non-
Emergency.
7. Transfer of Cases Within County From Investigative Unit To Ongoing Unit
It is important that there be minimal disruption in the provision of on-going
services to families of sex trafficking victims. Each county should develop a
protocol for transferring sex trafficking cases between workers and units. The
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Revision No. 55
Effective August 28, 2023
26
following guidelines are recommended for transferring cases when counties have
specialized caseloads.
• The case should have no known uncontrolled safety threats at the
time of transfer.
• The sending unit should coordinate the case transfer with the
receiving unit. Supervisors of both units should be directly involved
and sign off on the case transfer.
• The family should be prepared for the transfer, including
introduction of the new worker, whenever possible.
• All paperwork (e.g., ISP, narrative recording) should be up-to-date
and completed based on the county’s protocol for transferring cases.
Note: Refer to Transfer of Cases for policy and procedures when families move
to another county or state while CA/N initial assessments are being conducted or
on-going services are being provided and for exceptions to transferring case
responsibility.
R. Investigations/In-Home Cases Involving Runaway/Missing/Sex Trafficking
Children
Preventing Sex Trafficking and Strengthening Families Act, P.L. 117-348 requires
agencies to report immediately to law enforcement and National Crime Information
Center database and to the National Center for Missing and Exploited Children. It also
authorizes and amends the Trafficking Victims Protection Act to include additional
communication and details when title IV-E agencies report missing or abducted children
to law enforcement and the National Center for Missing Children and Exploited
Children.
The Department works in partnership with parents/caretakers to locate and assess the
safety of any missing/runaway children from an active child protective service case or a
case involving an investigation. If a child is suspected to be missing/runaway or involved
in sex trafficking, the caseworker will request the parent/caretaker to contact law
enforcement and file a missing person report. Some law enforcement jurisdictions may
not be inclined to accept a missing report for a specified number of hours. However,
Federal law requires that law enforcement take a report on a missing child and there be
no wait time to take the report. In addition to law enforcement, parents/caretakers should
contact the National Center for Missing & Exploited Children (NCMEC) within twenty-
four hours of the child missing. The caseworker will provide the NCMEC hotline number
(800-843-5678) to the parent/caretaker. The caseworker should ask the parent/caretaker
to sign a release of information so the Department can obtain information, follow-up, and
provide assistance as needed. The parent/caretaker should provide biographical
information and photographs to law enforcement and NCMEC including the child’s
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physical features such as height, weight, sex, ethnicity, race, hair/eye color, piercings,
tattoos, scars, and clothes worn. In addition, the child’s pregnancy status, prescription
medications, suicidal tendencies, vulnerability to being sex trafficked and any other
health or risk factors, if known, should be given to law enforcement and NCMEC. The
date and time the child ran or left home as well as any other helpful information that will
assist in locating the runaway/missing child. Other information to provide may include
possible method of travel (e.g., car, public transportation, on foot, etc.), type of missing
occurrence (runaway, family abduction, non-family abduction, etc.), and any suspected
destinations.
The caseworker will provide oversight of case management activities to ensure safety
and well-being of the child; maintain regular contact with the parent/guardian, NCMEC
and local law enforcement as needed and explore ongoing efforts to locate the child.
Note: Refer to Out-of-Home Care Policy Section titled Sections Applicable to All Out-
of-Home Care for policy on children in out of home care (foster care, relative placement,
etc.)

https://dhr.alabama.gov/wp-content/uploads/2021/05/CPS-12-Due-Process.pdf

DUE PROCESS
Due Process
Child Protective Services Policies And Procedures
Revision No. 21
Effective August 1, 2011
i
TABLE OF CONTENTS
I. INTRODUCTION 1
II. CA/N HEARINGS 1
A. Notification Process for Administrative Hearings 2
B. Content Of Notification Letters for Administrative Hearings 3
C. Notification Of CA/N Hearings 4
D. Intra-Agency Review Of Cases Scheduled For CA/N Hearings 5
E. The CA/N Hearing 6
F. Post Hearing Procedures 6
G. Appeals of Administrative Hearings 7
III. ADMINISTRATIVE RECORD REVIEWS 8
A. Administrative Record Reviews in Cases That Involve Possible Criminal
Prosecution 8
B. Notification Procedures for Administrative Record Reviews 9
Due Process
Child Protective Services Policies And Procedures
Revision No. 15
Effective June 1, 2007
1
I. INTRODUCTION
The federal Child Abuse and Prevention Act (CAPTA) provides that all persons allegedly
responsible for abuse/neglect with substantiated (i.e., indicated) CA/N dispositions be given the
opportunity to disagree with the Department’s finding.
Alabama state law (Code of Alabama 1975 § 26-14-7.1) provides additional due process rights
to those individuals employed by licensed and license- exempt child care providers. Due process
under this statute is applicable only to those individuals currently employed or persons currently
connected with any facility, agency or home at the time the report was received.
Before entering the “indicated” disposition into the CA/N Central Registry, child welfare staff
shall provide these individuals with the opportunity to appeal DHR’s finding through a CA/N
hearing or an administrative record review.
Due process rights are not applicable to:
• situations where DHR conducts an assessment, evaluation, or home study and submits
a report pursuant to a court order or request (e.g., home evaluations on persons
involved in custody cases); and
• situations involving military personnel or incidents occurring on Indian reservations
when DHR does not conduct the CA/N assessment. Procedures for disclosing CA/N
information is governed by regulations and working agreements with military or tribal
authorities.
II. CA/N HEARINGS
Child welfare staff shall offer a CA/N hearing to the following individuals when they have been
identified as the person allegedly responsible for abuse/neglect and the preliminary CA/N
disposition is “indicated.”
• Any person who is approved, licensed, or certified to care for children; or
• Any person who is currently employed (i.e., professional, non-professional, contract)
by, serves as a volunteer for, or is connected with (e.g., students completing an
educational practicum, board members) any facility, agency, or home which cares for
and controls any children
AND
the facility is licensed, approved, or certified by the state; operated as a state facility; or
is any public, private, or religious facility or agency that may be exempt from licensing
procedures.
Note: A hearing must be offered to these individuals even when the person was reported to
have abused/neglected their own children. “Connected with” does not mean a family
relationship, but rather an individual being employed or licensed in some capacity with
any facility, agency, or home which cares for and controls any children.
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Child Protective Services Policies And Procedures
Revision No. 21
Effective August 1, 2011
2
Exceptions:
CA/N hearings are not provided to the following who do not meet all the criteria above for being
offered a CA/N hearing:
• day care providers’ family members who have not been clearly identified as the day care
home’s substitute care provider, or
• foster parents’ family members
A. Notification Process for Administrative Hearings
Before entering the “indicated” disposition into the Central Registry at the completion of
the CA/N assessment, child welfare staff shall provide persons allegedly responsible for
abuse/neglect with written notification of their right to a CA/N Hearing. Each person
identified as responsible for abuse/neglect must be sent a separate letter. If the person is
a minor (i.e., under age 19), the notification must be sent in care of the minor’s parents,
and the parents may request a hearing on behalf of their child.
The following procedure is used in notifying each person identified as responsible for
abuse/neglect and who qualifies for an administrative hearing.
• The notification may be mailed or hand-delivered. If mailed, send the notice
in the form of a certified letter, restricted delivery, return receipt requested and
by first-class mail with “Personal and Confidential” marked on the outside of
the envelope. The letter must be mailed the same day as the date on the letter.
If hand-delivered, child welfare staff shall document the delivery date in
FACTS. Retain a copy of the notification letter in the CA/N record.
• The person allegedly responsible for abuse/neglect has ten (10) working days
from receipt of the notification letter to provide the County Department with a
written request for a hearing. If the person fails to provide the written request
to the County DHR office within the designated timeframe, the opportunity for
a hearing is considered to be waived. Child welfare staff shall then enter the
“indicated” disposition into the Central Registry and provide notification of the
CA/N assessment findings to employers, prospective employers, facility
administrators, and/or approving/licensing/certifying agencies or groups as
appropriate.
When a written hearing request is received, child welfare staff shall send the original
request and a copy of the notification letter to the Office of Administrative Hearings,
State Department of Human Resources. Maintain a copy of the written request in the
CA/N record and enter the receipt date into the Central Registry.
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Child Protective Services Policies And Procedures
Revision No. 21
Effective August 1, 2011
3
Note: If the person allegedly responsible for abuse/neglect holds a DHR
approval/license to provide child care, the CA/N hearing may need to be held in
conjunction with a licensing hearing. The Office of Administrative Hearings will
coordinate any joint hearings with the Child Care Partnership or the Office of Licensing
And Resource Development.
B. Content of Notification Letters for Administrative Hearings
Notification letters to persons allegedly responsible for abuse/neglect shall contain, at a
minimum, the following:
The Department of Human Resources has completed its CA/N assessment of the
abuse/neglect allegations where you were identified as being responsible for the
abuse/neglect, and we have reasonable cause to believe the allegations are “indicated”
(i.e., true). The assessment revealed that on or about {enter the date} at {enter the
location when known} you {provide a brief, but specific description of the incident (e.g.,
left 4 year old ‘child’s name’ at home by herself from approximately 8:00 a.m. to 11:00
a.m.)} – it is not appropriate to list only the allegation.
The Department may share the findings with your employer or licensing/certifying
agency and may choose to share this information with future or prospective employers or
licensing/certifying agencies for the protection of children. Our findings will also be
entered into the Department’s Child Abuse and Neglect Central Registry as required by
state law (Code of Alabama 1975 § 26-14-8).
Before making a final determination on the abuse/neglect allegations, we are offering you
the opportunity to request a hearing to contest our findings. The hearing is investigative
in nature and is designed to obtain facts in an atmosphere that allows you to respond to
the allegations made against you. At the hearing, the Department will bear the burden of
proving the allegations against you, and will present witnesses and evidence in support of
the allegations. If you wish, you may be represented by a lawyer or other person at the
hearing, cross-examine witnesses, present additional information, testify, and present
your own witnesses.
If you want to request a hearing to contest our findings, you must notify us within ten
(10) working days of the date you received this letter. You must submit your request in
writing to the County Department at the address shown at the top of this letter. The
County Department must receive your written request by the 10th day. If we do not hear
from you within this time, your opportunity for a hearing will be considered waived. We
may then advise your employer or licensing/certifying agency of our findings and may
notify future or prospective employers or licensing/certifying agencies of our findings as
necessary for the protection of children and other vulnerable persons.
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Child Protective Services Policies And Procedures
Revision No. 5
Effective August 1, 2003
4
C. Notification Of CA/N Hearings
A CA/N hearing officer will schedule the hearing and provide notification of the hearing
date to the person allegedly responsible for abuse/neglect. A copy of the notification
letter will be sent to the County Department.
The hearing officer’s notification letter will inform persons allegedly responsible for
abuse/neglect of their rights which include:
• The right to present their own case or to be represented by legal counsel or by
any other person.
• The right to present written evidence, oral testimony, and witnesses.
• The right to be provided (by the County Department) a brief written statement
of the information that will be presented at the hearing, and that they must
request the statement prior to the hearing date. Note: If the hearing officer
requests additional information from the County Department, that information
must be returned to the hearing officer within the timeframe specified by the
officer or within five (5) working days of the request. Any written statement
provided by the County Department must not contain the reporter’s name unless
that person will be a witness for DHR, or unless DHR is later directed by the
hearing officer to release the reporter’s name.
• The right to review and copy (at a cost) any written or recorded statement made
by the person allegedly responsible for abuse/neglect to DHR personnel during
the course of the CA/N assessment. The person allegedly responsible for
abuse/neglect must request this information before the hearing date.
• The right to review and copy (at a cost), before or during the hearing, the
written material and other evidence in DHR’s possession that will be placed
into evidence at the hearing.
• The right to request an in camera (i.e., private) inspection of the CA/N record
by the hearing officer (not the person allegedly responsible for abuse/neglect) or
to request that an order be issued to DHR for the hearing officer to review
relevant DHR records to determine if there is any exculpatory evidence (i.e.,
evidence tending to clear or exonerate) in the records that is not available to the
person allegedly responsible for abuse/neglect through other sources and which
must be released as necessary to the constitutional fairness of the hearing. The
request must be made at least five (5) working days before the hearing date.
• The right to review and copy (at a cost) all non-confidential DHR documents
(e.g., policy material).
• The right to cross-examine witnesses testifying against them at the hearing.
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Child Protective Services Policies And Procedures
Revision No. 19
Effective February 1, 2010
5
• The right to request that subpoenas be issued to witnesses. This request must be
received no later than ten (10) days before the hearing unless the hearing officer
agrees to a shorter timeframe.
• The right to review and copy (at a cost) all documents in the official hearing file
maintained by the hearing officer.
D. Intra-Agency Review Of Cases Scheduled for CAN Hearings
As a part of the Department’s due process for CAN hearings, designated SDHR
Administrative Record Review Staff and county reviewers will conduct a preliminary
review of the CA/N record. The purpose of the preliminary review of the record is to
determine whether there is sufficient documentation in the record to support the
continuation of the hearing process and whether the person allegedly responsible for
abuse or neglect (PARAN) is entitled to a hearing in accordance with the Code of
Alabama. An administrative assignment (not a primary assignment) must be manually
created in FACTS to the SDHR CPS Program Manager and the county reviewer.
(Reference the FACTS Roadmap for Intra Agency CA/N Hearing Review).
If the preliminary review of the record determines that the person allegedly responsible
for abuse or neglect is not entitled to a hearing as defined in the Code of Alabama 1975
§26-14-7.1, SDHR Administrative Record Review Staff will ask the county staff to
request that their attorney file a motion with the Administrative Hearing Office to
withdraw the Administrative Hearing Request. County staff must notify the SDHR
Record Reviewer by e-mail or letter if the Motion to Withdraw is granted. Upon
notification from county staff that the Motion to Withdraw has been granted, the SDHR
Administrative Reviewer will provide written notification to the PARAN and the county
office that he/she is not entitled to an Administrative Hearing but is eligible for an
Administrative Record Review. The county office will update FACTS to reflect the
change to an Administrative Record Review.
If the preliminary record review completed by SDHR Administrative Record Review
Staff and the county reviewer determines that the PARAN is not entitled to an
Administrative Hearing, he/she would be entitled to an Administrative Record Review.
The SDHR Record Reviewer will notify the PARAN and/or the attorney of record in
writing that an Administrative Record Review will be conducted in their case and of the
PARAN’s right to submit additional written information as part of the review process.
The preliminary record review may be considered as the Administrative Record Review
pending receipt of additional information from the PARAN. From this point, policies
pertinent to Administrative Record Reviews apply, (Section III).
In situations of the PARAN being eligible for a hearing but the indicated disposition is
being overturned, SDHR Administrative Record Review Staff will notify the county staff
to request that their attorney file a motion to withdraw the Administrative Hearing
Request. When the order granting the motion to withdraw is received, the county office
will notify the SDHR Reviewer who will provide written notification of the review
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decision to the PARAN and county office. The county office will then change the final
disposition in FACTS.
If the preliminary record review upholds the indicated findings and the PARAN qualifies
for an administrative hearing, the case will continue through the Administrative Hearing
process. The SDHR Record Reviewer will notify the county office of review findings.
E. The CA/N Hearing
An administrative hearing officer from the Attorney General’s Office conducts CA/N
hearings. The hearings are not open to the public; however, an employer or
licensing/certification representative may attend the hearing as a non-participant with the
permission of both the person allegedly responsible for abuse/neglect and the
Department. Hearings may be postponed or continued, as necessary, to ascertain all the
facts or to provide a full and adequate opportunity for all parties to present their case.
The hearing officer determines by a preponderance of the credible evidence whether the
person allegedly responsible for abuse/neglect has abused or neglected a child. Credible
evidence is defined as “those facts which, viewed in light of the surrounding
circumstances, would cause a reasonable person to believe that the child has been abused
or neglected.”
County Departments bear the burden of persuasion at the hearing, and present witnesses
and evidence in support of their disposition in order to convince the hearing officer that
the abuse/neglect allegations should be determined “indicated” according to Child
Protective Services Policy And Procedures. Relevant and material evidence (including
hearsay evidence), visual drawings and testimony about the use of anatomically correct
dolls are admissible at the hearing. The child that was allegedly abused/neglected or a
witness to the alleged abuse/neglect may testify at the hearing without prior qualification.
The hearing officer determines the weight and credibility to be given to the testimony.
Leading questions and videotaped testimony of the child who was allegedly
abused/neglected or a child witness may be allowed.
The hearing officer makes the determination, based on evidence presented, to either
affirm or reverse the County Department’s disposition, and provides written notification
of the decision to the person allegedly responsible for abuse/neglect. A copy of the
determination letter is also sent to the County Department for documentation and filing in
the CA/N record.
F. Post Hearing Procedures
Upon receipt of the hearing determination letter, child welfare staff shall enter the final
disposition into the Central Registry. When an “indicated” disposition is upheld by the
hearing officer, child welfare staff shall notify the person’s employer or
licensing/certifying agency as to the disposition and the basis for its finding when the
incident involved abuse/neglect of a child in an out-of-home care setting. Child welfare
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staff may notify the employer or licensing/certifying agency if the incident involved the
person’s own children.
The notification may be provided orally or in writing. If a letter is sent, it must be
marked “Confidential — To be used only for the purpose of discovering or preventing
child abuse or neglect.” A copy of the hearing decision upholding the disposition may
also be sent with the letter to the employer or licensing/certifying agency.
Child welfare staff shall also provide notification of the disposition (per CA/N
Assessment policy, section V., C.) to the appropriate District Attorney and law
enforcement agency.
G. Appeals of Administrative Hearings
The person responsible for abuse/neglect or the County Department may appeal a CA/N
hearing disposition. To contest the disposition, the appealing party must file an
application for re-hearing within fifteen (15) days after the entry of the order (i.e., the
date the order was signed and mailed from the Administrative Hearing Office).
County Departments may also request an appeal (re-hearing) if the hearing officer’s
decision is not in the Department’s favor. County staff must consult with the attorney
who represented them at the hearing to determine whether they have grounds for an
appeal. Reasons for an appeal/re-hearing (Code of Alabama 1975, § 41-22-17) are if the
hearing officer’s final order is:
• in violation of constitutional or statutory provisions;
• in excess of the statutory authority of the agency;
• in violation of an agency rule;
• made upon unlawful procedures;
• affected by other error of law;
• clearly erroneous in view of the reliable, probative, and substantial evidence on
the whole record; or
• unreasonable, arbitrary, capricious or characterized by an abuse of discretion
or a clearly unwarranted exercise of discretion.
Within thirty (30) days from the re-hearing application’s filing date, the hearing officer
may enter an order:
• setting a date for a hearing based on the re-hearing application; or
• with reference to the application with no hearing date set, grant or deny the
application.
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If an order is not entered regarding the re-hearing application within the thirty (30)
day period, the application will be considered denied as of the date the thirty (30)
day period expires.
Regardless of whether an appeal/re-hearing is requested, both the person
responsible for the abuse/neglect and the County Department may file an appeal
with the circuit court. Court appeals are initiated by filing a written notice of
appeal within thirty (30) days of the receipt of the hearing officer’s decision.
County Departments must consult with SDHR Legal prior to filing an appeal with
the court.
III. ADMINISTRATIVE RECORD REVIEWS
Administrative record reviews are provided to persons allegedly responsible for abuse/neglect
who have preliminary “indicated” dispositions and are not entitled to an administrative hearing.
The record review is completed to determine if the CA/N assessment contains sufficient
documentation based on a preponderance of credible evidence to support the “indicated”
disposition of child abuse/neglect. References in the CA/N record to previous incidents of
abuse/neglect, information from the on-going service case record, and additional information
provided by the person allegedly responsible for abuse/neglect are considered when reviewing
the CA/N record and reaching the final disposition.
A. Administrative Record Reviews in Cases That Involve Possible Criminal Prosecution
In child abuse and neglect investigations with a preliminary indicated disposition and which
possible criminal prosecution by local District Attorney’s offices (DA) is under consideration,
certain procedures concerning administrative record reviews are to be followed. This includes
any cases that DHR may have referred to the DA, as well as any case the DA has been working
with law enforcement. Administrative record review procedures, in cases that are being
considered for criminal prosecution, will be delayed for six (6) months until the criminal
prosecution is either underway or in process, finalized, or a determination is made by the local
DA not to go forward with criminal prosecution.
In working with DA offices, county departments may share copies of the letters offering
administrative record reviews to PARANs or any other material in the CA/N record. If the
county department has already initiated the administrative record review process and then learns
of DA involvement and possible prosecution, the administrative record review process should
cease for a period of six (6) months to allow the DA office to make a determination on criminal
prosecution. County departments should provide DAs with copies of PARAN letters in these
cases.
Note: There may be cases in which due process and administrative record review process has
been completed at the time the department learns of DA involvement. Should this occur, the
county may share the PARAN letters with the DA and any other material in the CA/N record.
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County departments will need to develop the local protocol with their DA and law enforcement
that will include structured procedures to address delays in administrative record reviews when
criminal prosecution is under consideration. The protocol should include the following
considerations:
1. County Department is responsible for informing the DA and law enforcement
about the Department’s administrative record review process, its purpose and its end
result. (Refer to the document “ARR Points for Discussion With District Attorneys and
Law Enforcement” located in the Appendix).
2. County Department provides written notification to DA that the administrative
record review process of the child abuse/neglect investigation is pending and will be
conducted after six (6) months from the date the report is determined as “indicated.”
3. The county department should schedule a conference with the DA to discuss the
status of any criminal prosecution in the case.
4. After the meeting with the DA, in which the DA indicates that prosecution does
not appear probable, the county department is to provide a written statement to the DA
that unless other information is received within 10 days from the date of the letter, the
department’s administrative record review will go forward.
5. In situations that prosecution is indicated at the meeting with the DA, but the
prosecution has not gone forward within six (6) months; or there is no definite decision
about prosecution; or if the case is not yet set for trial county departments are to contact
the Office of Child Protective Services, prior to going forward with the administrative
record review, for further guidance.
During the six (6) months delay awaiting the outcome/status of the criminal prosecution, the case
needs to be maintained on the agenda of the local multi-disciplinary team or regular meetings of
the child advocacy centers in the counties, which includes representation from the District
Attorney’s office. The county DHR representative on this team should alert the team that an
administrative record review will be performed after six (6) months.
B. Notification Procedures for Administrative Record Reviews
The following procedures are used in notifying each person identified as responsible for
abuse/neglect who qualifies for an administrative record review.
• Upon completion of the CA/N assessment and prior to entering the “indicated” disposition
into the Central Registry, child welfare staff shall provide all persons identified as being
responsible for abuse/neglect with written notification of their right to an administrative
record review. Each person identified as responsible for abuse/neglect must be sent a
separate letter. If the person is a minor (i.e., under age 19), the notification must be sent in
care of the minor’s parents or legal custodian who may request the review on behalf of the
child. If the minor is a child in foster care, the legal custodian, foster care provider and/or
guardian ad litem may request the record review.
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• Notification letters may be provided to the person allegedly responsible for abuse/neglect
by mail or hand-delivery. If mailed, send the notice in the form of a certified letter,
restricted delivery, return receipt requested and by first-class mail with “Personal and
Confidential” marked on the outside of the envelope. The letter must be mailed the same
day as the date on the letter. If hand-delivered, child welfare staff shall document the
delivery date in FACTS. Retain a copy of the notification letter in the CA/N record.
• Notification letters shall contain, at a minimum, the following statements.
“The Department has concluded its assessment of the abuse/neglect allegations where
you were identified as being responsible for the abuse/neglect. The assessment revealed
that on or about {enter the date} at {enter the location when known} you {provide a brief,
but specific description of the incident (e.g., left 4 year old ‘child’s name’ at home by
herself from approximately 8:00 a.m. to 11:00 a.m.) – it is not appropriate to list only the
allegation}. We have reached a preliminary disposition of “indicated,” and the basis for
this disposition is describe the basis for the finding. Our findings will be entered in the
Department’s Child Abuse and Neglect Central Registry as required by state law, Code of
Alabama, 1975 Section 26-14-8. Before making a final determination on the
abuse/neglect allegations, we are offering you the opportunity to request an
administrative record review. This means the case record will be reviewed by an
independent panel of DHR representatives.
If you want to request an administrative record review to contest our findings, you must
notify us within ten (10) working days from the date of receipt of this letter. You must
submit your request in writing to the County Department at the address shown at the top
of this letter. You may include any written information that, in your opinion, proves the
findings are not true. The County Department must receive your written request no later
than the 10th day from the date of receipt of this letter. If we do not hear from you within
this time, your opportunity for an administrative record review will be considered
waived.”
• The person allegedly responsible for abuse/neglect has ten (10) working days from the date
of receipt of the letter to submit a written request for an administrative record review. If the
person fails to provide the written request to the County DHR office within the designated
timeframe, the opportunity for an administrative record review is considered to be waived.
Child welfare staff shall then enter the “indicated” disposition into FACTS. Refer to
FACTS, Roadmaps, Intake and Investigations, Administrative Record Review Due Process
Flow, for directions on entering “indicated” dispositions in FACTS.
• When the person allegedly responsible for abuse/neglect submits the written request for an
administrative record review within the designated timeframe, child welfare staff must enter
the date the request was received into FACTS. Refer to FACTS, Roadmaps, Intake and
Investigations, Administrative Record Review Due Process Flow, for directions on entering
requests for administrative record review on FACTS.
• FACTS will automatically make an administrative assignment to the SDHR administrative
record review clerk. The State administrative record review clerk shall process the case,
provide written notification to the person allegedly responsible for abuse/neglect that their
request has been received and will reassign the case to a SDHR reviewer.
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• The State administrative record reviewer shall review all CA/N assessment material that is
relevant to the case. The reviewer may also request that the County Department obtain
additional information related to the CA/N assessment either prior to or after reaching a
determination. The State administrative record reviewer will contact the County Director
(or designee) to coordinate and complete the review process.
• When the review has been completed, the State administrative record reviewer will provide
the person allegedly responsible for abuse/neglect with written notification of the review
decision. A copy of the decision, which is considered final, will be sent to the county for
filing in the CA/N record.
• Child welfare staff shall then enter the final disposition (as determined by the administrative
record reviewers) into the Central Registry.

https://dhr.alabama.gov/wp-content/uploads/2023/04/CPS-13-General-Policies-and-Procedures-4-27-23.pdf

GENERAL POLICIES AND PROCEDURES
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Effective September 1, 2002 i
TABLE OF CONTENTS
A. Establishing And Maintaining Child Abuse/Neglect Records 1
1. Establishing CA/N Records 1
2. Storing CA/N Records 1
3. Content Of CA/N Records 1
B. Protocol With District Attorneys 2
C. Working Agreement With Law Enforcement 3
D. Observing And Documenting Physical Indicators Of Suspected Abuse/Neglect 4
E. Photographs 5
F. Video And Audio Tapes 6
G. Polygraphs 6
H. Signing Criminal Warrants 6
GENERAL POLICIES AND PROCEDURES
Child Protective Services Policies And Procedures
Effective September 1, 2002 1
A. Establishing And Maintaining Child Abuse/Neglect Records
Child abuse and neglect records are confidential and shall be carefully maintained by County
Departments to ensure that confidentiality. The use and disclosure of information contained in
CA/N records is statutorily defined (Code of Alabama, 1975 § 26-14-8) and limited to purposes
associated with the provision of child protective services. Refer to Central Registry for policy
and procedures regarding the use and disclosure of CA/N information.
1. Establishing CA/N Records
When County Departments receive a CA/N report on children who are unknown to DHR,
the county shall assign the children’s family a case number and establish a family case
record. The family record shall contain a case narrative with an entry noting the CA/N
report’s receipt, the date received, and a reference to the CA/N record.
When CA/N reports are received on children who are known to DHR, the County
Department shall use the case number and record previously assigned to the children’s
family. The case narrative shall have an entry made that notes the CA/N report’s receipt,
the date received, and a reference to the CA/N record.
A separate CA/N record shall be established for each family. This record may be a case
record folder unto itself or it may be the “red” folder when accordion files are used for
family case records. Regardless of the method used, County Departments shall maintain
uniformity in their CA/N record establishment, formatting, and maintenance (i.e.,
separate folders or accordion files, not both).
CA/N records shall be labeled with the family name, the names of the children identified
in the CA/N report, and the family’s case number. CA/N records for reports involving
“groups” of children in out-of-home settings shall be labeled with the out-of-home setting
facility’s name (e.g., Smith Family Day Care Home, Our Place Group Home, Boy Scout
Troop # 15).
2. Storing CA/N Records
County Departments shall store CA/N records in a manner that maintains their
confidentiality. These records may be stored in a file drawer or cabinet separate from all
other DHR case records or they may be stored in the family case record when accordion
files are used. If stored in a separate drawer or cabinet, the records shall be filed in
alphabetical order. If stored in an accordion file, the CA/N record must be filed in a
manner that allows easy separation in the event a subpoena is received for the CA/N
information.
3. Content Of CA/N Records
Each CA/N report shall be maintained as a separate information packet with its
associated narrative, forms, and correspondence stapled or gem clipped together and filed
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in the CA/N record. Subsequent reports shall be handled in the same manner and filed
with the most recent report on top.
CA/N records shall contain only that information which is specifically related to the
CA/N report. CA/N information, other than a copy of any legal documents (e.g.,
petitions, affidavits, court orders) completed during the initial assessment, shall not be
duplicated in the family case record or narrative. A copy of all legal documents related to
DHR being granted custody of children during the initial assessment shall be filed in the
family case record.
Each CA/N report packet shall contain the following:
• The written report of suspected abuse/neglect (generated by FACTS);
• DHR-FCS-1593 (when received from the reporter) and any attached statements
or reports; and
• Any other documents and information specifically related to the report (e.g.,
narrative, court reports, photographs, correspondence, inquiries about the
report).
Upon completion of the CA/N initial assessment, child welfare staff shall record the
following information in the family narrative.
• CA/N disposition (i.e., indicated, not indicated);
• Decision regarding the need to provide on-going services and the basis for the
decision; and
• Steps to be taken until an initial ISP is developed or the existing ISP is revised.
Subsequent contacts with the family are recorded in the family narrative.
B. Protocol With District Attorneys
All county DHR offices, in collaboration with their respective District Attorney’s Office (DA)
and local law enforcement agencies (LEA), shall develop a protocol for joint intervention when
child abuse/neglect reports are of such severity that the person allegedly responsible for
abuse/neglect (i.e., parent, primary caregiver) is arrested for prosecution. The court-approved
“Protocol For Joint Intervention With Children And Parents With Pending Criminal
Prosecutions,” R.C. vs Hornsby, No. 88–H–1170–N, Consent Decree (M.D. Ala. Approved Dec.
18, 1991), shall serve as a basis for local protocols.
Each County DHR office shall develop a written joint intervention protocol that shall be revised
and updated on a periodic basis as determined by the participants. The protocol, intended as a
guide for cooperative joint intervention, shall address, at a minimum, the following:
• Type cases to be referred (e.g., specific allegations, situations involving severe
physical injury, all cases);
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Effective September 1, 2002 3
• Timing of the referral (e.g., upon receipt of the CA/N allegations);
• DHR personnel responsible for providing reports to the DA’s office;
• DA personnel responsible for providing information to DHR on arrest and
prosecutorial actions;
• Process by which a jointly approved mediator will be selected; and
• Role of existing working agreements between community agencies that facilitate the
intent of this protocol.
C. Working Agreement With Law Enforcement
CA/N reports are received by a “duly constituted authority,” as defined in Code of Alabama §
26-14-1 (4), and this authority is responsible for notifying the appropriate investigative agency
that a CA/N report has been received. All County DHR offices shall develop a written working
agreement with their local law enforcement agencies (LEAs) which addresses procedural
requirements related to the following areas.
1. Receiving And Submitting CA/N Reports To The Appropriate Agency For
Investigation Or Initial Assessment
• Specific allegations that will be referred to law enforcement and a timeframe
for submitting the report. The established timeframe must allow the
investigative agency to meet their internal response time standards.
• Reports of CA/N allegations may be provided orally or in writing. When the
investigative agency receives the CA/N report orally, the duly constituted
authority shall provide that agency with a written report, following the oral
report, within the timeframe designated in the working agreement.
• The written report shall include, at a minimum, a summary of the intake
information and the DHR-FCS-1593, Written Report of Suspected Child
Abuse/Neglect.
• All written reports shall be submitted to the investigative agency in a
confidential manner. The investigative agency is responsible for protecting
the information from being shared with anyone other than those directly
responsible for the discovery and/or prevention of child abuse/neglect.
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2. Conducting DHR CA/N Initial Assessments And LEA Investigations
• Joint intervention coordination and cooperation;
• Procedures for intervening in reports involving drugs (e.g., crystal
methamphetamine is produced in the home) that affect child safety and/or
place children at risk of serious harm;
• Individual agency responsibilities when the CA/N report involves an out-of-
home care setting; and
• After-hours procedures for handling emergency calls including, at a
minimum, contact numbers (e.g., telephone) for on-call and back-up staff;
and contact numbers for local law enforcement agencies.
3. Reporting Criminal Activity To Law Enforcement
Child welfare staff shall notify the appropriate law enforcement agency of only criminal
or other illegal activity (e.g., drug use, production/distribution of illegal drugs, production
of child pornography, etc.) that is contributing to the abuse/neglect of the child(ren) or
directly affects child safety.
DHR staff are prohibited from providing police and other law enforcement with any
information that aids in the investigation of any matter other than child abuse/neglect.
Refer to Central Registry, II. Inquiries And Disclosures Of Information, E. Use And
Disclosure of CA/N Information, (2).
4. Completing CA/N Documentation For Submission To DHR or LEAs
• Documentation needed from LEAs to meet DHR CA/N initial assessment,
due process, and Central Registry requirements;
• Timeframes for submitting the documentation; and
• Submitting documentation to LEAs on CA/N reports involving specific
allegations described in the county’s working agreement.
5. Taking Children Into Protective Custody (Summary Removals)
Paragraph 51. f. of the R. C. Consent Decree states:
“The ‘system of care’ will vigorously seek to ensure
that law enforcement officers, juvenile court
personnel, and others do not remove class members
from their home and place them in foster care or DHR
custody without first notifying the ‘system of care’
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and providing the system an opportunity to intervene
to prevent the removal or placement.
6. Providing cross-training based on identified needs; and
7. Reviewing and revising written working agreements on a periodic basis.
D. Observing And Documenting Physical Indicators Of Suspected Abuse/Neglect
Child welfare staff may need to view a child’s body for physical indicators of abuse or neglect
during the course of a CA/N initial assessment. If so, the child and the observer shall, whenever
possible, be of the same sex, particularly when viewing private areas.” If the CA/N report
involves sexual abuse allegations, the observation must be made by a physician. CA/N
Allegations And Definitions specifies when other verification methods are required.
Regardless of who makes the observation and who is present, child welfare staff must be
sensitive to the child’s needs and feelings when body observations are made. When it is
necessary to view a child’s “private areas” (i.e., bathing suit area for boys and girls), a witness,
other than the person allegedly responsible for abuse/neglect, must be present for the worker’s
protection and to provide collaborating testimony if needed. The witness may be a co-worker,
child’s teacher, day care worker, parent (when the child is allegedly abused/neglected by
someone outside the home), police officer or some other person with whom the child is
comfortable. Child welfare staff shall not touch children in the “private areas” during the
observation. A witness is not needed for observations that do not involve the private areas.
Physical indicators of suspected abuse/neglect shall be documented using photographs (refer to
section E for additional information) or DHR-FCS-1595, Suspected Abuse/Neglect Injury
Notesheet.
E. Photographs
Photographs may be taken during initial assessments to document child abuse/neglect indicators
(e.g., a child’s physical injuries or condition, hazardous conditions in a child’s home). The
parents’/primary caregivers’ permission shall be requested, but is not absolutely necessary. If
parents/primary caregivers refuse permission to photograph and child welfare staff believe
photographs are needed for documentation purposes, law enforcement shall be contacted or court
action explored.
Photographs shall be taken with a quality camera. The type camera used should be consistent
within the county department but any of the following types may be used:
• the traditional Polaroid instamatic type camera which produces instant on-site pictures;
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• other type camera such as 35mm which requires film be sent out to be developed;
• digital cameras, that use removable storage devices, as substitute for film, or
• worker tablets
The Polaroid and digital camera provide certain advantages over other type cameras (e.g.,
35mm). Confidentiality is better maintained as the need for sending film to a professional lab for
development is eliminated. Child welfare staff also has immediate access to Polaroid
pictures/digital images.
Digital cameras use removable storage devices (i.e., compact flash, memory sticks, standard
floppy disks, etc.) to capture and save digital images until downloaded directly onto a computer
hard drive. To insure digital images are not lost/misplaced child welfare staff shall download
digital images captured on digital storage devices promptly. File pictures in the appropriate
CA/N record (see information below on how photographs are to be labeled). County
Departments shall have in place local procedures that address security and deletion of digital
pictures saved on computer hard drives for periods of time (i.e., three months, six months, etc.)
after the initial first printing.
Note: Digital photographs can be easily altered/manipulated making them susceptible to legal
challenges over their authenticity or admissibility in court. In jurisdictions where digital
photographs have been challenged in court, county departments should consult with the District
Attorney (DA) and local law enforcement agencies about any concerns they have regarding the
continued use of digital cameras for evidentiary purposes. When it is alleged that digital
photographs taken by the county department have been altered SDHR Legal should be contacted
for guidance.
If county departments choose other type cameras, the developer must sign a confidentiality
agreement before processing the film or reproducing photographs. The agreement must include
assurances that the film or photographs will not be reproduced, shown to, distributed, sold, or
discussed with anyone outside the Department of Human Resources. If the processing will be
completed by a mass-market company through a local retailer, the retailer must sign a
confidentiality agreement which outlines how their personnel will handle and ensure the
confidentiality of the materials while in their possession.
The Department is aware that local retailers cannot assure confidentiality once the photographic
materials are sent to the mass-market developer. Law enforcement agencies may have an
agreement for photographic processing and County Departments may request a copy for
adaptation and collaboration with the processor. If there are concerns about using local
businesses to process film, the County Department can contact their CPS consultant for
assistance in making arrangements with private developers in other parts of the state to perform
the work.
A sufficient number of photographs shall be taken during the initial assessment to supply the
needs during the course of the assessment process. All photographs are part of the initial
assessment and shall be stored in the CA/N record. Before storing the photographs, they shall be
properly labeled with the following information noted on the back of the photograph.
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1. the child’s full name;
2. the date, time, and location where the photograph was taken;
3. the reason for taking the photograph; and
4. the photographer’s name.
Scan (e.g. scanners are set to scan double sided so both the picture and written information is
captured) and import photograph(s) into the FACTS file cabinet. Maintain the original
photograph(s) in the CA/N record in the event they are needed for future reference or court
proceedings.
F. Video and Audio Tapes
Video and audiotapes may be used to record interviews during initial assessments. The
parents’/primary caregivers’ permission shall be requested, but is not absolutely necessary when
taping children. If parents/primary caregivers refuse permission and child welfare staff believe
the tapes are needed for documentation purposes, law enforcement shall be contacted or court
action explored.
Before beginning the interview, the person recording the tape shall make an introductory
statement that identifies the subjects’ full names and the date, time, and location where the
interviews were conducted. The tapes shall also be properly labeled on the outside cover with
this information. Information gathered during the video/audio taping shall be summarized in the
CA/N narrative. All tapes must be carefully maintained in a locked file in a manner that fully
ensures their confidentiality.
G. Polygraphs
The use of polygraphs with children who have allegedly experienced abuse/neglect is not
recommended and shall not be authorized. In rare cases, the polygraph may be an appropriate
investigative tool with an older teenager; however, County Departments must contact their
SDHR consultant to obtain approval before authorizing its use with children in DHR custody.
Polygraphs are not admissible in court, but are admissible in some Departmental hearings.
H. Signing Criminal Warrants
Grand jury indictment is the usual method for initiating criminal prosecution, and in most CPS
situations, signing criminal warrants is not an appropriate child welfare function. Child welfare
staff must consult with their County Director to discuss the situation prior to signing any
criminal warrants. If a warrant is signed, the county’s SDHR CPS consultant must be notified.
Situations where signing warrants may be appropriate include, but are not limited to, the
following:
• cases where an individual involved in an initial assessment interferes with or disrupts
child welfare program operations;
GENERAL POLICIES AND PROCEDURES
Child Protective Services Policies And Procedures
Effective September 1, 2002 8
• cases where a parent or other person removes a child from protective custody;
• cases where a child is removed from a relative who has custody and is under protective
supervision by the Department;
• cases where the applicable criminal statute of limitations will run out before the grand
jury meets to consider the case; or
• cases where DHR personnel are harassed or assaulted.
Note: DHR staff have the right as individuals to sign warrants against persons for crimes or acts
of violence or destruction of personal property committed against them. The staff person’s
County Director shall be notified when a warrant will be signed against any person who is
receiving child protective services.

https://dhr.alabama.gov/wp-content/uploads/2023/04/CPS-14-Central-Registry-4-27-23.pdf

CENTRAL REGISTRY
Central Registry
Child Protective Services Policies And Procedures
Revision No. 9
Effective August 1, 2004
i
TABLE OF CONTENTS
I. INTRODUCTION 1
II. INQUIRIES AND DISCLOSURE OF INFORMATION 1
A. Confidentiality 2
B. Confidentiality Of Reporters’ Identity 2
C. Confirming Identity Of Persons Inquiring About CA/N Information 2
D. Inquiries And Clearances By DHR Staff 3
E. Use And Disclosure Of CA/N Information 4
F. CA/N Information That May Be Released 7
G. Disclosing Information To Attorneys And CASAs 7
H. Expunging Names Of Persons Responsible For Abuse/Neglect 7
I. Expunging Indicated/Not Indicated Reports Received From
Mandatory Reporters 8
Central Registry
Child Protective Services Policies And Procedures
Revision No. 53
Effective April 27, 2023
1
I. INTRODUCTION
The State Department of Human Resources (SDHR) is responsible for establishing and
maintaining a statewide Central Registry for child abuse and neglect reports per Code of
Alabama 1975 § 26-14-8 (b). This is accomplished through each County Department
maintaining local records and transmitting CA/N records to a statewide database through
FACTS data entry.
The Central Registry shall contain, at a minimum, the following information.
• all information in the written CA/N report (i.e., intake and initial assessment);
• the final disposition including services offered and accepted;
• the plan for rehabilitative treatment;
• any other information that might help protect children from abuse/neglect; and
• the names and identifying data, dates, and circumstances of any persons requesting or
receiving information from the registry.
§ 26-14-8 (c) requires SDHR to establish and enforce reasonable rules and regulations governing
the custody, use and preservation of CA/N reports and records. CA/N reports/records and
related information or testimony shall be held confidential and their disclosure shall be limited to
the prevention and/or discovery of child abuse and neglect. Confidentiality is essential to
protecting the rights of children and their parents/custodians, and violation of this provision is a
misdemeanor that is punishable accordingly. Situations where information may be disclosed are
noted in sections II. D., E., F., and G.
The Central Registry provides a system for receiving and analyzing data related to:
• identifying repeated CA/N incidents with a particular child and/or person responsible
for abuse/neglect;
• sharing pertinent information with statutorily authorized persons and agencies;
• screening prospective child care providers and employees/volunteers who will be
working with children;
• collecting statistical information for program planning and federal reporting; and
• assessing County Departments’ needs (e.g., staff allocations, training).
II. INQUIRIES AND DISCLOSURE OF INFORMATION
The following guidelines apply to Central Registry inquiries and the disclosure of CA/N
information. Code of Alabama 1975, § 26-14-8(3) provides that the registry shall contain the
names, identifying data, dates, and circumstances of any persons requesting or receiving
information from the registry. Designated persons to whom CA/N information may be disclosed
and the circumstances under which the information may be shared are described in the following
Central Registry
Child Protective Services Policies And Procedures
Effective September 1, 2002
2
sections. All inquiries for and disclosure of CA/N information shall be documented in the CA/N
record.
A. Confidentiality
Child welfare staff shall notify all persons who inquire about and to whom CA/N
information is disclosed that:
• CA/N information is confidential;
• shall be used only for the purpose of preventing and/or discovering child abuse
and neglect; and
• shall not be disclosed to other persons or agencies.
This information may be provided verbally or by noting the following statement on
written information – “Confidential — to be used only by you to prevent or discover child
abuse/neglect.”
B. Confidentiality Of Reporters’ Identity
Reporters’ identity shall not be disclosed when CA/N information is shared or released.
Child welfare staff shall delete all identifying information on reporters from copies of
CA/N information that is provided. Deletions are not to be made on any original CA/N
materials.
CA/N information may be released to a District Attorney or law enforcement officer
without deleting the reporter’s identity; however, child welfare staff shall encourage
these individuals to keep the reporter’s identity confidential. When a court or District
Attorney subpoenas CA/N information, child welfare staff or the attorney representing
the Department may request that the reporter’s identity be kept confidential.
C. Confirming Identity Of Persons Inquiring About CA/N Information
Child welfare staff shall confirm the identity of all persons inquiring about CA/N
information before releasing any information from the Central Registry. Confirmation
must be made in order to assure that CA/N information is provided only to statutorily
designated persons as identified in section II., E.
Individuals who personally visit a DHR office and request CA/N information shall
provide photo identification or credentials that confirm their identity. Child welfare staff
may confirm the identity of persons making telephone or written requests by:
• taking the telephone number, checking it against the telephone directory, and
returning the call; or
• checking names and addresses in city directories.
Central Registry
Child Protective Services Policies And Procedures
Revision No. 19
Effective February 1, 2010
3
D. Inquiries And Clearances By DHR Staff
County Departments have statewide access to the Central Registry which allows
authorized staff to access CA/N information (e.g. names of children, legal parents, and
persons responsible for abuse/neglect; dispositions). Access to restricted CA/N
information (i.e., DHR employees and close working associates, children in DHR
permanent custody) is limited to designated staff as determined by the County Director.
County child welfare staff are required to clear the Central Registry for prior CA/N
information when:
• current CA/N reports are received;
• individuals apply to be Medicaid Rehabilitative Service providers (refer to Max
Pak Manual for procedures);
• individuals apply to be foster or adoptive parents for the Department;
• individuals apply for approval as a family day care home (including their
household members and substitute caregivers).
• an ICPC home study is being conducted. A central registry clearance must be
completed on all household members in ICPC cases, age fourteen (14) years
and older (refer to ICPC Policy, V. Children From Other States Placed In
Alabama, C. Requirements And Guide For Home Studies And Placement
Evaluations).
Note: Reports or records with “not indicated” dispositions and “reason to suspect”
dispositions (prior to June 1, 1999) for the person allegedly responsible for abuse/neglect
shall not be used or disclosed for purposes of employment or other background checks.
In addition, these reports or records shall not be released to a court without a subpoena.
Authorized county staff can also conduct Central Registry clearances for JOBS
applicants if the applicants are under consideration for a job placement involving the care
of children. A DHR-FCS-1598, Child Abuse/Neglect Central Registry Clearance
Request, must be correctly completed and witnessed at the designated places by a third
party. If the CA/N record is in another county, the county name and case number must
be listed on the 1598. CA/N information will be provided to JOBS staff on the yellow
copy of the 1598 and will only be those CA/Ns with an “indicated” disposition that
involve the JOBS applicant. The original 1598 is filed in a master file containing all
Central Registry clearance requests. JOBS staff are permitted to review the CA/N
record, but the information must be returned to Family Services’ files following the
review.
Note: If erroneous information is noted in the Central Registry (e.g., date of birth, case
number, ethnicity), child welfare staff shall make the corrections on “open” cases. If the
case is “closed,” child welfare staff shall contact the FACTS Help Desk to get the
necessary corrections made.
Central Registry
Child Protective Services Policies And Procedures
Revision No. 5
Effective August 1, 2003
4
SDHR conducts Central Registry clearances for all employees, potential employees, and
volunteers in organizations who work with children (e.g., day care centers, schools,
volunteer agencies). County Departments must not conduct these clearances and release
CA/N information to any entities outside DHR in these situations. A DHR-FCS-1598,
Child Abuse/Neglect Central Registry Clearance Request, must be signed by the person
to be cleared. If the County Department is contacted by persons needing forms and
information on clearance requests for employment purposes, county staff shall provide
the 1598 and instruct the persons to mail the completed form to the State Central Registry
at the address listed at the top of the form.
E. Use And Disclosure Of CA/N Information
Code of Alabama 1975 § 26-14-8 (c) provides that reports and records of child abuse and
neglect and related information or testimony shall be confidential, and shall not be used
or disclosed for any purposes other than:
(1) “To permit their use to prevent or to discover abuse or neglect of children through the
information contained therein, except reports or records in cases determined to be “not
indicated” shall not be used or disclosed for purposes of employment or other background
checks.”
(2) “For investigation of child abuse or neglect by the police or other law enforcement
agency.” DHR staff are prohibited from providing police and other law enforcement with
any information that aids in the investigation of any matter other than child abuse/neglect.
(3) “For use by a grand jury upon its determination that access to such reports and
records is necessary in the conduct of its official business.” Information may be
disclosed to a District Attorney, upon request, and for those cases agreed upon in the
County Department’s working agreement with the District Attorney.
(4) “For use by a court where it finds that such information is necessary for the
determination of an issue before the court.”
(5) “For use by any person engaged in bona fide research who is authorized to have
access to such information by the Commissioner of the Department of Human
Resources.” The person may have access to statistical information; however, identifying
information must not be released unless such disclosure is absolutely essential to the
research project and only to the extent expressly authorized by the Commissioner. Note:
SDHR Family Services will make a recommendation to the Commissioner for written
approval to release identifying data to researchers.
(6) “For use by any person authorized by a court to act as a representative for an abused
or neglected child who is the subject of a report.”
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Child Protective Services Policies And Procedures
Revision No. 5
Effective August 1, 2003
5
(7) “For use by a physician who has before him a child whom he reasonably suspects
may be abused or neglected.”
(8) “For use by an attorney or guardian ad litem in representing or defending a child or
its parents or guardians in a court proceeding related to abuse or neglect of said child.”
This includes any person authorized by a court, other than an attorney or Guardian Ad
Litem, to act as a representative for an abused or neglected child who is the subject of a
report. (Refer to section G. Disclosing Information To Attorneys And CASAs.)
(9) “For use by federal, state, or local governmental entities, social service agencies of
another state, or any agent of such entities, having a need for the information in order to
carry out their responsibilities under law to protect children from abuse and neglect.”
This includes an agency having the legal responsibility or authorization to care for, treat,
or supervise a child who is the subject of a CA/N report or record, or a parent, guardian,
or other person who is responsible for the child’s welfare when the information is needed
to prevent further abuse/neglect.
Information may be released by telephone to child protective services agencies in other
states once the identity of the caller is confirmed. (Refer to section C. for confirmation
of identity.) Written CA/N information shall only be released to child protective services
agencies upon their written request. Identifying information on the reporter must be
deleted from the written materials prior to sending the information.
(10) “For use by child abuse citizen review or quality assurance or multidisciplinary
review panels.”
(11) “For use by child fatality review panels.”
(12) “For public disclosure of the findings or information about the case of child abuse
or neglect which has resulted in a child fatality or near fatality; the term “near fatality”
means an act that, as certified by a physician, places the child in serious or critical
condition.” Information that identifies any person, other than the victim, by name shall
not be disclosed.
The following items are additional DHR requirements regarding the use and disclosure of
reports and records of child abuse and neglect. CA/N reports and records shall not be
disclosed to any individuals other than:
• To parents/custodians who have children in their care and/or custody and have
someone living or visiting in their home who has been convicted of child battery,
child sexual abuse, or who has an “indicated” child sexual abuse report in the State
Central Registry. County staff shall contact their CPS consultant to discuss the
situation before releasing any information to the parents/custodians.
• To an employer, licensing or certifying agency or group of the person
currently being investigated where the employee provides care or supervision
Central Registry
Child Protective Services Policies And Procedures
Revision No. 5
Effective August 1, 2003
6
to children or other vulnerable persons. Information shall be released
following the final disposition as determined by due process procedures. (See
information below regarding releasing information on pending initial
assessments in emergency situations and releasing information on previously
completed initial assessments.) Additionally, information may be released if
the employee or potential employee signs the DHR-FCS-1598 authorizing the
Central Registry clearance on previously completed reports. Note: Reports
or records in cases disposed of as or “reason to suspect” (prior to June 1,
1999) or “not indicated” shall not be used or disclosed for purposes of
employment or other background checks.
Provision for releasing information on pending CA/N initial assessments in
emergency situations – DHR may release information to employers,
prospective employers, or licensing/certifying agencies prior to a
Departmental CAN investigative hearing or an administrative record review
(whichever is applicable) only when it is determined that children are in
imminent danger of abuse/neglect. A child welfare supervisor shall contact
SDHR Legal to discuss the situation before releasing any information. If the
information is released, the person responsible for abuse/neglect must be
offered a CA/N hearing or an administrative record review as soon as possible
following the release of information.
Provision for releasing information on previously completed CA/N initial
assessments when child welfare staff determine that a child is in imminent
danger and an “indicated” disposition needs to be disclosed for the child’s
immediate protection:
(1) If a disposition was previously entered into the Central Registry for
persons responsible without notification being provided of their
opportunity for a CA/N hearing or an administrative record review, a child
welfare supervisor must contact SDHR Legal to discuss the situation
before releasing any information. If SDHR Legal concurs that the
information needs to be released and it has been less than two (2) years
from the date the person was notified about the allegations, child welfare
staff must provide written notification of due process rights (i.e., CA/N
hearing or administrative record review) immediately following the
release of information. If the person responds to the notice and requests a
hearing or record review, child welfare staff must notify SDHR of the
person’s response and request that an “emergency” hearing or record
review be conducted.
(2) If two (2) years have passed since the person was notified about the
allegations, a child welfare supervisor must contact SDHR Legal to
discuss the situation before releasing any information. If Legal concurs
that there is sufficient information to believe the child is in imminent
danger, the information may be released for the child’s protection.
Central Registry
Child Protective Services Policies And Procedures
Revision No. 16
Effective October 1, 2007
7
Refer to CA/N Initial Assessment Policies And Procedures, II., E., 3. for
additional information on notification requirements for the person
allegedly responsible for the abuse/neglect. For additional information on
due process rights, refer to the Due Process.
Provision for releasing “notification of disposition” to PARANs on closed cases – A
PARAN is entitled to receive “notification of disposition” upon completion of a CA/N
assessment (refer to CA/N Assessment, V. Documentation, B. Notification of CA/N
Dispositions). If the PARAN contacts the Department anytime (e.g., six months, year,
etc.) after the notification of disposition letter has been sent, the county department may
provide a copy of the notification of disposition letter only if the PARAN presents in-
person and provides verification of identity (e.g., drivers license, picture I.d.).
F. CA/N Information That May Be Released
County Departments may only release Central Registry information from “indicated”
CA/N reports for employment or background check purposes. Information in CA/N
reports, regardless of the disposition, may be released to another state’s CPS program
when that state is investigating an abuse/neglect report. CA/N information shall not be
made available to anyone outside the Department unless (1) disclosure is permitted under
section E., (2) specific CA/N information is subpoenaed, or (3) the release is expressly
authorized by order of the court. This includes providing information about prior CA/Ns
with “not indicated” dispositions when preparing and submitting reports to a court unless
a court order specifically directs the Department to release not indicated reports or
information of abuse/neglect or maltreatment (e.g., indicated/not indicated reports,
prevention referrals). County Departments can defer providing information (unless
served a subpoena or court order) per section E. above until the CA/N initial assessment
process is completed. CA/N initial assessments may be made available to the appropriate
court, district attorney, and law enforcement agency according to § 26-14-8 (c),
paragraphs 1 through 4, 6 and 8. County Departments shall immediately release
information to law enforcement, district attorneys, and physicians in situations where
disclosure will allow for the protection of children suspected of being abused/neglected
or for the protection of other children in the home.
G. Disclosing Information To Attorneys And Court Appointed Special Advocates
Child welfare staff may verbally disclose general information (e.g., allegations,
dispositions, general basis for the disposition, other general information already revealed
to a child’s parents/custodians) to Guardians Ad Litem, attorneys, or Court Appointed
Special Advocates (CASAs) representing the child or attorneys representing the child’s
parents/custodians in a child abuse/neglect court proceeding. CA/N information must not
be copied and released to attorneys or CASAs without a court order expressly authorizing
such release or a subpoena duces tecum for the CA/N record.
Central Registry
Child Protective Services Policies And Procedures
Revision No. 11
Effective July 1, 2006
8
When County Departments receive a subpoena duces tecum for production of DHR
records, child welfare staff shall contact an attorney authorized to represent the
Department and request that a motion for protective order be filed requesting the court
conduct an in camera inspection of the records to determine if they should be released. If
the court orders an in camera inspection, the original record (or a copy thereof if
permitted by the court) shall be submitted as ordered and at the time specified. The DHR
record shall not be released directly to the attorney or CASA.
H. Expunging Names of Persons Allegedly Responsible For Abuse/Neglect
Code of Alabama, 1975 § 26-14-8 (e) provides that the names of persons responsible for
abuse/neglect may be expunged from the Central Registry when all the following criteria
have been met.
• the CA/N disposition is “Not Indicated;”
• five (5) years have elapsed from the disposition date; and
• DHR has received no further CA/N reports identifying the person as being
responsible for abuse/neglect.
The person allegedly responsible for abuse/neglect must submit a written request for the
expungement. If the request is received in the County Department or the person needs
additional information, child welfare staff shall advise the person to contact or submit the
request to SDHR, Office of Child Protective Services.
SDHR’s Office of Child Protective Services will provide written notification to persons
responsible for abuse/neglect when their name is expunged from the Central Registry.
County Departments will also receive a copy of the notification at which time child
welfare staff shall take the following action.
1. Delete only the name of the person responsible for abuse/neglect from:
• the CA/N record and other agency records (e.g., card files, family narrative)
that pertain to the CA/N incident.
• the letter from the Central Registry notifying the County Department of the
expungement;
• the copy of the letter (received by the County DHR) that was sent to the
person allegedly responsible for abuse/neglect by the Central Registry; and
2. File the notification letters in the CA/N record.
Note: All other parts of the CAN record (e.g., narrative, forms) remain as they are except
for deleting the name of the person allegedly responsible for abuse/neglect.
Central Registry
Child Protective Services Policies And Procedures
Revision No. 11
Effective July 1, 2006
9
I. Expunging Indicated/Not Indicated Reports Received From Mandatory Reporters
Code of Alabama 1975 § 26-14-3 (e) provides for expungement from the Child
Abuse/Neglect Central Registry and County Department files any record of the
information or report or data developed from the report of persons allegedly responsible
for abuse/neglect received from mandatory reporters when all the following criteria has
been met.
1. the “indicated or not indicated” case is dismissed after jeopardy attaches (jeopardy
attaches after the trial begins if the trial is by judge or after the jury is selected in trials
by jury) or the defendant is acquitted (e.g., report does not result in a criminal
conviction);
2. the person responsible for abuse/neglect has submitted a written request to DHR
requesting expungement; and
3. the written request must include a court order or DHR must receive written
verification of dismissal after jeopardy attaches or acquittal from the District Attorney.
All requests for expungement of records from mandatory reporters must be forwarded to
the Office of Child Protective Services, Family Services Division, and include the
information listed above, identifying case information, and the address where a response
to the request for expungement is to be sent. The Office of Child Protective Services will
determine if the request meets the requirements of the law and will provide a written
response to the person allegedly responsible for abuse/neglect with a copy forwarded to
the appropriate County Department.
Note: The effective date for DHR implementation of Code of Alabama 1975
§ 26-14-3 (e) is June 18, 2003 and the law is not considered retroactive. Therefore,
provisions in section § 26-14-3 (e) do not impact reports received prior to June 18, 2003.

https://dhr.alabama.gov/wp-content/uploads/2021/05/CPS-15-CPS-Prevention-Policies-and-Procedures.pdf

CPS PREVENTION
POLICY & PROCEDURES
CPS Prevention Policies And Procedures
Child Protective Services Policies And Procedures
Revision No. 49
Effective October 16, 2020
i
TABLE OF CONTENTS
I. INTRODUCTION 1
A. Children And Cases To Whom The Policy Applies 1
B. Confidentiality 2
II. CPS PREVENTION INTAKE 2
III. CPS PREVENTION ASSESSMENT 3
A. County Responsible For Conducting The CPS Prevention Assessment 3
B. Timeframes 4
1. Initial Contact With Children Identified
As At Risk Of Maltreatment 4
2. Completing CPS Prevention Assessments 4
C. Transfer of Prevention Referrals Involving Multiple County Departments 4
D. Information To Be Collected 4
E. Required Interviews And Other Information 4
1. Required Interviews 5
a. Parents And Primary Caregivers 5
b. Children Identified As
At Risk Of Maltreatment 5
F. Analysis And Decision-Making 6
1. Child Safety and Parental/Primary Caregivers Protective Capacity 6
2. Need For On-going Child Protective Services 6
G. Documentation 7
H. Review, Approval, And Assignment For On-going Service Delivery 7
1. Supervisory Review And Approval 7
2. Assignment Of On-Going Services 7
IV. FACTS DATA ENTRY 7
Child Protective Services Policies And Procedures
Revision No. 49
Effective October 16, 2020
1
I. INTRODUCTION
Code of Alabama 1975 § 38-2-6 (10) mandates that DHR seek out and aid minor children in the
state who are in need of its care and protection. Furthermore, Code of Alabama 1975 § 26-14-2
clarifies the legislative intent that protective services shall be made available in an effort to
prevent further abuses and neglect, and to safeguard and enforce the general welfare of such
children.
Child protective services’ primary role is to intervene when suspected child abuse/neglect reports
are received; however, there are situations when individuals contact DHR to report what they
consider abuse/neglect, but the information they provide:
• does not rise to the level of child abuse/neglect according to statutory and
Departmental definitions; or
• is insufficient to determine whether a CA/N report exists.
When these situations occur and the intake information reveals the children may be at risk of
maltreatment, the information is considered a CPS Prevention referral and an evaluation of the
child/family situation is needed. The evaluation process is known as CPS Prevention
assessment. Risk of maltreatment is defined, for purposes of this policy, as “family conditions
or circumstances that, if left unchanged, can cause child abuse/neglect.”
The CPS Prevention process is designed to determine whether on-going protective services are
needed to prevent child maltreatment. At any time safety threats or abuse/neglect is discovered
during the CPS Prevention process, child welfare staff must follow CA/N Assessment Policies
And Procedures.
A. Children And Cases To Whom The Policy Applies
CPS Prevention Policy And Procedures applies to intake information involving:
• Child is defined in this section as either: (a) A person under the age of
eighteen (18) years. (b). A person under the age of nineteen (19) who is in
need of protective services and does not qualify for adult protective
services under Chapter 9 of Title 38.
• A child for the purposes of this section must also appear to be at risk of
maltreatment and the conditions/circumstances described do not constitute
a child abuse or neglect allegation per CA/N Allegations And Definitions;
• children in situations that would be considered a CA/N report except for
the fact that the person allegedly responsible for abuse/neglect is under
age fourteen (14) years, (These type cases are to be initially opened in the
name of the family of the identified child who is alleged to be at risk of
maltreatment. If after the prevention assessment is completed, individual
services are to be provided to the child identified as responsible for abuse
Child Protective Services Policies And Procedures
Revision No. 27
Effective August 1, 2013
2
and neglect a separate case is to be opened on FACTS.); and
• children for whom school personnel have reported concerns other than
school attendance that indicate there may be a risk of maltreatment.
Failure of a parent, custodian or other primary caregiver to assure school attendance, in
and of itself, is insufficient for the information to be considered a CPS Prevention
referral. However, when school personnel report other concerns (e.g., parents’,
custodians’, or other primary caregivers’ behaviors and/or conditions) that contribute to
the children’s truancy and indicate a risk of maltreatment, the information is considered a
CPS Prevention referral.
Child welfare staff that receives intake information from school personnel must obtain
detailed information about interventions that have been taken by the school system to
address the children’s lack of school attendance. It is critical that trends and patterns in
the family situation be considered when determining whether the information indicates a
risk of maltreatment and should, therefore, be considered a CPS Prevention referral.
In cases that are currently open to on-going protective services or foster care services,
CPS prevention referral information should be assessed as part of the open on-going case.
For these cases, no CPS Prevention assessment is entered on FACTS. Documentation is
done through the case narrative.
B. Confidentiality
Code of Alabama 1975 § 38-2-6 (8) and § 26-14-8 addresses confidentiality of DHR
records. Information contained in CPS Prevention referrals and assessments can only be
released to a non-law enforcement source when there is a court order authorizing the
release under the parameters set by the court order and according to the statutes cited.
Note: CPS Prevention referral and assessment information may be shared with district
attorneys or law enforcement upon an Alabama subpoena or subpoena duces tecum (a
subpoena to produce documents), when authorized by a court order or for use by a
multidisciplinary team Code of Alabama 1975, § 38-2-6 (8) and § 26-14-8.
A subpoena or subpoena duces tecum is not required when district attorneys or law
enforcement (e.g., members of the multi-disciplinary team) request CPS Prevention
referral (intake) information. Child welfare staff shall honor their request for information
by completing and submitting the Multi-Disciplinary Child Protection Team Referral
Form (DHR-FCS-1519), to the requesting multi-disciplinary team member.
II. CPS PREVENTION INTAKE
CPS Prevention referrals are generally received by a county Department’s CA/N intake staff.
Child welfare staff shall clear all DHR service files and review existing service records on all
children identified at risk of maltreatment, parents/primary caregivers and persons allegedly
Child Protective Services Policies And Procedures
Revision No. 21
Effective August 1, 2011
3
responsible for the risk of maltreatment. To the extent possible, thorough and complete
information about the child’s and family’s circumstances/conditions should be obtained from the
person making the referral. Intake staff should consider a search of the Department’s other
automated systems as appropriate.
Other community organizations and voluntary preventive services provide valuable resources in
preventing child abuse and neglect. When situations are reported which are not appropriate for
child welfare intervention by the Department, child welfare staff shall provide the individuals
with referral information on other community resources which may assist in the individual’s
concern. Child welfare staff should facilitate this referral process as needed.
Information gathered during the intake process is to be documented on FACTS and submitted for
supervisory review and approval.
Supervisors shall review all intake information to determine if:
• there is sufficient, pertinent information to warrant a CPS Prevention assessment;
• the intake information does not rise to the level of a CA/N report and would
therefore be treated as a prevention referral;
• the case record contains all supporting documentation (e.g., any information about
prior CA/N records; and
• automated system data entry requirements have been accurately completed.
Following this review, supervisors shall approve the intake information indicating they agree
with the decisions made. When a CPS Prevention assessment needs to be conducted, the
supervisor shall take appropriate steps to forward the referral for assignment. Supervisors are
responsible for assigning CPS Prevention referrals to assessment staff in a manner that ensures
initial child contact will be made within the response time described in section III. B.
III. CPS PREVENTION ASSESSMENT
CPS Prevention assessment is the process used by child welfare staff to gather and analyze
information in order to make decisions about children who may be at risk of maltreatment (in
cases in which the intake information does not meet the Department’s definitions of child abuse
or neglect). This process is designed to determine whether family conditions and circumstances
are presenting risks that are significant enough to warrant on-going services to prevent child
maltreatment.
A. County Responsible For Conducting The CPS Prevention Assessment
The county in which the children are currently living is responsible for conducting the
CPS Prevention assessment. When multiple County Departments need to be involved, the
counties shall work in partnership to conduct the assessment. If counties are unable to
reach consensus about specific responsibilities or when an exception is needed as to
which county is responsible for conducting the CPS Prevention assessment, a child
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welfare supervisor shall contact the the Office of Child Protective Services for
assistance.
B. Timeframes
Child welfare staff shall adhere to the following timeframes for CPS Prevention
assessments.
1. Initial Contact With Children Identified As At Risk Of Maltreatment
In-person contact shall be made as quickly as the intake information warrants, but
no later than five (5) calendar days from the referral’s receipt.
2. Completing CPS Prevention Assessments
CPS Prevention assessments shall be completed within sixty (60) days from the
date the intake information (i.e., CPS Prevention referral) is received. An
assessment is considered complete when it has been documented in the automated
computer system and the supervisor has reviewed and approved the assessment.
C. Transfer of Prevention Referrals Involving Multiple County Departments
Child welfare staff in the County Department where the initial intake information is
received shall enter that information into FACTS. If the identified children at risk of
maltreatment currently live in another county, the county receiving the intake information
shall contact the county where the children currently live within sufficient time for child
contact timeframes to be met. If a family moves to another county during the time a CPS
prevention assessment is underway, the case is to be transferred to the new county of
residence for completion. Refer to Transfer of Case Policy.
D. Information To Be Collected
The extent of information gathered and those interviewed (beyond the required
interviews) will vary depending on the nature of the referral and the information gathered
during the initial contacts with the parent/primary caregiver and child(ren). Information
to determine the safety and well being of the identified children must be gathered. Some
prevention cases may require a more in-depth assessment than others to ensure child
safety and well-being. Depending on the individual case, it may be necessary to
interview other adults and children in the home, other persons than the parent/primary
caregiver that are identified at intake as responsible for the risk of maltreatment, or other
persons with first-hand knowledge about the family situation that is creating the risk of
maltreatment. Also, the safety and well-being of other children in the home may need a
more in-depth assessment. Child Welfare staff and their supervisors are to determine
whether these additional interviews are necessary to evaluate child safety and well-being.
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E. Required Interviews And Other Information
Child welfare staff shall collect, through interviews, observations, and written materials
provided by knowledgeable individuals, information to determine the safety and well-
being of the identified child(ren) and whether there is significant risk of maltreatment to
warrant on-going protective services. At least one home visit every thirty (30) days shall
be made until the CPS Prevention is closed.
Child welfare staff must remain alert to child safety threats and/or evidence of
abuse/neglect at all times during the CPS Prevention assessment process. When
either is identified, a CA/N report must be completed and CA/N Assessment policies
must be followed.
1. Required Interviews
In-person interviews shall be conducted with the parent(s) and primary
caregivers, and all children identified at intake as at risk of maltreatment.
a. Parents And Primary Caregivers
At initial contact, child welfare staff shall provide parent(s) and
primary caregiver(s) with information regarding:
• the nature of the information received at intake; and
• the purpose of CPS Prevention assessments.
Interviews are to focus on obtaining information about the family
conditions and circumstances that may be creating a risk of
maltreatment.
b. Children Identified As At Risk Of Maltreatment
Interviews shall be conducted with all children who have been
identified at intake as at risk of maltreatment.
“Non-verbal” children must be observed, at some point during the
assessment process, while they are awake. Best practice and
individual case circumstances dictate whether to wake the child or
return to observe the child while awake.
Initial contact with these children is based on the concerns of risk
of maltreatment expressed at intake, and individual case
circumstances will determine the location of the interviews. In
isolated cases where children are interviewed and/or observed
prior to interviewing the parents/primary caregivers, the
parents/primary caregivers must be promptly contacted to inform
them about the intake information and then interviewed as soon as
possible thereafter. Child welfare staff should provide the
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parents/primary caregivers with a full explanation about the
decision to interview/observe the children prior to their being
contacted.
F. Analysis and Decision Making
CPS Prevention analysis and decision-making involves:
• analyzing the parents’ or primary caregivers’ protective capacities and
determining to what extent they are able and willing to control threats and
manage risks; and
• determining if identified risks are significant enough to warrant on-going
services in order to prevent maltreatment.
1. Child Safety and Parental/Primary Caregivers Protective Capacities
Child welfare staff must determine if family conditions and circumstances create
child safety threats and therefore constitute abuse/neglect in accordance with
CA/N Allegations And Definitions. Utilize Safety Assessment policies to make this
determination. When safety threats are identified and a safety plan is needed, the
CPS Prevention assessment process stops and the case must be reclassified as an
abuse/neglect report. At that point CA/N Assessment policies must be followed.
“Protective capacities” refers to parent/primary caregiver abilities and resources
that can and do provide for child safety. They are strengths and capabilities in a
family that control or prevent safety threats and manage risks, and include all
resources within the family network that may contribute to child protection.
Child welfare staff must analyze protective capacities and make decisions
regarding the parents’ or primary caregivers’ capacities to control safety threats
and manage risks. Refer to Safety Assessment policies for information related to
assessing parental/primary caregiver protective capacities.
2. Need For On-going Child Protective Services
On–going services are to be provided when the CPS Prevention assessment
reveals a significant risk of maltreatment. “Significant risk of maltreatment” is
defined as conditions or circumstances revealed during the CPS Prevention
assessment that are likely to cause abuse/neglect if ongoing services are not
provided. (Refer to Risk Assessment Index Chart in the Appendix for additional
information on factors used to determine significant risk of maltreatment). The
provision of on-going services is voluntary unless a safety threat exists or services
have been court ordered.
When the CPS Prevention assessment reveals the children are safe, no significant risks
have been identified, and the parents or primary caregivers have protective capacities
sufficient to protect the children, the CPS Prevention case may be closed.
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G. Documentation
CPS Prevention assessments are documented on FACTS. Documentation must include, at
a minimum, the following information. Information collected from individuals
interviewed;
• Analysis and decision-making of the family conditions and circumstances
that may be creating a risk of maltreatment, and whether the identified risks
constitute safety threats ((i.e., present or impending danger threat of serious
harm);
• Analysis and decision-making of the parents’/primary caregivers
protective capacities and the extent to which they are able and willing to
control threats and manage risks; and
• Decision-making regarding whether the identified risks are significant to
warrant on-going services in order to prevent maltreatment.
H. Review, Approval, And Assignment For On-going Service Delivery
All CPS Prevention assessments are submitted through FACTS for supervisory review
and approval.
1. Supervisory Review and Approval
Supervisors shall review all CPS Prevention assessments to determine that child
welfare staff has gathered sufficient information in order to determine child safety
and well-being and whether there is a need for on-going child protective services.
Supervisory approval indicates the CPS Prevention assessment has been
reviewed, the supervisor concurs with the analysis and decision-making, and
appropriate steps are being taken to transition the family’s case to on-going
services if needed.
2. Assignment For On-going Services
All counties are to develop local procedures for ensuring that cases opened for on-
going services have an individualized service plan (ISP) developed within ISP
policy timeframes.
IV. FACTS DATA ENTRY
CPS Prevention referrals and assessments are documented on FACTS and must be
entered on FACTS within five (5) calendar days following the referral’s receipt. At any
time safety threats (i.e., present or impending danger, threat of serious harm) are revealed
during the CPS Prevention process, the referral must be converted into a CA/N report.
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Completed CPS Prevention assessments which reveal risks that are significant enough to warrant
the provision of on-going child protective services must be entered on FACTS, following
completion of the assessment, using case type code “CPSP” (Prevention on-going Services) or
“CPSP” (Ongoing Services Less Than 14).
Note: For instructions on entering CPS Prevention referrals and completed CPS Prevention
assessments into FACTS, refer to Intraweb, FACTS, Roadmaps, Completing Intake and CA/N
CPS Prevention Roadmaps.

https://dhr.alabama.gov/wp-content/uploads/2021/05/CPS-16-Legal-Proceedings.pdf

LEGAL PROCEEDINGS
Effective November 1, 2002
Revised June 10, 2020
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TABLE OF CONTENTS
I. INTRODUCTION 1
A. DHR’s Role 1
B. The Court’s Role 1
C. Dependent Child Definitions 2
II. GENERAL GUIDELINES 3
A. Legal Counsel 3
1. Guardians Ad Litem 4
2. Legal Representation For County Departments 4
B. Special Assistants 5
C. Witnesses 5
1. Expert Witnesses 5
2. Depositions 5
D. Privileged Communication 5
E. Preparing Children For Hearings 5
III. DEPENDENCY PROCEEDINGS 6
A. Making Complaints And Preparing Petitions 6
B. The Summons 6
C. Predisposition Study And Report 7
D. Hearings 7
1. Shelter Care/Summary Removal 8
2. Adjudicatory 8
3. Dispositional 9
4. Permanency Hearings 9
E. Appeals 10
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I. INTRODUCTION
DHR and the juvenile court system have a joint responsibility to protect children when
parents/primary caregivers are unable or unwilling to discharge their responsibilities. Child
welfare staff must have a clear understanding of both DHR’s and the court’s roles and
responsibilities in order to provide protection and care that is in the children’s best interests.
This document has been designed to provide general information about legal proceedings
in which child welfare staff may become involved. When court intervention is necessary,
child welfare staff shall follow their local court system’s established policies and
procedures.
A. DHR’s Role
DHR is responsible for seeking court intervention when children’s parents/primary
caregivers are unable and/or unwilling to discharge their responsibilities and the
provision of in-home child welfare services have been unsuccessful in preventing or
eliminating the need to place children under court supervision or in out-of-home care.
DHR justifies the decision to seek court intervention by providing the court with specific
and pertinent information in the form of court reports and testimony. Code of Alabama,
1975 § 12-15-101 through 12-15-701, Juvenile Proceedings, contain provisions for DHR
to receive dependency referrals, conduct assessments, and complete reports with
recommendations regarding whether children need to be placed in DHR’s care.
B. The Court’s Role
Alabama statutes provide for district courts to exercise juvenile court jurisdiction except
in certain counties where the presiding circuit judge has established a family court
division in the circuit (§ 12-17-70) or designated a circuit judge in the 11th, 12th, and
27th Judicial Circuits (§ 12-17-24.1). These courts have jurisdiction (§ 12-15-114) over
the following matters:
1. Children who are alleged to be dependent, in need of supervision, or
delinquent;
2. Children who are in situations that subject them to physical, mental or
emotional abuse or are in clear and present danger of suffering lasting or
permanent damage;
3. Children who require emergency medical treatment in order to preserve their
life, prevent permanent physical impairment or deformity, or alleviate
prolonged agonizing pain;
4. Children whose custody must be determined or a legal custodian/guardian
appointed when the children are before the court for other reasons;
Note: This provision is not intended to deprive other courts of the right to
determine custody or guardianship when that custody/guardianship is
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incidental to a pending case. These courts may, however, certify questions to
the juvenile court for hearing and determination or recommendation.
5. Proceedings under the interstate compact on juveniles;
6. Proceedings for the commitment of mentally ill or mentally retarded children;
7. Proceedings for the adoption of children when such proceedings have been
removed from probate court on motion of any party to the proceedings;
8. Termination of parental rights;
9. Removal of disabilities of nonage, including judicial consent to marriage,
employment, withdrawal from school, or enlistment when such consent is
required by law; and
10. Situations where it is alleged that children’s rights are improperly denied or
infringed upon in proceedings that resulted in suspension, expulsion or
exclusion from a public school.
The juvenile court system has the responsibility to ensure safe, permanent homes for
abused/neglected children while protecting the rights of parties who come before the
court. Judges utilize court reports, testimony, applicable statutes, and court rule as a basis
for court orders which are designed to fulfill the court’s responsibilities around safety and
permanence, enforce the parties’ compliance, and review the delivery of services and
treatment to children and their families.
C. Dependent Child Definitions
Code of Alabama, 1975 § 12-15-102 (8)(a), paragraphs a through n, provide the
following definitions for a “dependent child.”
a. Whose parent, legal guardian, legal custodian, or other custodian subjects the
child or any other child in the household to abuse, as defined in Section 12-
15-301 or neglect as defined in Section 12-15-301, or allows the child to be so
subjected; or
b. Who is without a parent, legal guardian, or legal custodian willing and able to
provide for the care, support, or education of the child; or
c. Whose parent, legal guardian, legal custodian, or other custodian neglects or
refuses, when able to do so or when the service is offered without charge, to
provide or allow medical, surgical, or other care necessary for the health or
well-being of the child; or
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d. Whose parent, legal guardian, legal custodian, or other custodian fails,
refuses, or neglects to send the child to school in accordance with the terms of
the compulsory school attendance laws of this state; or
e. Whose parent, legal guardian, legal custodian, or other custodian has
abandoned the child, as defined in subdivision (1) of Section 12-15-301; or
f. Whose parent, legal guardian, legal custodian, or other custodian is unable or
unwilling to discharge his or her responsibilities to and for the child.
g. Who has been placed for care or adoption in violation of the law.
h. Who, for any other cause, is in need of the care and protection of the state.
Children who meet any of the definitions listed above and are subject to real physical or
emotional harm come under the protection of the juvenile court system.
II. GENERAL GUIDELINES
A. Legal Counsel
In every case involving an abused or neglected child that results in a judicial proceeding,
an attorney shall be appointed to represent the child in such proceedings. This attorney
will represent the child’s rights, interests, welfare and well-being, and will serve as
guardian ad litem for the child (§ 26-14-11).
Parents/guardians/custodians in dependency cases shall be informed of their right to be
represented by legal counsel and when these persons are financially unable to retain their
own counsel, one shall be appointed for them upon their request [§ 12-15-305)]. Child
welfare staff are responsible for advising these persons of their right to make such a
request.
§ 12-15-304 a) In all dependency and termination of parental rights proceedings, the
juvenile court shall appoint a guardian ad litem for a child who is a party to the
proceedings and whose primary responsibility shall be to protect the best interests of the
child.
(b) The duties of the guardian ad litem include, but shall not be limited to, the following:
(1) Irrespective of the age of the child, meet with the child prior to juvenile court hearings
and when apprised of emergencies or significant events impacting the child. In addition,
the guardian ad litem shall explain, in terms understandable to the child, what is expected
to happen before, during, and after each juvenile court hearing.
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(2) Conduct a thorough and independent investigation.
(3) Advocate for appropriate services for the child and the family.
(4) Attend all juvenile court hearings scheduled by the juvenile court and file all
necessary pleadings to facilitate the best interests of the child.
(c) Before being appointed by the juvenile court, every guardian ad litem appointed in
juvenile dependency or termination of parental rights cases shall receive training
appropriate to their role.
(d) Nothing in this section shall prohibit the juvenile court from appointing trained
volunteers in addition to guardians ad litem in promoting the best interests of the child.
(e) A guardian ad litem may be appointed to protect the best interests of more than one
child of the same parent. A guardian ad litem also may be appointed to protect the best
interests of both a minor (or otherwise incapacitated) parent and the child.
1. Guardians Ad Litem (GALs)
A guardian ad litem is a special guardian appointed by the court to prosecute or
defend, on behalf of a child, a suit to which the child is a party. The GAL, an
officer of the court, represents the child’s interests in the litigation. Public Law
93-247, The Child Abuse Prevention and Treatment Act of 1974, prohibits states
from instituting child custody proceedings unless a GAL is appointed for the
child.
Child welfare staff are responsible for:
• ensuring that legal counsel is appointed by the court in all custody
proceedings involving a child or a minor parent;
• bringing the provision of a GAL to the court’s attention when necessary;
and
• requesting that costs associated with a GAL’s appointment be assessed
against the State (§ 15-12-21 and § 15-12-22).
2. Legal Representation For County Departments
County Directors are authorized to retain legal representation, on a case-by-case
basis, from local attorneys who are SDHR approved when representation is
needed for judicial proceedings involving dependency and temporary custody
matters. Counties with Regional Legal Offices are required to obtain legal
representation from that office. County Directors and/or local counsel may also
contact SDHR Legal for clarification on specific cases.
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If a county department is served with a lawsuit in which DHR or DHR staff are
being sued, SDHR Legal shall be contacted immediately. These cases shall not
be referred to local counsel unless the county is directed to do so by SDHR Legal.
B. Special Assistants
Special assistants (e.g., interpreters for the deaf or non-English speaking) are occasionally
needed for children, parents, or other persons whose testimony is necessary to present the
County Department’s case in court. Attorneys representing County Departments must
contact SDHR Legal to obtain prior approval to hire these assistants. If approval is
obtained, the attorney’s bill will include the assistant’s fee.
C. Witnesses
Witnesses with firsthand knowledge of the facts in a case are needed to testify at
dependency hearings to support a child’s best interest and the Department’s petition. The
attorney representing the County Department can subpoena witnesses to appear in court.
1. Expert Witnesses
Some cases may require an expert’s opinion and the expert may charge a fee for
testifying. When an expert’s testimony is considered critical to the case, the
attorney representing the County Department must contact SDHR Legal to
discuss the case and obtain prior approval for payment to the expert.
2. Depositions
Depositions can be used for court witnesses who live in-state or out-of-state when
the witnesses are unable to travel to court or travel costs are prohibitive.
Attorneys representing the County Department must contact SDHR Legal to
obtain prior approval when considering depositions.
D. Privileged Communication
The doctrine of privileged communication (§ 26-14-10), with the exception of the
attorney-client privilege, is not grounds for excluding evidence regarding a child’s
injuries or the cause of them. Privileged communication between husband and wife is
also set aside when judicial proceedings result from a report of child abuse/neglect
pursuant to this act.
E. Preparing Children For Hearings
Children ages twelve (12) years and older will receive a summons to appear at court
hearings, and the court may require the parent/guardian/custodian to accompany children
of any age. Children should not be present at hearings when evidence that may damage
their confidence in their parents is heard or when evidence that is unsuitable for them to
hear is presented. §12-15-129 provides that the court may temporarily exclude the
children’s presence from the hearing if it is in their best interests.
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Child welfare staff is responsible for preparing children for court proceedings when the
children are old enough to understand. If the judge decides to hold a private interview
with a child in order to obtain facts pertinent to the proceedings, the child must be
apprised.
III. DEPENDENCY PROCEEDINGS
The decision to seek court intervention is typically a joint decision by ISP team members after it
has been determined that services delivered have been unsuccessful and positive outcomes are
unlikely without court intervention. Child welfare staff must clearly document all reasonable
efforts made to prevent or eliminate the need for a child’s removal from home. Parents/primary
caregivers must be informed of the need for court intervention unless the advance notice could
lead to an increased risk of serious harm to the children.
A. Making Complaints And Preparing Petitions
Cases are brought to the juvenile court’s attention by making a complaint to the court’s
intake officer which alleges facts sufficient to establish the court’s jurisdiction and the
child’s dependency. Dependency is alleged when the child meets any of the definitions
noted in section I., C.
Complaints may be signed by any person who has firsthand knowledge of the facts in a
case or by any person who is informed of the facts and believes them to be true. The
complaint is verified when the person signs an affidavit swearing that the complaint’s
contents are true. The court intake officer then conducts a preliminary inquiry to
determine whether the child is in the court’s jurisdiction and whether the child’s or the
public’s best interests require that a petition be filed. Petitions must be filed within
fourteen (14) days of receiving the complaint, except in summary removal cases where
the petition must be filed and a hearing held within seventy-two (72) hours (Saturday,
Sundays, and holidays included).
All petitions must specify (1) the legal definition of why the child is alleged to be
dependent (use applicable paragraphs a through n from section I., C.); (2) facts that show
the child is dependent; and (3) reasonable efforts that were made to prevent the child’s
removal from home. Unless a good cause exemption has been established, § 12-15-314(e)
requires that DHR custody petitions also include the following requests:
• a request for child support;
• a request to set a child support hearing if the child is found to be
dependent and DHR is awarded custody;
• a request for medical support; and
• a request for wage withholding directing that the child support be paid to DHR.
B. The Summons
The court will direct the issuance of summonses after a dependency petition has been
filed. Summonses will be served to appropriate persons (e.g., parents; primary
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caregivers; children ages twelve (12) years and older; any other persons who appear to
the court to be proper or necessary parties to the proceedings) at least twenty-four (24)
hours before the hearing.
A copy of the petition will be attached to each summons, and the court may order the
parents or primary caregivers to bring the children to the hearing. Any party, other than
the children, may waive service of summons in writing or through voluntary appearance
at the hearing. If a party waives the right to notice, the hearing may be held before the
scheduled date. In this event, each party must be given a copy of the petition before or at
the hearing. The inability to serve any party does not deprive the court of jurisdiction to
proceed. If a summoned person fails to appear without reasonable cause, the court may
hold that person in contempt.
C. Predisposition Study And Report
After a dependency petition has been filed, DHR may be ordered to conduct and file a
predisposition study and report concerning the child, the child’s family, and other matters
relevant to the case. These studies and reports shall be completed according to the
court’s order, and must contain factual evidence to support the dependency allegations
and enable the judge to rule in the child’s best interests. CA/N Central Registry
information may be made available to the appropriate court, district attorney, and law
enforcement agency according to § 26-14-8 (c), paragraphs 1 through 4, 6 and 8. Central
Registry information on “not indicated” reports and information contained in CPS
Prevention referrals and assessments may be included in court reports only when that
information is subpoenaed or provision of the information is expressly authorized by
order of the court. Agency records other than CA/Ns shall not be made available to
anyone outside the Department unless expressly authorized by order of the court. County
Departments can defer providing pending CA/N information (unless served a subpoena
or court order) until the CA/N initial assessment process is completed. Reports that
recommend a child’s removal from home must also contain documentation that all
reasonable efforts have been made to prevent removal.
Written reports and evaluations from out-of-state social service agencies may not be
considered in the hearing’s adjudicatory phase unless the worker who knows the case
facts and has completed the evaluation/report can testify. Attorneys for County
Departments must contact SDHR Legal to request assistance with determining whether it
is absolutely necessary that the out-of-state worker testify at the hearing or if a deposition
will suffice.
D. Hearings
Dependency hearings are conducted without a jury and separate from other court
proceedings. The general public is excluded, and only the parties, their counsel,
witnesses, and any other persons requested by a party or the court are admitted under the
condition that they refrain from divulging any information which identifies the children
or family involved. Judges may also temporarily exclude the children’s presence at
hearings.
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1. Shelter Care and Summary Removal
A. Shelter Care
Shelter Care hearings must be held within seventy-two (72) hours of
taking children into temporary protective custody. After a child is
removed either by summary removal or pick up order, a shelter care
hearing is required within 72 hours. This hearing determines if continued
out-of-home care is needed.
If a child is not released from care and the parents/primary caregivers have
not been notified of the hearing or have waived appearance, an affidavit
stating these facts must be completed, and the court must rehear the case
within twenty-four (24) hours.
B. Summary Removal
Summary removal is the process where children are taken into temporary
protective custody to protect them from imminent risk of serious harm.
Summary removal is a pick up that does not require a court order. Code of
Alabama 1975, § 26-14-6, provides the Department the statutory authority
to remove a child without a pick up order.
2. Adjudicatory
An adjudicatory hearing is a “hearing on the merits” of the petition, and may be
combined with the shelter care hearing. The parties are informed of the specific
allegations in the petition and given an opportunity to admit or deny the
allegations.
If the allegations in the petition are denied, the court will proceed to hear evidence
in order to make an adjudication. Clear and convincing evidence and competent,
relevant material must be presented to show that the child is dependent thereby
allowing the court to make a proper disposition. Persons knowing the facts will
need to be subpoenaed to give testimony. Depositions may be taken if these
persons are out-of-state and travel costs are prohibitive, or if in-state witnesses are
unable to travel to the hearing. SDHR Legal must give approval before
depositions are taken.
DHR must provide clear and convincing evidence that a child is dependent and in
need of the State’s care or supervision. DHR must also identify the permanent
plan for the child (e.g., return to parents, relative placement, adoption). The court
may dispose of the case immediately or may postpone the adjudication and
schedule another hearing in order to make a proper disposition. If the facts in the
petition have not been established, the court may dismiss the petition and order
that the child be returned home if summary removal had occurred.
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A judge may issue any of the following orders for the child’s protection when a
child is found to be dependent.
• Child is permitted to remain with the parent/guardian/custodian
subject to the court’s conditions and limitations;
• Child is placed under DHR protective supervision;
Protective supervision is a legal status created by a court order where a
child is permitted to remain at home with supervision. Both supervision
types allow the parents/custodians to retain custody with periodic reports
provided to the court.
• Child’s legal custody is transferred from the parent or custodian to
any of the following:
(1) The County Department;
(2) A local public child-placing agency or private organization or
facility licensed by DHR or otherwise authorized by law to receive
and provide care for a dependent child;
(3) A relative or any other individual found by the court to be
qualified to receive and care for the child; or
(4) A state or local agency that can provide services and treatment
for the child.
Code of Alabama 1975, §12-15-314(b) provides that no child found to be
dependent shall be committed to or confined in an institution established for the
care and rehabilitation of delinquent children or a detention facility, unless also
found to be delinquent.
There is nothing that prevents the placement of a child in need of supervision, a
delinquent child, and a dependent child in the same residential or shelter facility
(e.g., child care institution, foster family home, group home, shelter) if such a
facility was not established for the care and rehabilitation of delinquent children.
3. Dispositional
Dispositional hearings are held to dispose of petitions and may be combined with
the adjudicatory hearing. All relevant evidence, including oral and written
reports, is presented to the court and used to the extent that the court finds them
pertinent. The parties or their counsel are afforded an opportunity to examine and
raise arguments to written reports, and to cross-examine individuals making
reports. Dispositional hearings may be continued for a reasonable timeframe in
Child Protective Services Policies And Procedures
Revision No. 48
Effective June 10, 2020
10
order to receive more reports or other evidence. In this event, the court will make
an appropriate order for the child’s care until the next hearing.
4. Permanency Hearings
The term “permanency hearing” replaced the twelve month “dispositional
hearing” with the enactment of the Adoption And Safe Families Act (ASFA).
This legislation, effective November 19, 1997, reaffirms R.C. Consent Decree
principles and promotes national goals of safety, permanency and well – being for
children.
To qualify as a permanency hearing, the hearing must be open to the child’s
parents, the age-appropriate child, the foster parents, and the pre-adoptive parents.
The hearing must be conducted by:
• a family or juvenile court;
• a court of competent jurisdiction; or
• an administrative body appointed or approved by the court.
Initial permanency hearings must be held within thirty (30) days of a court
determination that reasonable efforts are not required or within twelve (12)
months of “the date the child is considered to have entered care.” ASFA defines
“the date the child is considered to have entered care” as the earlier of: (1) the
date of the first judicial finding that the child has been abused or neglected, or (2)
sixty (60) days after the date the child was removed from home. The initial
permanency hearing is due twelve (12) months from the actual date that the child
entered care, and subsequent hearings must be held no less frequently than every
twelve (12) months thereafter to assure that required timeframes are being met.
Permanency hearings are not required for children in DHR custody who reside in
their own homes. Code of Alabama 1975, §§ 12-15-312 and 315.
Permanency hearings are held to determine whether and when a child will be:
• returned to and safely maintained at home; or
• placed with a relative and referred for legal custodianship; or
• placed for adoption following termination of parental rights; or
• placed in another planned permanent living arrangement, if the other
options are not appropriate.
E. Appeals
Aggrieved parties in a dependency case may appeal a final order, judgment, or decree by
filing a written notice of appeal within fourteen (14) days after the order, judgment, or
decree has been entered.

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Multi-Disciplinary Child Protection Teams
Multi-Disciplinary Child Protection Teams
Child Protective Services Policies And Procedures
Effective September 1, 2002 i
TABLE OF CONTENTS
I. INTRODUCTION 1
II. GUIDELINES FOR DEVELOPING TEAMS 1
A. Team Membership 1
B. Team Functions 2
III. GUIDELINES FOR EFFECTIVE USE OF TEAMS 3
A. Referrals 3
B. Cases Appropriate For Referral 3
C. Team Recommendations 4
D. Follow-Up Case Consultation 4
IV. ANNUAL REPORTS 5
Multi-Disciplinary Child Protection Teams
Child Protective Services Policies And Procedures
Effective September 1, 2002 1
I. INTRODUCTION
DHR is mandated to provide for the development and coordination of Multi-Disciplinary Child
Protection Teams throughout Alabama to assist and supplement protective services for abused
and neglected children (§ 26-16-50). § 26-16-51 provides that the Department shall adopt
guidelines and criteria relating to the teams’ operation and functions as promulgated by an ad
hoc advisory committee. These teams are valuable resources for collaborating with other
disciplines in a community that provide services to abused and neglected children.
County Departments shall mobilize community resources to help protect Alabama’s children and
facilitate interest and support for developing new resources to provide treatment for
abusive/neglectful parents. Child abuse/neglect issues are multifaceted and existing community
services may not adequately meet protective service families’ needs. The potential for
developing community resources will vary from county to county, and resource development is a
joint effort between County Departments and their communities. Examples of community
resources include, but are not limited to, the following:
• Prevent Child Abuse Alabama;
• Crisis Nursery Centers;
• Family Options;
• Children’s Trust Fund; and
• Family Resource Centers.
II. GUIDELINES FOR DEVELOPING TEAMS
DHR has adopted the following guidelines and criteria as prepared by the Governor’s ad hoc
advisory committee, and they shall supplement existing DHR protective service functions and
activities.
A. Team Membership
Multi-disciplinary child protection teams must be composed of representatives from the
County Department of Human Resources, local law enforcement agencies, District
Attorney’s Office, educational systems and the medical community. In communities
where local volunteer groups deal with CPS needs (e.g., child abuse prevention), those
organizations should have a representative on the multi-disciplinary team. These teams
may be merged with other mandated or voluntarily formed teams in the county (e.g.,
multi-needs child team, child death review committee). If the teams merge, the multi-
disciplinary team’s legally mandated functions must be carried out.
Multi-disciplinary teams may also include other professional representatives from the
mental health, legal, judicial, child development, and other appropriate disciplines.
Appropriate members of a family’s ISP team may also be included on the multi-
disciplinary team.
Multi-Disciplinary Child Protection Teams
Child Protective Services Policies And Procedures
Effective September 1, 2002 2
B. Team Functions
The Multi-Disciplinary Team’s function shall include, but is not limited to, the following:
• Advisory Case Consultation – Gathers expert advice, opinions or information
as an aid in the assessment and treatment planning for abused/neglected
children and their families.
• Information and Referral – Serves to provide case coordination and
assistance in an effort to provide a full array of services without duplication
(e.g., type and location of services available to abused/neglect children and
their families from public agencies in the community).
• Education – Provides for child abuse/neglect educational and community
awareness campaigns in an effort to enable citizens to more successfully
prevent, identify, report, and treat child abuse/neglect.
• Resource Development – Occurs when a team identifies recurring gaps in
services and unmet needs of abused/neglected children and their families;
explores methods by which resources can be developed or enhanced to fill
gaps and unmet needs.
• Treatment – Allows for comprehensive medical and psychological programs
for the identification/diagnosis of child abuse/neglect and
treatment/rehabilitation programs for abused/neglected children and their
families.
• Meetings – Teams must meet at least once every two (2) months unless prior
approval has been given in writing by the DHR Commissioner. DHR-FCS-
1522, Multi-Disciplinary Child Protection Team Report, may be used to
request such approval.
• Case Referrals – Any case involving Alabama children and their families
may be presented by any team member when the case situation meets
Alabama laws defining child abuse/neglect or the case involves children who
are at risk of serious harm and are, therefore, in need of child protective
services.
• Confidentiality – Confidentiality of family information must be ensured
pursuant to state law and each team member must sign the DHR-FCS-1521,
Multi-Disciplinary Child Protection Team Member Commitment And
Confidentiality Agreement. The children’s and adult family members’
surnames may be used during team meetings when the confidentiality
agreement has been signed and adhered to by all team members.
• Individual Team Plans – Each County Department of Human Resources
Director or their designee was required to submit an operational plan to the
Multi-Disciplinary Child Protection Teams
Child Protective Services Policies And Procedures
Effective September 1, 2002 3
DHR Commissioner within ninety (90) days after the adoption of these
guidelines. This plan included team functions; membership; provisions for
referrals; caseload; team standards; record keeping; membership selection
and retention; follow-up reporting; meeting location, scheduling, and
coordination; and any other needed provisions. Any revisions to the
operational plan must be submitted to and approved by the DHR
Commissioner. DHR-FCS-1522, Multi-Disciplinary Child Protection Team
Report, is used to request this approval.
III. GUIDELINES FOR EFFECTIVE USE OF MULTI-DISCIPLINARY TEAMS
The following guidelines are provided for making the most effective use of teams.
A. Referrals
Any team member may refer a case to the team for consultation and recommendations by
completing DHR-FCS-1519, Multi-Disciplinary Child Protection Team Referral Form.
Submit the referral form to the team coordinator as early as possible, but at least one (1)
day before the team meeting.
B. Cases Appropriate for Referral
Cases considered appropriate for referral to the multi-disciplinary child protection team
include, but are not limited to:
• Severe physical or sexual abuse and neglect where CPS staff are unsure of
the disposition, or other involved professionals disagree with the
disposition (e.g., child has been abused/neglected and the identity of the
person allegedly responsible for abuse/neglect is unknown or in dispute,
and the child’s safety must be ensured);
• Child has injuries from physical/sexual abuse or neglect, and there is
uncertainty about the appropriate treatment plan;
• Abuse/neglect continues after CPS intervention, and there is uncertainty
about the appropriate treatment plan;
• Severe emotional abuse has resulted in the child being emotionally
disturbed or rejected by the parents/primary caregivers (e.g.,
divorce/custody disputes) and there is uncertainty about the appropriate
treatment plan;
• Parents/primary caregivers are suspected of being dangerous and there is
uncertainty about how to proceed with CPS intervention;
• CA/N reports occurring in out-of-home settings and case consultation is
needed;
Multi-Disciplinary Child Protection Teams
Child Protective Services Policies And Procedures
Effective September 1, 2002 4
• Several disciplines are involved with a family and a more coordinated
approach is needed for service planning and delivery in order to prevent a
duplication of services and to provide better service delivery;
• Cases representative of a population of children (e.g., children with
sexually transmitted diseases, truants, runaways) who require specific
disciplinary expertise (e.g., medical, educational, legal);
• Medical neglect of handicapped infants (aka “Baby Doe” cases);
• Consultation is needed regarding decisions to place children in foster care
or reunify children with their families;
• Foster care placements experiencing unique challenges and there is
uncertainty about the treatment methodology that is in the child’s best
interest;
• Consultation is needed to assist with decisions regarding termination of
parental rights;
• Cases in which any team member or the public has expressed concern or
disagreement with the processing and/or disposition of a CA/N report; and
• DHR staff need safe case closure consultation.
These case situations are intended to serve only as a guide, and team members may refer
any case they deem appropriate. Cases requiring crisis intervention are not usually
appropriate for referral since most team meetings are scheduled at regular intervals.
However, it may be appropriate to consult with one or more of the team members during
crisis intervention as they may be able to assist with diagnosis or treatment by sharing
their expertise.
C. Team Recommendations
Team members must reach consensus concerning their recommendations. Occasionally,
it may be necessary for the team coordinator to determine consensus by actually voting
on a recommendation. Team recommendations shall be documented in the case record.
D. Follow-up Case Consultations
The Multi-Disciplinary team may continue to consult on cases at regular intervals after
the initial referral. Care should be taken to ensure that new cases are being considered as
well as those cases that are being reviewed for follow-up consultation. Prior to follow-up
consultations, child welfare staff shall complete sections I and II of the Multi-
Disciplinary Team Follow-Up Report (DHR-FCS-1520) and submit to the Team
Multi-Disciplinary Child Protection Teams
Child Protective Services Policies And Procedures
Effective September 1, 2002 5
Coordinator. The follow-up consultation will be documented in sections III and IV and
returned following the presentation.
IV. ANNUAL REPORTS
County Departments shall complete an annual report on the activities of their multi-disciplinary
teams using DHR-FCS-1522, Multi-Disciplinary Child Protection Team Report. These reports
must be submitted by September 30th of each year to SDHR’s Office of Child Protective Services
as they are used to apprise the Joint Legislative Committee on Children and Youth of the teams’
activities across the state.

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SUPPORT SERVICES
Support Services
Child Protective Services Policies And Procedures
Revision No. 20
Effective November 1, 2010
i
TABLE OF CONTENTS
A. Diagnosis And Evaluation (D&E) And Mental Health Counseling (MHC)
Services For Non-Medicaid Eligible Children/Families 1
B. Medical Expenses Incurred During CA/N Initial Assessments 1
C. Protective Services Day Care 1
Support Services
Child Protective Services Policies And Procedures
Revision No. 20
Effective November 1, 2010
1
A. Diagnosis And Evaluation (D&E) And Mental Health Counseling (MHC) Services For
Non-Medicaid Eligible Children/Families
D&E and MHC services can be authorized for children and their families in open protective
service cases when the children and their families are not Medicaid eligible and/or the services
are not reimbursable through Medicaid. These services can be paid for with county flex funds
only when:
• child welfare staff have explored and exhausted all other resources (e.g., free or
donated services through community mental health centers or other qualified
mental health providers) to provide the service;
• the need for D&E and/or MHC is documented in the narrative; and
• the service is authorized in the safety plan or ISP to meet an identified need.
County Directors are responsible for ensuring that all other resources have been explored and
utilized prior to approving payment with flex funds. Payments must not exceed the Medicaid
rate (as specified in the Funding Maximization Manual) and can be made only after service
delivery has occurred.
B. Medical Expenses Incurred During CA/N Initial Assessments
Children may need medical services (e.g., examinations, treatment) to help child welfare staff
determine if abuse/neglect caused the injury or health issue. The payment methods identified
below must be sought prior to utilizing flex funds for medical services that are provided to
children not in DHR custody or planning responsibility. Child welfare staff must document their
efforts to secure payment and when appropriate, authorize the flex fund payment through the
safety plan or ISP. Payment methods are listed in order of preference.
1. Parents’/legal custodians’ private insurance (including CHAMPUS)
2. Medicaid
3. Direct payment by parents/legal custodians
4. Private donation
5. Local or county flex funds
Payments must not exceed the Medicaid rate (as specified in the Funding Maximization Manual)
and can be made only after service delivery has occurred.
C. Protective Services Day Care
This service is designed to provide safe substitute care for a portion of the day for children who
are at threat of serious harm due to the family situation. Protective services day care may be
authorized only when all the following criteria are met:
• the child needing day care services was identified in a CA/N report as allegedly
experiencing abuse/neglect and the child’s family is receiving other child welfare
Support Services
Child Protective Services Policies And Procedures
Revision No. 20
Effective November 1, 2010
2
services as an on-going protective services case;
• the day care is being authorized as a result of needs identified in the CA/N
assessment;
• day care has been documented in the safety plan or ISP to meet an identified
need;
• if day care is not provided, the child will be at risk of abuse or neglect; and
• if day care is not provided, the child will be at risk of placement in foster care.
Child welfare staff must submit a written referral to their local child care management (CMA)
agency for children needing protective services day care. The protective services category of
eligibility shall be authorized on the written referral as either being “without regard to income
(WRTI)” or as “income eligible (PSIE).”
Services can be provided under the Protective Services category of eligibility (e.g., WRTI or
PSIE) for up to six (6) months, unless child welfare staff requests a shorter authorization period.
To request an additional six (6) months or shorter period, child welfare staff must submit a new
written referral.
Income requirements apply, unless child welfare staff specifically requests, as indicated on the
written referral, for services to be provided WRTI. Parental fee requirements apply, unless child
welfare staff specifically waives the fee requirement as indicated on the written referral. Waiting
list requirements for protective service day care do not apply.

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Table of Contents
i
TABLE OF CONTENTS
OUT-OF-HOME CARE INTRODUCTION
A. Purpose
B. Legal Base
C. Glossary
D. Documentation
1. Record Keeping
2. Correspondence
3. Narrative Recording
4. Documentation and courts
5. ISP Documentation Requirements
For Children in Out-of-Home Care
PLACEMENT OF CHILDREN
A. Authority to Place
1. Voluntary Placement
2. Court-Authorized Placement
B. Preparation for Placement
1. Preparation of the Child
2. Preparation of the Parents
3. Preparation of the Out-of-Home Care Provider
C. Placement Requirements
1. Close Proximity
a. Children Covered by Policy
b. Proximity of Placement Policy for Children Placed
with
Child Placing Agencies
c. Court Orders
d. Making Placements in Close Proximity to the Child’s
Home
e. Selecting a Placement
f. Selecting a Placement for a Child who Requires
Specialized Services
g. When Children May be in Placements That Are not in
Close Proximity to Their Home
h. Contact with Family and Friends When Not Placed in
Close Proximity to Home
2. Placing Siblings Together
a. Children Covered by These Policies
b. Sibling Placement Policy for children Placed With
Child Placing Agencies
ii
c. Court Orders
d. Placing Siblings
e. Selection of a Placement for Siblings
f. When Siblings May be Placed Apart
g. Application of Sibling Placement Policy to Siblings
Separated for Long Periods in Out-of-Home Care
Prior to Issuance of This Policy
h. Contact Among Siblings When Separated
D. Choosing the Least Restrictive Setting
1. Relative Care
a. Kinship Care
2. Foster Family Homes
a. Related Foster Care
b. Foster Home of DHR Employees
i. County DHR Employees
ii. State DHR Employees
iii. DHR Employees As Relative Placements
iv. DHR Employees As Respite Providers
v. Payments to DHR Employees Approved as
Foster Parents
c. Foster Family Homes Serving as Maternity Homes
d. Therapeutic Foster Care
e. Enhanced Foster Care
i. Requirements for Use of Enhanced Foster
Care
ii. Required Training to be Provided by the
Administering Agency to Foster Parents
iii. Necessary Support Services for the Enhanced
Foster Parents to be Provided by the
Administering Agency
iv. Responsibilities of County Departments of
Human Resources
v. Funding
f. Provisional Foster Care Placements
g. Unrelated Foster Care Placements
3. Child Care Institutions and Group Homes
4. Shelter Care Facilities
5. Residential Facilities for Children and Youth
a. Procedure for Placement
i. Request for Application for Admission
ii. Admission Agreement and/or Contract
iii. Authorization to Place
iv. Child in the Custody of a Residential Facility
v. Special Educational Services for Exceptional
Children Placed by DHR in Residential
Settings
iii
(1) Initial Placement In Facility Located
Outside DHR County of Responsibility
(2) Change in Residential Placement of
Special Education Child
(3) Written Notification to LEA of Placement
(4) Transmittal of Essential Information from
One LEA to Another LEA
vi. Surgery or Other Medical Treatment
vii. ISP for Children in Residential Facilities
viii. Preparation and Placement
ix. Vacation Planning
b. Child Care Institution and Group Homes
i. Reporting of All Referrals
ii. Selection of Facility Based on Needs of Child
and Proximity of Natural Family
iii. Services During Placement
iv. CAN Reports on Child Care Institution and
Group Homes
v. Child Care Institutions and Group Homes Title
XX Contract for Social Services
vi. In-State Residential Treatment Facilities under
Contract
vii. Payment Procedure for Contract Facilities
viii. Out-of-State Residential Treatment Facilities
for Emotionally Handicapped Children
c. Nursing Homes
(1) Medical Level of Care
(2) Payment of Nursing Home Care
d. Cerebral Palsy Centers and Residential Treatment
Facilities
e. Inpatient Psychiatric Services
i. Referral and Admission
ii. Assessing the Need for Inpatient Services
(1) Behavioral Indicators
(2) Prior Services and Treatment
Interventions
iii. Confirming the Need for Inpatient Services
iv. SDHR Consultation and Approval
v. Extensions
vi. Discharge
vii. Case Record and Documentation
PERMANENCY/CONCURRENT PLANNING
A. Permanency for Children Defined
B. Concurrent Planning for Children Defined
iv
C. Courts and Permanency Planning
1. Court Orders
2. Court Reports
3. Permanency Hearings
4. Judicial Review
5. Administrative Review
D. Reasonable Efforts
1. Requirements
2. When Reasonable Efforts Are Not Required
a. Involuntary Termination of Parental Rights of a Sibling
b. Parents Involvement in Criminal Activity
c. Aggravated Circumstances
E. Termination of Parental Rights in Out-of-Home Care
1. Case Situations Requiring Termination of Parental Rights
2. Exceptions to Termination of Parental Rights Requirements
a. Relative Placement
b. Services Not Provided
c. Compelling Reasons
F. Permanency/Concurrent Goals
1. Return to Parent
2. Permanent Relative Placement With Transfer of Custody to
The Relative
3. Permanent Relative Placement with DHR Retaining Custody
4. Adoption by Current Foster Parent
5. Adoption With No Identified Resource
6. Another Planned Permanent Living Arrangement, Court
Approved
7. Adult Custodial Care
G. Relative Resources
H. Federal Parent Locator Service (FPLS)
I. The Individualized Service Planning Process for Out-of-Home Care
1. Assessment
2. Individualized Service Plans
CASEWORKER VISITATION WITH THE CHILD AND FAMILIAL
CONNECTIONS
A. Caseworker Visitation with the Child & Familial Connections
B. Worker/Parents/Primary Caregivers Visits
C. Worker Visits to Foster Homes/Related Home/Other Providers
HEALTH/MEDICAL CARE
A. Initial Medical Care/Examination
v
1. Medical Exam
2. Medicaid Eligible Determination
3. Medical Insurance for Children who are Ineligible for Foster
Care Medicaid
B. Ongoing Medical Care
1. Routine and Periodic Medical Exams
2. Authorization for Surgery or Other Medical Treatment
Emergency or Non-Emergency
3. Experimental Medical Care
4. Medications
a. Over the Counter Medications
b. Prescription Medications
5. Dental Care
a. Braces
6. Authorization for Foster Parents and Related Caregivers to
Apply for WIC Benefits
7. Alabama Medicaid Agency’s Prior Authorization Program
and Preferred Drug List (PDL)
8. Alabama Medicaid Coverage for Out of State Services
C. Children with Specialized Health Care Needs
1. Difficulty-of-Care Payment
a. Criteria for Determining Child’s Need for Specialized
Foster Home Care
2. Medically Fragile
a. Children who may Qualify for Medically Fragile
i. Human Immunodeficiency Virus
ii. Drug Exposed Infants
iii. Fetal Alcohol Spectrum Disorder
iv. Hepatitis
v. Seizure Disorder
vi. Cystic Fibrosis
vii. Traumatic Brain Injury
viii. Shaken Baby Syndrome
ix. Hemophilia
x. Sickle Cell Anemia
xi. Autism
xii. Diabetes Mellitus
xiii. Serious Birth Diagnoses
xiv. Congenital Defects
b. Older Children Who Qualify As Medically Fragile
c. Children Who Are Not Medically Fragile
d. Training and Requirements of Foster Parents to
Provide Medically Fragile Care
e. Payment Procedures
f. Medically Fragile Rate for Adoption Subsidies
g. Date Entry
vi
3. HIV/AIDS
a. Testing Considerations
b. Confidentiality
c. Training and Education
d. Placement Consideration for Children Diagnosed with
HIV Infection
e. Services During Placement
i. Services to the Child
ii. Services to the Foster Parents
iii. Services to the Parents
D. HIPAA
E. Consent of Minors for Health Care
1. Criteria for Minors to Consent
2. Contraception for Foster Children
MAINTAINING FAMILY CONNECTIONS
A. Rights/Roles and Responsibilities of the Birth family
1. Birth Families Rights
2. Birth Families Responsibilities
B. Visiting Between Child and Significant Others
1. General Principles
2. Children Covered
3. Visiting Policy for Children Placed in Child Care Institutions,
Group Homes and Child-Placing Agencies
4. Court Orders
C. Visiting Policies
1. The Role of the Child and Family Planning Team
2. Placement Visits
3. Arrangements for Visits
4. Location of Visits
5, Frequency of Visits
6. Reasonable Rules for Visits
7. Visit with Friends
8. Visitation in Unrelated Homes – Visiting Resources
9. Visiting Supports and Services
10. Restrictions on Visiting
a. General Guidelines
b. Restrictions Imposed by the Foster Care Provider
11. Specific Restrictions
a. Supervision of Visiting
b. Prohibiting or Terminating Visits
c. Prohibiting Disclosure of the Foster Parent’s Address
D. Telephone and Mail Contacts
1. Children Covered by Policy
vii
2. Telephone and Mail contacts for Children Placed in Foster
Homes and Shelters
3. Telephone and Mail Contacts for Children Placed in Child
Care Institutions, Group Homes and Child Placing Agencies
4. Telephone and Mail with DHR Staff and Service Providers
5. Telephone and Mail Contacts with Legal Counsel,
Advocates, and Courts
E. Telephone Contacts
1. Reasonable Rules for Telephone Contacts with
Parent/Relative
2. Telephone Contacts with Friends
3. Telephone Contacts with Legal Counsel, Advocates, and
Courts
4. Telephone Restrictions
5. Monitoring
6. Limits on Calls To/From Certain Persons
7. Prohibiting Disclosure of Provider’s Telephone Number
8. Payment for Telephone Calls Made by Children in Foster
Care
a. Obligation to Pay
b. Payment to Providers
F. Mail
1. Written Communication Between Children and
Parents/Relatives or Friends
2. Interception of Mail
3. Censoring or Withholding Mail
4. Withholding Provider’s Address
5. Mail Contact with Legal Counsel, Advocates and Courts
6. Payment to Providers for Mail Expenses
G. Out of County/Out of State Visits
ACTIVITIES AND LIFE EVENTS
A. Purpose
B. Consent
C. Clothing
D. Spiritual Development
E. Allowances
F. Car Seats
G. Driving
1. Permission
2. Insurance
3. Purchasing/Owning Vehicles
viii
H. Hunting
I. Publicity
J. Travel of a Child in the Care/Custody of DHR
1. Out of County Travel with an Out-of-Home Care Provider
2. Out of State Travel with an Out-of-Home Care Provider
3. Air Travel by Children in the Care/Custody of the
Department
4. Out of State Air Travel
5. In-State Air Travel
K. Military Service
L. Marriage
M. Death and Burial/Cremation
To Request Payment from SDHR
N. Life Books
POLICY SPECIFIC SUBSECTIONS APPLICABLE TO ANY TYPE OF OUT-OF-
HOME CARE
A. Abandoned Children
1. Safe Haven
B. Appointment of Guardian or Conservator for Foster Child
C. Board Payment Use
D. Child Support
1. Establishing Good Cause Not to Pursue Child Support
2. Establishing the Support Obligation in DHR Foster Care
Case
3. Child Support Referral Process
4. Responsibilities of the Child Support Unit
5. Responsibilities of the Family Service Unit
6. Collection of Child Support
7. Distribution of Child Support
8. Calculation of Excess Over Board/Request for Return to
County
E. Children in Out-of-Home Care Who are not United States Citizens
F. Dual Foster Care and Day Care Services Limitations
G. Homes Providing Foster Care for Children and Foster Care for
Adults
H. Foster Care Trust Fund
I. Reports of Abuse and Neglect on Children in Out-of-Home Care
J. Runaway/Missing Children
ix
1. Runaway Children
2. Missing Children
K. Transitioning Children Into Adulthood
1. Long Range Planning for Children with Disabilities
2. Transfer of Family Services Cases of Children with
Disabilities to Adult Services at the Age of Majority
3. Smooth Transitions
a. Legal Basis
b. Guidelines and Procedures
c. Transitional Planning
d. Level of Functioning Assessment
4. Individualized Service Plans (ISPs)
5. Discharge From the System of Care
6. Discharge Planning
7. Post Foster Care Supervision
8. DHR Relief of Custody Requests
9. Discharge Procedures
10. Reentering the System Following the 18th Birthday
a. General Guidelines
b. Authority to Place 18/19 Olds
L. Visiting Resources
EDUCATION
A. School Enrollment
B. Educational Information Provided to Foster Parents/Providers
C. DHR/SDE/LEA Protocols
D. Referral for Building-Based Student Support Teams (BBSST)
E. Referral for Special Education Services
F. Individualized Education Program (IEP)
G. Surrogate Parent
INDEPENDENT LIVING SERVICES (ILS)
A. Policy
B. Legal Basis
C. Youth Covered by Policy
D. Program Development
1. Promoting a Sense of Control Over Their Future
a. Individualized Service Plans (ISPs)
b. Life Skills Development Groups
c. Youth Advisory Councils (YAC)
x
2. Promoting A Sense of Competency
3. Promoting A Sense of Permanency
4. Usefulness
E. Provision of IL Services
F. Transitional and Independent Living Placement Resources
1. Placement Criteria
2. Youth with Children
3. Individualized Service Plan (ISP) Requirements
G. Funding
1. Funding Source for Different Case Types
2. Education and Training Voucher (ETV) Program
a. Use of DHR Computer by Youth
b. The Youth’s Responsibility
c. Youth Eligibility
d. Qualifying Schools
e. Eligible Costs
f. Administration
SPECIALIZED SERVICES AND SUPPORT
A. Behavior Management
1. Children Covered
2. Disagreements and Grievances
B. Behavior Management Intervention
1. Prohibited Interventions
2. Less Restrictive Interventions for Managing
a. Modeling
b. Rewards, Privileges, and Positive Reinforcers
c. Positive Communication
d. Redirecting
e. Contracting
f. Time-Out
g. Natural Consequences
h. Logical Consequences
i. Ignoring the Behavior
j. Stating the Boundaries
k. Behavioral Charting
l. Family Meetings
m. Punishment
n. Levels Program as an Intervention
o. More Restrictive Interventions for Managing Existing
and Teaching New Behaviors
i. Isolation
ii. Medication, Seclusion and Restraint
(1) Medication
xi
(a) Criteria for Use
(b) Documentation
p. Seclusion or Restraint
i. Criteria for Use
ii. Physical Environment and Care of the Child
iii. Notification of Parent, Legal
Guardian/Custodian, DHR
iv. Procedural Requirements
(1) Authorization/Orders
v. Exceptions
vi. Release
vii. Documentation
3. Provider Responsibilities
4. DHR Responsibilities for Behavior Management
5. Assessing Behavioral Needs
6. Designing and Implementing the Behavior Management Plan
7. Assessing and Monitoring Behavioral Management
Interventions
8. Discharge Planning and Training for Managing Behaviors
C. Multiple Needs Children
D. Alabama Child Welfare Practice
1. Children Covered
2. Court Orders
3. Guidelines and Procedures
a. Criteria for Accepting Referrals by Local Facilitation
Teams
b. Criteria for Establishing Multiple Needs Child Status
4. Referral Process
5. Imminent Risk of Out-of-Home Placement
6. Imminent Risk of a More Restrictive Placement
7. Responsibilities of Local/State Teams and Member Agencies
Including DHR
8. Referrals to State Facilitation Team
E. Relationships of State and Local Facilitation Teams to Other Teams
1. DHR Procedures
a. Custody
b. Payment
c. Tracking
F. Commitment of Children in DHR Custody to SDMH/MR
SUPPORTS TO FOSTER PARENTS
A. Respite Care
1. Notification to Foster Parents Regarding the Availability of
Respite Care
xii
2. Documentation/Tracking
B. Day Care
C. Foster Parent Bill of Rights (FPBR)
D. Grievance Process
1. Purpose
2. General Guidelines
3. The Process
a. Local Grievance Process
b. SDHR Grievance Committee Process

https://dhr.alabama.gov/wp-content/uploads/2021/05/OHC-01-Introduction-.pdf

Introduction
Introduction
Effective November 1, 2007
Revised October 1, 2010
Revised June 10, 2014
Revised January 12, 2015
Revised August 27, 2019
Revised October 16, 2020
Introduction
Out of Home Policies and Procedures
Revision No. 50
Effective October 16, 2020
i
TABLE OF CONTENTS
I. INTRODUCTION
A. Purpose 1
B. Legal Base 1
C. Glossary 3
D. Documentation 10
1. Record Keeping 10
2. Correspondence 10
3. Narrative Recording 11
4. Documentation and courts 11
5. ISP Documentation Requirements
for Children in Out-of-Home Care 11
Introduction
Out of Home Policies and Procedures
Revision No. 20
Effective January 21, 2015
1
I. INTRODUCTION
Out-of-Home Care is defined as services for children in the Department’s custody or planning
responsibility who reside outside of their own home on a 24-hour basis in a relative’s home, an
approved foster family home or a licensed facility. Additionally, this can include children in the
Department’s custody who are placed in their own home. Services are determined through the
individualized service planning process.
Historically the Department has used the term ‘foster care’ to include children in all placements.
With the release of this policy, the term Out-of-Home Care includes all children placed outside
of their own home in any type of setting and for whom the Department has planning and
placement responsibility. This may include children in the Department’s custody who are placed
in their own homes through court concurrence. These policies have as a basis the right of
children to have permanency in their lives whether living in their own home or a permanent
alternative.
A. Purpose
Out-of-Home Care Policies and Procedures is a framework for County Departments to provide
services to the child who is in care, to the birth families and relatives and to foster
parents/providers. Services include assuring placement appropriate to the needs of the child;
counseling and rehabilitation service for the child, the parents and relatives of the child; services
to the foster care provider; and planning for the child that is goal-directed and time limited.
Other policies (Individualized Service Plans, DHR Partnerships with Children Their Families and
Providers) provide child welfare staff with practice requirements, while Out-of-Home Care
Policies and Procedures provides requirements specific to children in out-of-home care.
Emphasis is placed on developing a permanent plan for a child upon entry into Out-of-Home
Care. To the extent that the permanent plan is for a child to return home, emphasis is placed on
building parental/caregiver protective capacities so that the child may safely return home.
B. Legal Bases
The State Department of Human Resources is required, in accordance with the provisions of the
Code of Alabama 1975 §38-2-6 (10) (14) to seek out and provide care and protection to
dependent, neglected, and abused children. This includes completion of a comprehensive, both
physical and mental, evaluation of each child, assessment of the family environment, and
placement of such child in substitute care outside the child’s own home when necessary.
The Social Security Act Title IV, Part E provides federal regulations and requirements regarding
services to children in out-of-home care necessary to obtain federal funding for children. These
federal regulations include, but are not limited to:
• making reasonable efforts to preserve and reunify families;
• determining if specified criminal acts preclude reasonable efforts being required;
• developing an individualized service plan (case plan) for each child in care;
• considering adult relatives as placement resources for children;
• providing foster care maintenance payments for eligible children;
Introduction
Out of Home Policies and Procedures
Revision No. 6
Effective October 1, 2010
2
• reporting of known or suspected child abuse, neglect or exploitation;
• establishing and maintaining standards for foster family homes and child care
institutions;
• reviewing of standards and payments referred to above;
• determining that reasonable efforts shall assure that a child’s health and safety
are paramount;
• assuring that children have permanency hearings as prescribed; and
• planning concurrently for an alternative permanent living arrangement while
pursuing a first plan of choice.
• termination of parental rights;
• performing criminal records checks of prospective adoptive and foster parents;
• providing medical insurance coverage (Medicaid) for eligible children; and
• training of prospective foster parents before children are placed in their home.
In addition to following federal and state statutes, Alabama has established goals and practice
principles that promotes the safety and well-being of children and their families. Specifically
related to permanency, the goals and principles are:
• The Department’s “system of care” shall promote permanency in children’s living
situations;
• When the goal is that the child shall return home or be discharged to a family
member, the Department’s “system of care” shall seek to achieve this goal;
• When the goal of return home or discharge to family has been achieved, the
Department’s “system of care” shall seek to avoid reentry of the child into foster
care;
• The Department’s “system of care” shall make timely, competent decisions
concerning whether and when children should return home;
• When a decision is made that a child should not return home, the Department
shall seek a timely permanency hearing [Code of Alabama 1975 §12-15-312(e)
and §12-15-315(a)(b)]; and
• When the determination is made that return home is not an alternative for the
child, the Department’s “system of care” shall vigorously seek a permanent living
situation for the child.
Alabama child welfare goals and principles also address individualized service planning,
developing a comprehensive array of services to address children’s and families’ identified
needs, and working toward the desired case outcome that children have safe, stable
placements and permanent living situations.
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Out of Home Policies and Procedures
Revision No. 20
Effective January 21, 2015
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Federal requirements, state statutes, and the Department’s practice share a key set of
principles which include, but are not limited to:
• children’s safety and health are paramount and must guide child welfare practices
related to the planning, delivery, and monitoring of services for children and
families;
• foster care is a temporary setting, not a place for children to grow up; and
• permanency planning must begin early in the casework process and shall be
expedited by the timely delivery of quality services.
C. Glossary
Acquired Immune Deficiency Syndrome (AIDS) – AIDS is a medical condition characterized
by neurological disease and/or a defect in the body’s natural immunity against disease. AIDS,
therefore, involves a breakdown of the immune system and an inability of the body to defend
itself against unusual cancers or opportunistic infections which normally are either not found or
which usually produce only mild symptoms. AIDS is caused by a virus known as Human
Immunodeficiency Virus (HIV).
Adult in Need of Protective Services – A person age 18 or over whose behavior indicates that
he/she is mentally incapable of adequately caring for him/herself and his/her interests without
serious consequences to him/herself or others, or who, because of physical or mental
impairment, is unable to protect him/herself from abuse, neglect, exploitation, sexual abuse or
emotional abuse by others, and who has no guardian, relative, or other appropriate person able
and willing to assume the kind and degree of protection and supervision required under the
circumstances § 38-9-2 (2), Code of Alabama(1975).
Adult Service Systems – An array of federal, state, and community agencies available to
assist adults.
Advocacy – The promotion of governmental and agency responsiveness to individual and
family needs. Advocacy may be aimed at obtaining services, securing entitlements, and/or
protecting rights. Advocacy may be provided by self-advocacy and consumer groups as well as
by professional or legal organizations.
Age-Appropriate Child – A child age 10 and older (except a child with severe intellectual
disabilities), or a child under age 10 who is intellectually capable of understanding and
communicating ideas and opinions concerning the subject matter being discussed or
considered.
Aging Out – Exit from the system of care occurs on a youth’s nineteenth or twenty-first
birthday. These ages are based on Code of Alabama 1975 provisions related to the age of
majority and juvenile court jurisdiction, respectively. Youth age out of the system at 19 when
they are receiving on-going protective services in their own homes without a current court order
in effect. All youth, without exception, exit care on their twenty-first birthday.
AIDS-Related Complex (ARC) – ARC is a condition caused by the AIDS virus in which the
patient tests positive for AIDS infection and has symptomotology that does not meet the
definition of AIDS.
Antecedent – An event or any series of events (“reasons,” “causes,” or “prior learning”) that
contributes to a behavior’s occurrence or frequency.
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Out of Home Policies and Procedures
Revision No. 50
Effective October 16, 2020
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Behavior Management – Treatment interventions that teach or increase the frequency of
desirable behaviors and/or modify or extinguish undesirable behaviors by (1) using reinforcers
and/or punishments or (2) altering or controlling the environment and other events or conditions
affecting behavior. These interventions include, but are not limited to, systematic behavior
modification, social control by adults or peers, levels system, isolation, medication, seclusion,
and restraint.
Building Based Staff Support Team (BBSST) – A process in the public schools of Alabama
whereby a child must receive prereferral interventions prior to being referred for special
education services. The BBSST will develop strategies aimed at helping a student to remain in
the general school curriculum.
Case Review Committee – A subcommittee of the State Facilitation Team. The purpose of the
Case Review Committee is to review individual cases referred by Local Facilitation Teams to
develop plans and assist with funding.
Child – For purposes of providing services to children who are in the Department’s care and for
whom the Department has planning responsibility, the definition of a child is: an individual who
is either of the following: (a) A person under the age of eighteen (18) years. (b). A person under
the age of 19 who is in need of protective services and does not qualify for adult protective
services under Chapter 9 of Title 38.
Child is also defined for purposes of providing services as an individual who is in out of home
care and has attained the age of 18 but has not attained the age of 21 and meets one of the
following conditions:
• The child is completing secondary education or a program leading to an equivalent
credential; or
• The child is enrolled in a post secondary or vocational education institution; or
• The child is participating in a program or activity designed to promote or remove barriers
to employment; or
• The child is employed for at least 80 hours a month; or
• The child is incapable of doing any of the above described activities due to a medical
condition which is supported by regular documentation in the individualized service plan.
Note: This is only applicable for children in the Department’s custody at the time of their 18th
birthday. If entering care on or after their 18th birthday, consultation with SDHR is required.
Child and Family Planning Team – This Team consists of individuals involved in planning and
or delivery of services for a child and family. The team should include the parents, the age-
appropriate child, others requested by the family or child, the DHR worker, the foster care
provider and other service providers if any. The Team’s work product is known as the
individualized service plan (ISP).
Child’s Home – The physical environment or location of the family unit in which the child resides
or was residing with a caregiver in a significant relationship prior to removal or placement in
DHR custody or care.
Child Support – Court-ordered support paid by a child’s parent to the person/entity holding
custody of the child.
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Revision No. 20
Effective January 21, 2015
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Close Proximity – A child is placed in the same neighborhood, community, or if that is not
feasible, the home county of a child.
Community – The area served by the school system where the child attends if that area
includes the physical neighborhood where the child and his/her family live.
Consequences – An event following a behavior which is used in managing the behavior and
teaching self-regulation
County of Origin – The County in which the child’s home was located, at the time the child
entered care.
Crises – Behavior management defines crises as a situation where seclusion, restraint, or
medication is used to protect children from a behavior which could seriously harm the child,
harm others or cause substantial property damage and an appropriate Qualified Child Care
Professional (QCCP) is not available to examine the child and assess the child’s physical and
psychological condition.
Crises Plan – A plan developed in partnership with the age-appropriate child and the family to
protect the child in the event a behavior is displayed which could harm the child, harm others or
cause substantial property damage.
Discipline – The process of teaching a child healthy behaviors by responding to the behaviors
in a manner that develops and promotes self-control and self-esteem.
Eligible Youth – Independent living eligible youth in Out-of-Home Care or in open protective
service cases who are age fourteen (14) and older are eligible for independent living services.
Also eligible are former foster care recipients between ages eighteen and twenty-one who
request program services and who were in Out-of-Home Care at the age of eighteen. The
funding to provide services is determined by current and past custody status.
Emergency Situation – A situation where the child is at imminent risk of serious harm and
action to protect the child must be taken before a child and family planning team can be
convened to develop an ISP or revise an existing ISP.
Family – A biological, adoptive or self-created unit of people residing together consisting of an
adult(s) and child (ren) with the adult(s) performing duties of parenthood for the child (ren).
Persons within this unit share bonds, culture, practices and a significant relationship. Biological
parents, siblings, or others with significant attachments to the child living outside of the home
are included in the definition of family.
Fetal Alcohol Spectrum Disorder (FASD) – FASD is an umbrella term used to describe the
range of disabilities caused by prenatal exposure to alcohol. Prenatal exposure to alcohol is a
leading cause of preventable birth defects. It is a life-long condition. A child with FASD
becomes an adult with FASD. There is no cure for this syndrome and the damage is
irreversible.
Foster Care Disruption – Unplanned circumstance in a foster care placement resulting in the
need to remove a child from the current placement.
Foster Parent – A provider who meets the Minimum Standards for Foster Family Homes.
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Revision No. 20
Effective January 21, 2015
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Friend – A person other than a family member with whom the child has a significant
attachment. Friends include both adults and children, such as former foster parents and
children from previous foster care placements.
Health Insurance Portability and Accountability Act (HIPAA) – HIPAA stands for Health
Insurance Portability and Accountability Act. HIPAA is a federal law, which creates regulations
to ensure that personal medical information shared with doctors, hospitals, and others who
provide and pay for healthcare is protected. The HIPAA privacy rule does the following:
• Imposes new restrictions on the use and disclosure of personal health
information;
• Gives clients greater access to their medical records, and
• Gives clients greater protection of the medical records.
Human Immunodeficiency (HIV) – HIV is the acronym for Human Immunodeficiency Virus.
This is the current name for the virus that causes AIDS.
HIV Positive – This means that a blood test has indicated the presence of antibodies to the HIV
virus. At some point the person has been exposed to the virus and the immune system has
responded by producing antibodies. This condition does not inevitably begin a progression to
ARC or AIDS, although it may. The virus can be transmitted through risky behavior of an
individual.
Interstate Compact on the Placement of Children (ICPC) – ICPC provides guidelines to
ensure protection and services to children who are placed across state lines for Out-of-Home
Care or adoption. The compact is a uniform law enacted by all fifty (50) states, the District of
Columbia, and the U. S. Virgin Islands.
Individual Education Program (IEP) – The IEP is a written document that is developed for
each public-school child who is eligible for special education. The IEP is designed to meet the
child’s unique educational needs. The IEP is created through a team effort and reviewed at least
once a year.
Incentives – An item or money used to motivate youth to learn/practice a skill or work on
improving any area in their lives that will lead to independence (e.g., education, attending IL
teen group, job search).
Individual Service Plan (ISP) – The case plan which is created in partnership with the
members of the child and family planning team. It includes:
• identification of the child(ren) and family’s strengths and needs;
• goals the child(ren) and family work towards to reach the desired case outcome;
and
• steps to be taken by individual child and family planning team members to
authorize and deliver services, and to measure progress toward goals.
Institution – A psychiatric hospital, a psychiatric ward of a general hospital, and facility
operated by DMH or DYS, or a detention facility. It does not include a childcare institution, group
home, group foster home, or foster family home (including a therapeutic foster home) or other
similar placement.
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Out of Home Policies and Procedures
Revision No. 20
Effective January 21, 2015
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Independent Living – An alternative living arrangement whereby youth live in community-
based housing rather than in Out-of-Home Care. Ideally, this allows youth the opportunity to
continue the decreased care and supervision so they will ultimately be responsible for their own
care and will ultimately be prepared to live on their own in the same location when DHR no
longer holds custody.
Independent Living Program (ILP) – The program established by the Foster Care
Independence Act of 1999, (Chafee Independence Program) that provides states with funding
and increased flexibility to help eligible youth transition to independent living.
Independent Living Services (ILS) – Services provided to eligible youth to assist them in the
transition from the dependency of childhood to living independently as an adult.
Isolation – Isolation must be used only in rare circumstances. It applies to children placed in
residential and/or treatment settings and must be used as a last resort as a behavior
management and treatment method. The physical placement of a child in an unlocked room for
a time-limited period including:
• isolation of a child in an unlocked room other than the child’s own room; or
• isolation of a child age 10 or over in his/her own room for more than two hours; or
• isolation of a child under age 10 in his/her own room for more than one hour; or
• repeated confinement of a child in his/her room or any other room (including time-
set) that subjects the child to lengthy social isolation. (This does not refer to
social isolation when a child is briefly denied interaction with others in the child’s
environment as a treatment intervention (e.g. conversation and activity with the
child are not allowed).
Life Skills – A range of skills that need to be developed or enhanced to move youth toward
adulthood and allow them to act effectively in social roles and environments. Skills fall into two
major categories, tangible or “hard” skills and intangible or “soft” skills.
Tangible skills are the basic skills that provide youth with the ability to:
• manage one’s own basic needs for food, shelter, health care, and clothing;
• obtain and maintain a job to provide income;
• obtain and maintain shelter; and
Intangible skills are the interpersonal skills related to:
• effective communication, decision-making, and problem-solving;
• the personal attributes of self-esteem;
• the youth’s ability to maintain self-control, confront anger, manage past losses,
develop relationships; and
• the assumption of responsibility for one’s own actions.
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Revision No. 20
Effective January 21, 2015
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Living Independently – Youth who are discharged from the system of care and are responsible
for their own care and support. These youth may be (1) living in a home of their own, (2)
sharing a home with friends, or (3) living in a home with family or relatives.
Local Facilitation Team – A county team composed of representatives of the member
agencies. The purpose is to assess 1) referrals of children for acceptance by the team and 2) to
develop individualized service plans to meet the needs of each child accepted by the team.
Local teams shall include additional individuals (e.g., parents, foster parents and service
providers) to ensure that case planning is in accordance with Alabama’s practice and DHR’s
Individualized Service Plans and DHR Partnerships with Children, their Families and Providers
policies.
Member Agencies – Those agencies listed in the Code of Alabama, 1975, §12-15-1 (19),
whose representatives compose the multiple needs child state and local facilitation teams. The
agencies are the Department of Human Resources, Department of Youth Services, the
Department of Public Health, juvenile court probation services and the Department of Mental
Health.
Neighborhood – The physical area in which the home is located.
Out-of-Home Provider – A provider of Out-of-Home Care for a child in any of the following
settings: the home of relatives, a foster family home, a therapeutic foster family home, a group
home, a shelter home, a child care institution, a hospital or another residential facility.
Parent – A father or mother, an individual appointed as legal custodian or guardian or an
individual acting as a father or mother. This may include, but is not limited to, a relative rearing
a child for an absent family member, a godparent assuming a parent’s role when the parent is
deceased, etc.
Permanency/Concurrent Goals– The permanency/concurrent goal is the desired outcome or
permanent plan for a child that the ISP is designed to achieve. Permanency goals are
determined in partnership with age-appropriate children and their family during the ISP process.
Permanency goals listed in the order in which they are to be considered for children in out-of-
home care are:
1. Return to Parent (Reunification);
2. Permanent Relative Placement with Transfer of Custody to the Relative;
3. Permanent Relative Placement with DHR Retaining Custody;
4. Adoption by Current Foster Parents;
5. Adoption with No Identified Resource;
6. Kinship Guardianship
Placement in Close Proximity to Home – A placement that permits the child to remain in his
or her neighborhood or community and attend his or her same school, or if that is not feasible, a
placement in the child’s home county that (a) permits frequent visiting between the child and his
or her family; (b) permits parents to retain a level of a parenting responsibility sufficient to
sustain a strong relationship with the child and to support attainment of the permanency goal;
and (c) permits the child to remain in his home school, when permitted by school authorities.
Positive Youth Development – A coordinated, progressive series of activities and experiences
which help youth to become socially, morally, emotionally, physically, and cognitively
competent.
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Out of Home Policies and Procedures
Revision No. 20
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Protection of the Child – The means of (1) preventing conduct that would place the child’s
safety at risk; (2) preventing conduct that would substantially inhibit the attainment of the goals
of the safety plan or the permanency goal of the ISP; and (3) preventing the child from being
subjected to intimidation regarding investigative statements or court testimony.
Provider – Any individual, agency, or organization that utilizes behavior management
interventions while serving children in the custody and/or planning responsibility of the
Department of Human Resources.
Provisionally Approval Foster Home – A statutorily set approval status for foster family
homes in which a foster family home may be approved in an emergency situation for a specific
child or sibling group in the custody/planning responsibility of the Department. The provisional
foster home should be in close proximity to the child’s home. Provisional approval can only be
given to a foster family home for a six (6) months period and cannot be renewed. After six
months, the foster family home must come into full compliance with Minimum Standards for
Foster Family Homes.
Psychotropic Medication – Drugs prescribed for their effect on mood, thought, or behavior
excluding non-psychotropic drugs such as those prescribed for physical conditions (e.g.,
antibiotics, insulin).
Punishment – Taking away something desirable or adding something undesirable to cause a
decrease in the occurrence of a behavior.
Qualified Professional – (see Provider Manual for Rehabilitative Services)
• A physician licensed under Alabama law to practice medicine;
• A master’s level psychologist or a psychological technician licensed under
Alabama law;
• A master’s level professional counselor licensed under Alabama law;
• A master’s level social worker (non-DHR employee) licensed under Alabama law
who has specialized training in psychiatric care; or
• A registered nurse who has completed a master’s degree in psychiatric nursing.
Reinforcer – A response, such as a praise or a tangible reward, that strengthens a desired
behavior. Reinforcers can also involve taking away something undesirable (e.g. room
restriction) to increase the likelihood of appropriate behavior.
Relative – Statutorily defined, a relative is “an individual who is legally related to the child by
blood, marriage, or adoption within the fourth degree of kinship, including only a brother, sister,
uncle, aunt, first cousin, grandparent, great-grandparent, great aunt, great uncle, great-great
grandparent, niece, nephew, great niece, great nephew, or a stepparent.
Residential Provider – A foster care provider other than a foster parent, including a provider
delivering care in any of the following licensed or license-exempt settings: group home, child-
placing agency, child care institution, DYS facility, DMH facility.
Restraint – Restraints must be used in rare circumstances and never for punishment/discipline.
Restraining is limiting or restricting a child’s freedom of movement or use of the limbs.
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Revision No. 20
Effective January 21, 2015
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• Mechanical Restraint – Restricting a child’s freedom of movement or use of limbs
or body by applying devices such as cuffs, ties, nets, tubes, bags, straps, head
gear, etc.
• Physical Restraint – Restricting a child’s freedom of movement by physically
holding the child for an extended period of time or repeatedly over time.
Reward – A response given to acknowledge and support desired behavior. Examples are
social rewards (e.g., smiles, hugs), material rewards (e.g., money, ice cream cone) and activity
rewards (e.g., going to the park, playing ball with a friend).
Safety – Protection from neglect, physical injury, emotional or sex-related abuse.
Safety Plan – A plan for immediately protecting a child in an emergency situation, developed in
partnership with the family and the age appropriate child when possible.
Seclusion – Seclusion shall be used in rare circumstances. The isolation of a child in a locked
seclusion room, a locked time-out room, or any other locked room or place of confinement.
Service Providers – Individuals, families, agencies, or organizations that provide or could
provide a service or services to children and families.
Siblings – A full, or half, biological or adopted brother or sister. Siblings have a biological or
adoptive relationship. Since the Department is a title IV-B and title IV-E agency, a sibling
means an individual who is considered by state law to be a sibling or who would be considered
a sibling under state law if it were not for a disruption in parental rights such as termination of
parental rights or death of parent(s). Therefore, in planning for a child in the Department’s
care/custody, children can maintain sibling status if parental rights of either sibling’s parent have
been disrupted. Stepbrothers and stepsisters cannot be considered siblings, as there is no
biological or adoptive relationship; however, situations may exists in which planning for
stepbrothers and stepsisters may coincide. (Social Security Act §475(12).
State Facilitation Team – A state team composed of representatives of the member agencies
whose purpose is to develop and implement state interagency plans for multiple needs children
and to develop guidelines, procedures and resources for services to meet the needs of multiple
needs children.
Support System – A dependable network of reliable and responsible individuals who can
provide youth with a sense of belonging, membership, safety, approval, and continued adult
guidance as needed.
Transitional Living – An alternative living arrangement that provides foster youth (ages 17
through 20) with opportunities to practice independent living skills in a variety of on-campus
settings with decreasing degrees of care and supervision.
Trial Home Visit – Independent living defines a trial home visit as a placement lasting no longer
than six months (unless court ordered for a longer period of time) in which the youth physically
resides with parent(s) or non licensed relatives and DHR retains legal custody. If the visit
exceeds six months and the court has not authorized the longer visit, ILP funds may not be
used for the youth’s IL activities. The trial home visit that involves an out-of-state resource must
coordinate through the ICPC Office at SDHR.
U. S. Department of Health and Human Services (HHS) – The federal agency that provides
funding for the Chafee Independence Program. (AKA Independent Living Program)
Introduction
Out of Home Policies and Procedures
Revision No. 20
Effective January 21, 2015
11
Youth Advisory Council (YAC) – The council established to provide a forum for teens to
participate in planning their IL programs and activities. It is also a tool to allow them an
opportunity to develop leadership and decision making skills. Youth Advisory Councils are
formed at county, regional, and state levels. County staff facilitates County Youth Advisory
Councils. State staff facilitates regional and State Councils.
D. Documentation
Documentation is the manner in which the Department justifies any actions taken by the
Department or services provided to children and families. It involves entering into the case
record and FACTS any dates and events that are important to the actions taken by the
Department in providing services or making decisions about a case. Proper documentation
helps to clarify the worker’s thinking, facilitates appropriate decision-making, and enables the
material in the record to be clearly understood when shared with others. The value of proper
documentation in working with natural parents is to build a record of casework action and
parental behavior that will support the child’s return home, or if the evidence does not support
the child’s return home, provide legally admissible evidence that will support filing a petition for
termination of parental rights. If termination of parental rights is not sought, the narrative section
of the case record must document and support a compelling reason not to do so.
1. Record Keeping
Since intensive work with parents toward return home of the child tends to generate a
great deal of activity, (e.g., visits between parents and child, telephone calls and visits
between parents and worker, contacts with other agencies) it is important for workers to
maintain a record of the details involved.
2. Correspondence
A copy of all correspondence is to be maintained in the case file, including appointment
letters and return receipt requested registry cards (when trying to locate, or obtain
response from a parent or other person in the case; staple the registry card to copy of
letter). It is important to confirm in writing to parents the substance of telephone calls or
interviews with them about case planning. Such letters are especially good
documentation to have when ISP steps are not working, are not feasible, or parents
refuse to cooperate. On occasion, such letters can be attached to court reports as
documentation. Arrange correspondence in chronological order with the most recent
communication on top.
3. Narrative Recording
The narrative section of the family’s case record captures the family’s history with the
department. It allows child welfare staff to document information gathered and to justify
actions taken by the child welfare worker. The narrative recording should be arranged in
chronological order with the most recent entry at the end of the narrative. The purpose
of the narrative is to enable the worker to elaborate as needed on individualization of the
client and document the workers’ ongoing professional opinions. Narrative recording
should be concise, pertinent, and entered into the case file in a timely manner (30
calendar days but no later than 45 calendar days). Dates and events should be
clearly connected, particularly in summary recording. Language should be used that is
Introduction
Out of Home Policies and Procedures
Effective November 1, 2007
12
specific, concrete, descriptive and with examples, where appropriate. Verbatim quotes
from the child or family or from collateral contacts may be used when they are important
in the case. Collateral quotes may aid in the disposition of the case, particularly when
the case goes to court. Avoid generalities, such as “successful or unsuccessful visit” in
parent/child visitation. All appointments made with parents should be recorded,
including whether or not they were kept, and if not, the reason. The worker’s
impressions, opinions, etc. shall be included, and must be labeled as such. The ISP is
to be clearly stated and so labeled initially, at six months reevaluations, or when
changed.
Include at the close of each entry the date of the entry is made, and the caseworker’s
name. After proofing the narrative entry, the child welfare worker must initial or sign at
the end of the entry beside his/her typed name.
4. Documentation and Courts
An integral part of working with children in Out-of-Home Care and their families is work
with the juvenile/family court. From the decision to petition for custody, to seeking child
support, to making permanent plans for a child, the Department will be involved with the
court. The Out-of-Home Care Policies and Procedures references work with the courts
in several sections as it applies to each section. A “Social Worker Guide to Working with
the Courts,” a tool to assist child welfare staff to work with the court, is located in the
Appendix and should be reviewed by child welfare staff. Court reports are an important
part of the case record documentation and should be complete, factual, and concise.
Case records should be well documented, since they are admissible as evidence in
court in the event they are subpoenaed. A well-documented case record is invaluable to
the worker who must prepare a case for court and/or testify. Every case should be
viewed from the beginning, however unlikely, as a potential termination of parental rights
case with documentation that supports a court petition to terminate parental rights.
5. Individualized Service Planning (ISP) Documentation Requirements for Children
in Out-of-Home Care
The Social Security Act, Title IV, Part E, Section 475 (5) sets forth the requirement that
each child in Out-of-Home Care will have a case plan designed to achieve permanency.
The ISP (DHR-FCS-2117) and the Addendum for Children in Out-of-Home Care (DHR-
FCS-2118) serves as the case plan to meet federal as well as state statutory
requirements. Individualized Service Plan Policy applies to children in Out-of-Home
Care.
The Addendum for Children in Out-of-Home Care (DHR-FCS-2118) was developed to
capture and document information on children placed in Out-of-Home Care pursuant to a
court order granting DHR custody or an Agreement for Foster Care (PSD-BFC-731). The
Addendum for Children in Out-of-Home Care must be completed on each child who
enters Out-of-Home Care within ten (10) days of that child’s removal from home. The
completed form must be reviewed and approved by the worker’s supervisor. The
Addendum must be reviewed after all ISP team meetings and updated when information
captured on the form has changed. Refer to Individualized Service Plan Policy, Forms
and Instructions, for a detailed discussion of the Addendum for Children in Out-of-Home
Care.

https://dhr.alabama.gov/wp-content/uploads/2023/04/OHC-02-Placement-of-Children-4-27-23.pdf

Placement of Children
Effective November 1, 2007
Revised March 1, 2009
Revised October 1, 2011
Revised May 03, 2013
Revised July 10, 2014
Revised January 21, 2015
Revised March 16, 2017
Revised October 2, 2017
Revised October 30, 2017
Revised August 17, 2020
Revised June 28, 2021
Revised August 5, 2021
Revised September 28, 2022
Revised April 17, 2023
Placement of Children
Out of Home Care Policies and Procedures
Revision No. 37
Effective October 30, 2017
i
TABLE OF CONTENTS
II. PLACEMENT OF CHILDREN
A. Authority to Place 1
1. Voluntary Placement 1
2. Court-Authorized Placement 4
B. Preparation for Placement 4
1. Preparation of the Child 4
2. Preparation of the Parents 5
3. Preparation of the Out-of-home Care Provider 6
C. Placement Requirements 8
1. Close Proximity 9
a. Children Covered by Policy 9
b. Proximity of Placement Policy for Children
Placed with Child Placing Agencies 9
c. Court Orders 9
d. Making Placements in Close Proximity
to the Child’s Home 10
e. Selecting a Placement 11
f. Selecting a Placement for a Child Who
Requires Specialized Services 11
g. When Children May Be In Placements That
Are Not In Close Proximity to Their Home 11
h. Contact With Family and Friends When
Not Placed in Close Proximity to Home 12
2. Placing Siblings Together 12
a. Children Covered by These Policies 13
b. Sibling Placement Policy for Children
Placed With Child Placing Agencies 13
c. Court Orders 13
d. Placing Siblings 13
e. Selection of a Placement for Siblings 14
f. When Siblings May Be Placed Apart 14
g. Application of Sibling Placement Policy to Siblings
Separated for Long Periods in Out-of-Home Care
Prior To Issuance of This Policy 16
h. Contact Among Siblings When Separated 16
D. Choosing the Least Restrictive Setting 16
Placement of Children
Out of Home Care Policies and Procedures
Revision No. 54
Effective August 04, 2022
ii
1. Relative Care 17
a. Kinship Care 17
2. Foster Family Homes 17
a. Related Foster Care 18
b. Foster Homes of DHR Employees 18
i. County DHR Employees 18
ii. State DHR Employees 19
iii. DHR Employees As Relative Placements 19
iv. DHR Employees As Respite Providers 19
v. Payments to DHR Employees
Approved as Foster Parents 19
c. Foster Family Homes Serving as Maternity Homes 20
d. Therapeutic Foster Care 20
e. Therapeutic Foster Care with Enhanced Services………….21
f. Enhanced Foster Care 21
i. Requirements for Use of Enhanced Foster Care 21
ii. Required Training to be Provided by
Administering Agency to Foster Parents 22
iii. Necessary Support Services for the
Enhanced Foster Parents to be
provided by the Administering Agency 23
iv. Responsibilities of County Departments
of Human Resources 23
v. Funding 24
g. Provisional Foster Care Placements 24
h. Unrelated Free Home 25
3. Child Care Institutions and Group Homes 25
a. Group Homes 26
b. Child Care Institutions 26
c. Treatment Facilities 27
4. Shelter Care Facilities 27
5. Residential Facilities for Children and Youth 27
a. Procedure for Placement 31
i. Request for Application for Admission 32
ii. Admission Agreement and/or Contract 32
iii. Authorization to Place 33
Placement of Children
Out of Home Care Policies and Procedures
Revision No. 49
Effective August 17, 2020
iii
iv. Child in the Custody of a Residential Facility 34
v. Special Educational Services for Exceptional
Children Placed by DHR in Residential Settings 34
(1) Initial Placement In Facility Located
Outside DHR County of Responsibility 35
(2) Change in Residential Placement
of Special Education Child 35
(3) Written Notification to LEA of Placement 36
(4) Transmittal of Essential Information
from One LEA to Another LEA 36
vi. Surgery or Other Medical Treatment 36
vii. ISP for Children in Residential Facilities 37
viii. Preparation and Placement 38
ix. Vacation Planning 38
b. Child Care Institution and Group Homes 39
i. Reporting of All Referrals on FACTS 39
ii. Selection of Facility Based on Needs
of Child and Proximity of Natural Family 39
iii. Services During Placement 40
iv. CAN Reports on Child Care Institution
and Group Homes 40
v. Child Care Institutions and Group Homes
Title XX / Contract for Social Services 40
vi. In-State Residential Treatment Facilities
under Contract 41
vii. Payment Procedure for Contract Facilities 42
viii. Out-of-State Residential Treatment Facilities
For Emotionally Handicapped Children 43
c. Nursing Homes 44
(1) Medical Level of Care 45
(2) Payment of Nursing Home Care 46
d. Cerebral Palsy Centers and
Residential Treatment Facilities 47
e. Inpatient Psychiatric Services 47
i. Referral and Admission 48
ii. Assessing The Need For Inpatient Services 48
(1) Behavioral Indicators 48
Placement of Children
Out of Home Care Policies and Procedures
Revision No. 37
Effective October 30, 2017
iv
(2) Prior Services and
Treatment Interventions 49
iii. Confirming the Need for Inpatient Services 50
iv. SDHR Consultation and Approval 51
v. Extensions 52
vi. Discharge 53
vii. Case Record and FACTS Documentation 54
E. Placement/Registration of Adjudicated Juvenile Sexual Offenders
DHR Custody 54
Placement of Children
Out of Home Care Policies and Procedures
Revision No. 19
Effective July 10, 2014
1
II. PLACEMENT OF CHILDREN
Imminent Safety of children in their own home is paramount in the decision to place a child in
out-of-home care. There must be documented lack of parental protective capacity in order to
place a child in out-of-home care. Out-of-home care is needed because of breakdown in
parental functioning in the area of protective capacity, or may be the result of problems relating
to the development and/or behavior of the child.
Any separation of a child from his natural family is a traumatic experience, and must be
seriously weighed against the safety risk of leaving children in their own home. It must be
based on a sound evaluation of the safety threats in the child’s own home. It is the
responsibility of the County department to evaluate the total family situation and to determine if
out-of-home care is the most appropriate plan.
Good child welfare practice dictates that the family unit be preserved. Permanency planning for
children in out-of-home care is implemented through the individualized service planning
process, and must be done for all children in out-of-home care. This planning must begin as
soon as Department staff through the ISP process determines that out-of-home care is needed.
A. Authority to Place
When the decision is made that a child is in need of out-of-home care, the County
Department must have either an Agreement for Foster Care (PSD-BFC-731), an order
issued by the court giving the County Department the authority to plan for the child
pending a court hearing, or an order giving temporary custody of the child to the County
Department. A child may be placed in foster care when in the protective custody of the
Department. Protective custody cannot exceed 72 hours. (Refer Child Protective
Services Policies and Procedures, Legal Proceedings). Only under the above conditions
can a County Department accept responsibility for a child and authorize payment. A
copy of either the agreement for foster care or court order must be in the case record.
Exception to the requirement that the County Department have custody or an Agreement
for Foster Care is made in the following situation:
Children who are in the custody of the Department of Youth Services or the Department
of Mental Health and are being placed in a contract facility with the Department of
Human Resources concurring in the plan and determining eligibility.
In addition to this exception, the Department does not determine eligibility, enter into an
agreement for foster care, accept custody or concur in the plan for children in DYS group
homes under Title XX contract since DYS determines eligibility for these facilities.
1. Voluntary Placement
The Agreement for Foster Care must be for a time period not to exceed 180
days. There must be a hearing before the expiration of the agreement if
continued placement is required. When an FACTS alert is received 90 days prior
to the expiration of the Agreement, the worker must file a motion or petition to
bring the case before the court.
• If it is realistically expected that the child will return home within 90
days of the expiration of the Agreement, the Agreement may be
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Out of Home Care Policies and Procedures
Revision No. 19
Effective July 10, 2014
2
re-negotiated with court approval and documentation in the court
order of reasonable efforts and best interests. The case could be
brought before the court on a dependency petition under Code of
Alabama 1975 section 12-15-71(a) (4). The court would determine
that continued placement for a specified period of time is in the
best interest of the child. The Agreement may not be extended
beyond this period of time (total of 270 days maximum).
• If it is expected that the child can not go home within 90 days of the
expiration of the first Agreement, it will be necessary to petition the
court for custody of the child in order to extend the placement.
Parents must be told this at the initial signing of the Agreement.
All children in care, regardless of how they entered care, must have judicial
reviews every six months and permanency hearings every 12 months. Children
who enter care on an Agreement for Foster Care must also be considered for
termination of parental rights at the 12th month in care. If there is a compelling
reason not to TPR, (See Section III, Permanency/Concurrent Planning E (2) (c)
that reason must be approved by the court. If there is no compelling reason, a
TPR petition must be filed by the end of the 12th month in care, even if the
placement was initially made at the request of the parents. All children in care
must be provided the opportunity for permanence.
Key points to remember when initiating an Agreement for Foster Care:
• If both parents hold custody, both must sign the Agreement.
• The parent holding legal custody of the child must sign the
Agreement.
• The parents must be given a signed copy of the Agreement.
• The parent has the right at any time to request the child be
returned home, as the Agreement is voluntary. Never use an
Agreement for Foster Care when there is any concern in
returning the child to his/her parents due to safety issues.
• The ISP and Agreement must state the purpose of the placement.
• The parents have responsibility for financial support. The amount
must be included on the document.
• All children who remain in care on a voluntary basis must be
brought before the court before the 180th day in care. The court
must be petitioned in a timely manner in order to have the hearing
before the 180th day. Parents must be told at the initial signing of
the agreement that the case will be brought before the court if
placement is required beyond 180 days. If the placement is
terminated before the 180th day, the case will not have to go before
the court.
• Counties that routinely negotiate Agreements for Foster Care for
less than 180 days and then re-negotiate the Agreement will need
to set manual FACTS alerts to track agreements for bringing the
case before the court since FACTS will not calculate the
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Out of Home Care Policies and Procedures
Revision No. 19
Effective July 10, 2014
3
cumulative time of the Agreement. FACTS will, however, calculate
the time for 6-month case reviews, 12-month permanency
hearings, and 12 of 22 months hearings.
Since the implementation of P.L. 96-272, policy has required that all IV-E eligible
children have, within 180 days of placement, a judicial determination by a court of
competent jurisdiction that continued voluntary placement is in the best interest
of the child in order to maintain IV-E eligibility. In order to assure that all children
who enter care through a voluntary placement agreement receive a permanency
hearing and relieve the courts’ concern over jurisdiction, counties receive
notification through FACTS worker action reports that a child has been in care six
months under a voluntary placement agreement. These reports are generated
90 days prior to the expiration of the Agreement for Foster Care to allow the
worker time to petition the court if necessary.
The decision to take a child into care through a voluntary agreement must be
made through the ISP process. As in all foster care situations; it is necessary to
consider in-home services where appropriate before accepting a child into care
and all less restrictive alternatives.
Circumstances in which a voluntary placement may be appropriate:
• situations in which parents have a history of providing nurture and
protection for their child but are temporarily unable to do so
because of a family crisis such as a physical or emotional illness of
one parent or family member, marital conflict, or the need for
respite care for a handicapped child;
• in protective service situations where parents recognize their
inability to provide adequate nurturing to their child and are willing
to work with the Department in improving their situation;
• an unmarried mother who wishes to place her child for adoption
and is mature enough to understand the meaning of a foster care
agreement. The Department must still pursue custody, but this
allows the child to be removed from the hospital prior to the
Department petitioning the court.
• teens 18-20 years old re-entering care voluntarily; (Refer to
Transitioning Children into Adulthood-Reentering the System
Following the 18th Birthday section)
• for children requiring residential treatment who meet TANF/Title XX
certification and/or income criteria and the ISP team concurs that
the placement is the least restrictive alternative to meet the child’s
needs. The parents must be financially (based on their ability to
pay) and emotionally supportive of the child. If treatment will
require more than 180 days, the Department must seek custody.
• Situations in which a child of a child in out-of-home care who has a
child but is temporarily unable to provide for the needs of the
young child and wishes to place the child in out-of-home care is
allowed; however, the child welfare worker must decide if the child
is mature enough to understand the meaning of a foster care
Placement of Children
Out of Home Care Policies and Procedures
Revision No. 19
Effective July 10, 2014
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agreement. In many circumstances, foster children with a foster
child will not have protection capacities needed to parent their
child. When this is determined to be the case a voluntary
placement agreement would not be appropriate. The department
should petition the court for custody.
2. Court-Authorized Placement
The Department should bring cases to the attention of the court by filing a
petition in situations where a child is in need of protective judicial action. When
the child is in immediate danger and parents do not or cannot provide the child
with care and protection essential for his well-being, court action should be taken.
(Refer to the “Social Worker Guide for Working with the Courts” located in the
Appendix for detailed information on filing of dependency petitions).
The decision to petition the court should be made in the following circumstances:
• The child has been abandoned or deserted and needs the
protection of the court.
• Conditions in the home are dangerous or detrimental to the child’s
immediate physical, mental, or emotional well-being and a
workable safety plan can not be obtained.
• The child’s custody status is not clear or is the subject of
controversy to the extent that the child is obviously being harmed
or is in threat of harm.
• A child is left with substitute caregivers beyond the agreed upon
time – especially overnight, for several days, over weekends, and
this constitutes a pattern of behavior for the parent.
B. Preparation for Placement
The preparation of the child for placement should be aimed at minimizing a child’s
trauma that accompanies separation. Parents should be helped to participate in the
preparation of the child for placement because of the importance of avoiding the
weakening of existing bonds between children and their families. However, the worker
must be ready to prepare the child when the parents are unable or not available. The
techniques used should be appropriate to the child’s age, length and nature of his
relationship with his parents, his ability to understand what is happening, and the
circumstances necessitating placement.
1. Preparation of the Child
The worker is an important figure for the child in the placement process. In order
to help the child understand the necessity for placement and reduce the trauma,
it is first necessary that the worker convey to the child that he is a person who
can be trusted. This can be accomplished as the worker involves the child in the
planning and the step by step process of separation from his parents. It should
never be assumed that because a child is young, passive, or non-verbal, that
separation from his family is without trauma.
Placement of Children
Out of Home Care Policies and Procedures
Revision No. 19
Effective July 10, 2014
5
Certain procedures prior to placement can help the child’s understanding of the
reality of the situation necessitating placement and his acceptance of the plan.
Frequent contacts where possible immediately prior to placement provide an
opportunity for the child to become familiar with the worker and for the worker,
the parents and the child to discuss the upcoming placement. A pre-placement
visit to the new out-of-home care setting (i.e., foster home, group home,
institution) or, if this is not possible, pictures, or a description of the new home
setting and the people involved, can help a child with his fear of the unknown.
Also, seeing that a child’s personal belongings, clothes, toys, etc. accompany
him at the time of the placement will contribute to his sense of security.
In emergency situations where the more in-depth pre-placement work with the
child is not possible, the worker must at the time of placement begin to
encourage the child to acknowledge and discuss his feelings. It is helpful for the
worker to explain the reason for the changes in the child’s life so that he will not
develop unrealistic fantasies and assumptions about them. Providing the child
with a description of the home setting where possible will help alleviate his fears.
While it is challenging to do pre-placement preparation, this allows the child to
experience the beginning of separation to express his reactions to someone he
trusts and who understands his anger, hurt, and fears, thus paving the way for
his acceptance of the move and his subsequent adjustment in foster care in
emergency situations.
2. Preparation of the Parents
When parents are respected as individuals in their own right with problems and
needs of their own, they are more able to use the help offered by our agency and
to involve themselves in working toward a resolution of the best plan for the child.
This is respect and partnership, which are crucial to improved outcomes.
For some parents, this involvement will be minimal at best. However, even when
this is the case, or when there seems little likelihood of the child’s return, it is
important to help the parents with their feelings about the separation, and to
involve them in helping the child to the extent they are able. As the child is
prepared for placement, the following are some very specific ways parents can
assume responsibility for the child and be of help to him:
• sharing with the Department pertinent information about the child
(personality, habits, likes and dislikes, etc.) so that the best foster
home selection can be made and the child’s adjustment thereby
enhanced;
• Federal statutes require states to search out relatives as possible
placement resources for children in the state’s care. Counties
should attempt to secure names, addresses and telephone
numbers, relationships of the relatives for possible placement. The
“Relative Resource Identification” forms (mother and father)
located in the Appendix is useful tools to gather relative information
from parents. If parents are reluctant to provide relative resources,
the worker may engage the assistance of the parent’s attorneys to
help the parents to complete the “Relative Resource Identification.”
By encouraging parents to provide relatives’ names, they can be
Placement of Children
Out of Home Care Policies and Procedures
Revision No. 19
Effective July 10, 2014
6
helped to be involved in planning for their children. In cases where
there is no legal father, the “Paternity Worksheet” (located in the
Appendix) is used to assist in identifying the alleged father.
• gathering of (or providing) clothing and toys for the child;
• sharing information about their own family (schedules for feedings,
bath-time, family activities, etc.);
• providing medical data about the child: dates of shots, results and
dates of physical exams, any health problems;
• making payment toward care, however small;
• planning for continued contact with the child through visits, letters,
and cards for special occasions, etc.
• helping prepare the child for the move into placement – through
time spent with him, comforting him and helping him with his
feelings about the anticipated separation, and helping him
understand some of the reasons why he cannot remain at home.
The last responsibility is by far the most important one parents have. The worker
must assess the extent of the parents’ willingness and ability to help the child
prepare for placement. The parents’ ability to give support, encouragement and
direction to their child, regardless of the amount, indicates a parental strength in
working to reunite the family.
Rights/Roles and Responsibilities of the birth family of a child in foster care is to
be given the parents at the time their child enters foster care. The worker is to
record in the case record that the Rights/Roles and Responsibilities was given
and explained to parents.
Refer to the Rights/Roles and Responsibility of the birth family of a child in
foster care located in Appendix section.
3. Preparation of the Out-of-Home Care Provider
Making successful out-of-home care placements involves the matching of
children with foster parents/appropriate providers. Maintaining successful out-of-
home care placements involves supplying providers with knowledge necessary to
do their job. Foster parents and other foster care providers cannot fulfill their
responsibility to foster children unless the workers give them information
concerning the child and his/her family.
Refer to Foster Care Placement Information form (Foster Care Bill of
Rights) located in the Appendix section.
Listed below are types of essential information that are to be shared with
providers about the foster child and his family prior to the time of placement:
• Health and Education – Public Law 101-239, as amended by P. L.
109-239 requires the most recent information available regarding
health and education records be given to the provider at the time of
each placement. This information includes: 1) the names and
Placement of Children
Out of Home Care Policies and Procedures
Revision No. 19
Effective July 10, 2014
7
addresses of the child’s health and education providers; 2) the
child’s grade level performance; 3) the child’s school record; 4) a
record of the child’s immunizations; 5) known medical problems; 6)
medications and 7) any other relevant health and education
information concerning the child determined to be appropriate by
the Department.
Other health and education information to be shared with providers
may include: 1) child’s eating and sleeping habits; 2) allergies; 3)
school attendance or missed days due to illness; 4) whether the
child has been or needs to be referred for evaluation for special
education; 5) name of surrogate parent or whether the foster
parent can serve as a surrogate parent; and 6) history of any
discipline or behavior problems related to school attendance.
• Case Plan – The provider must be aware of the Department’s plan
for the child which includes such things as: 1) anticipated length of
time child is expected to be in care; 2) the permanent plan for the
child; 3) the visitation plan between the child, parents and other
siblings and role of the provider in the visitation plan. Explore the
provider’s attitude regarding the visitation plan especially in areas
of resistance. In most cases out-of-home care providers will not
have been involved in ISP’s, thus they must be made aware of the
plans for the child. Advise the out-of-home provider they will be
included in the future ISP’s.
• Other Placement – If the child has been in placements other than
with his birth family, the provider needs to be aware of this and the
reason(s) for the move(s). Patterns of placement disruptions need
to be explained.
• History of Trauma/Reasons of Placements – It is important to
understand the nature of a child’s trauma and his ability to respond
to new caretakers. This includes the type of trauma that
necessitates the current placement as well as the type of trauma,
which caused the child to come into care originally. For example,
being aware of the type and extent of abuse and/or neglect helps
prepare the provider for predictable patterns of behavior a child
might exhibit. A sexually abused child might exhibit fear of certain
individuals whereas a neglected child might hoard food.
• Legal Status – The nature of the initial court hearing may be an
indication of the length of time a child will be in care and whether
there will be subsequent hearings. Foster parents need
clarification regarding the legal status of the child and their role in
working with the child within this framework. For example, foster
parents are to assist the social worker in preparing the child for a
court hearing, and may, at times, need to transport a child to the
court hearing or even testify in court. Foster Parents should be
provided with the name of the Guardian ad litem as soon as one is
appointed.
• Behaviors – It is imperative that foster care providers be given
practical information about a child’s current behavior patterns as
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Out of Home Care Policies and Procedures
Revision No. 19
Effective July 10, 2014
8
well as past behaviors including special needs. Is the child shy or
withdrawn, has temper tantrums, afraid, smokes, etc.? Is the child
socially or emotionally under-developed? How does the child react
under stress? Help foster parents set realistic expectations
regarding the child’s behavior at home, at school and in the
community.
• Birth Family – Foster care providers are to be helped in
recognizing and dealing with their own as well as the foster child’s
feelings about birth parents. The providers need to be aware of
the composition of the birth family and the child’s place in it, the
visitation and contact plan with the birth family and possible
reactions of the birth parents toward the foster parents.
• Significant Others – Significant others, such as teachers, ministers,
extended family/relatives and friends, may impact greatly upon a
child’s life. Foster care providers are to be informed of these
connections within the child’s life and who can be expected to be of
support to the child.
• Religious Preference – The child’s and his/her family’s choice of
Religion is to be taken into consideration in a child’s placement.
The foster parents are to be told of the child’s involvement in prior
and present religious activities or organizations. Explore with the
foster parents their feelings in accepting a child whose religious
involvement is different from their own.
C. Placement Requirements
Placement goals of the system of care are (1) “enable children to live with their families;
and when that cannot be achieved through provision of services, to live near their home”
and (2) “siblings shall be placed together.” These goals embody the philosophy under
which the Department seeks to practice.
Children Covered by These Requirements:
Policies regarding “close proximity placement and sibling placement” apply to all children
in the custody of the department who have been removed from their home and placed in
out-of-home care (e.g., home of relatives, foster family home, therapeutic foster family
home, group home, shelter home, child care institution, hospital or other residential
facility). To comply with the best practice principles children in out-of-home care must
be placed as close as possible to their home. Additionally, siblings in out-of-home care
must be placed together. There are some exceptions to these two requirements. Item 1
and 2 below provide a detailed discussion of policy on “close proximity” of placements
and policy on “siblings being placed together.”
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Placement Policy for Children Placed with Child Placing Agencies:
Any licensed child-placing agency that approves foster homes serving children in the
custody or responsibility of the Department is to develop written policy regarding close
proximity placements and sibling placement/sibling contacts. These agencies may
adopt the policy developed by the Department regarding close proximity and sibling
placement and contacts or develop their own policy as long as it is consistent with
Department policy and provides children no less rights than is provided in DHR policy.
The agency’s close proximity and sibling placement policy is to be approved by State
DHR, Family Services Division. The policies are to be explained by the agency in clear,
understandable language to all children placed by DHR, the siblings of such children,
their foster care providers and their parents. A copy of the policies is to be given to the
foster care providers and to parents upon request. The child-placing agency may
choose to apply these policies only to children placed by the Department.
1. Close Proximity Requirements
Children from Jefferson, Mobile, Montgomery, Madison, Houston,
Tuscaloosa, Etowah, Calhoun, Walker, Lee, and Dallas counties shall be
placed within their home county when removed from their homes.
Children from other counties shall be placed within the region in which
their home county is located. Exceptions to this principle are to be
permitted only in exceptional circumstances with the written permission of
the Director of the Division of Family Services or his/her designee.
a. Children Covered by Policy
This policy regarding close proximity applies to all children in the custody
or responsibility of the department who have been removed from their
home and placed in foster care {e.g., home of relatives (kinship care),
foster family home, therapeutic foster family home, group home, shelter
home, child care institution, hospital or other residential facility}.
b. Proximity of Placement Policy for Children Placed with Child
Placing Agencies
Any licensed child-placing agency that approves foster homes serving
children in the custody or responsibility of DHR is to develop written policy
regarding proximity of placements. These agencies may adopt the policy
developed by the Department or develop their own policy, as long as it is
consistent with Department policy and provides children no less rights
than are provided in DHR policy. The agency’s proposed proximity policy
is to be approved by State DHR Family Services. It is to be explained by
the agency in clear, understandable language to all children placed by
DHR and to their parents. A copy of the policy is to be given to parents
upon request.
c. Court Orders
Court orders must be followed. Sometimes there will be an existing court
order (often from a divorce proceeding) in place at the time a child enters
care and an ISP is being developed for a child and family. The existing
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order must be followed until modified or lifted. However, DHR must seek
to have the order lifted or modified if it substantially inhibits attainment of
the child’s permanency goal, or imposes requirements inconsistent with
Alabama Child Welfare practice.
After an ISP has been developed, the court may order additional services,
lift restrictions, or impose additional restrictions. These court orders must
be followed. However, DHR must seek to have the order lifted or
modified if it substantially inhibits attainment of the child’s permanency
goal, or imposes requirements inconsistent with Alabama Child Welfare
practice.
If the court refuses to modify or lift an order as requested, the county
DHR will inform the Office of Foster Care in the Division of Family
Services. If the Division concurs that the court order is inconsistent with
Alabama Child Welfare practice, the Division will take appropriate action.
d. Making Placements in Close Proximity to the Child’s Home
Children shall be placed in their own neighborhood or community in a
placement that sustains the child’s existing relationships with family,
friends, teachers and neighbors. Such placements will permit children to
remain in their same school. Placement in the neighborhood is preferred
over placement in the community. Every effort must be made to develop
resources in a child’s neighborhood or community.
If a child is not placed in his or her neighborhood or community, the child
shall be placed within his or her home county in a placement that (a)
permits frequent visiting between the child and his or her family, (b)
permits parents to retain parenting responsibility sufficient to sustain a
strong relationship with the child and to support attainment of the
permanency goal, and (c) permits the child to remain in his or her home
school, when permitted by school authorities. If assistance with school
jurisdictional issues is needed, please call the Office of Child Welfare
Consultation.
To implement this policy, DHR will aggressively recruit foster family and
adoptive homes from the child’s and family’s array of relatives, friends,
neighbors and others in the community, and DHR will support such
homes as necessary. Services shall be provided to enable foster care
providers to care for children in close proximity to home, including
children with disabilities. Services that may be needed to sustain a
placement close to home include: respite for foster families, in-home
childcare and housekeeping, and individualized wraparound services for
the child, the child’s family and the foster family.
Aggressive recruitment and support of foster care providers committed to
keeping children in close proximity to their home must be a component of
each county department’s plan for resource development and retention.
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e. Selecting a Placement
The selection of a placement will be made in partnership with the family,
age appropriate child, and the child and family planning team as part of
the development or revision of a strengths and needs based ISP.
In an emergency situation (e.g., when a child is at imminent risk of
serious harm and a placement must be made to protect the child before a
child and family planning team can be convened), placement decisions
will be made as part of the child’s safety plan which will be developed by
the DHR worker in partnership with the family and age appropriate child
when possible. The child and family planning team will review placement
decisions within 72 hours of placement (an ISP must be developed by a
child and family planning team within 72 hours of placement). A child
must be placed in close proximity to his or her home during the 72-hour
period unless the child’s need for safety cannot feasibly be met by such a
placement.
Agreement regarding placement decisions will be reached with the family
and age appropriate child unless the child’s need for safety cannot be met
in a placement agreeable to the child and family.
f. Selecting a Placement for a Child Who Requires Specialized
Services
A child with a physical, emotional, or mental condition who requires
specialized services shall be placed in close proximity to his or her home.
Services must be provided to allow the child to be placed in the home of
relatives (kinship care) or neighbors, a foster family home, a therapeutic
foster family home, or an independent living placement that is in close
proximity to home. Only when children cannot be maintained in such a
setting with wraparound and other services, may consideration be given
to referring the child to a residential facility to accomplish specific
therapeutic objectives. In general, children admitted to residential
facilities will have specific objectives to accomplish, and they will be
placed in close proximity to their home in a family like setting or in
independent living when they have accomplished those objectives.
Only if no residential facility will be available in the child’s home county,
may the child may be referred to a residential facility outside the county.
Only then if the facility meets the child’s needs for therapy and ongoing
access to his or her family, as well as the family’s need for participation in
the child’s treatment.
g. When Children May Be In Placements That Are Not In Close
Proximity to Their Home
Children may be placed out of close proximity to their home only under
the following circumstances:
1. The placement will provide greater access to the child’s
family (for example, an out-of-county placement would be
closer or more accessible to the child’s home), or
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2. The placement is in the home of a relative and offers the
best potential for preserving family ties, or
3. A placement in close proximity to home would pose a
significant threat to the safety of the child or others, even if
services were provided, or
4. The placement is necessary to keep siblings together,
and will permit adequate contact between the children
and their family, or
5. The placement is necessary to attainment of the child’s
permanency goal (for example, the plan is foster parent
adoption and the foster parents move out of county), or
6. The placement is necessary to afford the child with a
physical, emotional, or mental condition access to
specialized services in order to accomplish specific
therapeutic objectives, and said services cannot feasibly
be made available in close proximity to the child’s home.
The placement must meet the child’s therapeutic needs,
his or her need for ongoing access to family, and the
family’s need for participation in the child’s treatment.
A placement based on exception 6 above must be approved by the Office
of Child Welfare Intake or, in his/her absence, by the Director of the
Division of Family Services. The child and family planning team requests
approval for an exception, along with sufficient information (including the
child’s ISP, the name and description of the proposed placement, and the
rationale for recommending the exception) to permit the Child Welfare
Intake or Division Director to make an informed decision.
The Quality Assurance system will collect data regarding the extent and
basis for placements made pursuant to exceptions 1-5 above.
h. Contact With Family and Friends When Not Placed in Close
Proximity to Home
We are required to support the well-being of our children, part of which is
maintaining family contacts. When a child is not placed in close proximity
to home, visiting and telephone and mail communication with family and
friends will be intensified to provide as much contact as possible,
including normalized activities between the child and family.
2. Placing Siblings Together
“Siblings shall be placed together. DHR may promulgate a policy, acceptable to
both parties, identifying circumstances in which exceptions to this principle may
be permitted.” For a definition of “sibling” refer to Out of Home Introduction
Section C Glossary.
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a. Children Covered by These Policies:
This policy regarding sibling placement applies to all children in the
custody of the department who have been removed from their home and
placed in foster care {e.g., home of relatives, foster family home,
therapeutic foster family home, group home, shelter home, child care
institution, hospital or other residential facility}.
b. Sibling Placement Policy for Children Placed With Child Placing
Agencies:
Any licensed child-placing agency that approves foster homes serving
children in the custody or responsibility of the Department is to develop
written policy regarding sibling placement and sibling contacts. These
agencies may adopt the policy developed by the Department regarding
sibling placement and contacts or develop their own policy as long as it is
consistent with Department policy and provides children no less rights
than is provided in DHR policy. The agency’s sibling placement policy is
to be approved by the State DHR Family Services. It is to be explained
by the agency in clear, understandable language to all children placed by
DHR, the siblings of such children, their foster care providers and their
parents. A copy of the policy is to be given to the foster care providers
and to parents upon request.
The child-placing agency may choose to apply this policy only to children
placed by the Department.
c. Court Orders:
Court orders must be followed. Sometimes there will be an existing court
order (often from a divorce proceeding) in place at the time an ISP is
being developed for a child and family. The existing order must be
followed until modified or lifted. However, DHR must seek to have the
order lifted or modified if it substantially inhibits attainment of the child’s
permanency goal, or imposes requirements inconsistent with Alabama
Child Welfare practice.
Sometimes, after an ISP has been developed, the court will order
additional services, lift restrictions, or impose additional restrictions.
These court orders must be followed. However, DHR must seek to have
the order lifted or modified if it substantially inhibits attainment of the
child’s permanency goal, or imposes requirements inconsistent with
Alabama Child Welfare practice.
If the court refuses to modify or lift an order as requested, the county
DHR will inform the Office of Permanency in the Division of Family
Services. If the Division concurs that the court order is inconsistent with
Alabama Child Welfare practice, the Division will take appropriate action.
d. Placing Siblings:
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Siblings in out-of-home care shall be placed together in the most family-
like, least restrictive setting. This is true of siblings removed from home
at the same time and siblings removed from home at different times.
Sibling bonds are fundamental and must be supported.
Siblings may not be separated simply because no placement is available
for a sibling group or because one or more siblings have a physical,
emotional, or mental disability.
Each county department will aggressively recruit foster family and
adoptive homes from the child’s and family’s array of relatives, friends,
neighbors and others in the community, and the department will support
such homes as necessary. Services shall be provided to enable foster
care providers to care for all members of a sibling group, including
children with disabilities. Services that may be needed to sustain a
sibling placement include respite for foster families, enhanced foster care,
and individualized wraparound services for the child, the child’s family and
the foster family.
Aggressive recruitment and support of foster care providers committed to
minimizing siblings’ losses by keeping them together must be a
component of each county department’s plan for resource development
and retention.
e. Selection of a Placement for Siblings:
In an emergency situation (e.g. when a child is at imminent risk of serious
harm and a placement must be made to protect a child before the child
and family planning team can be convened), placement decisions will be
made as part of the child’s safety plan which will be developed by the
DHR worker in partnership with the family and age appropriate child when
possible. The child and family planning team will review placement
decisions within 72 hours of placement (an ISP must be developed by a
child and family planning team within 72 hours of placement). Siblings
must be placed together during the 72 hours unless their need for safety
cannot feasibly be met if they are placed together. When a change in
placement occurs or is indicated, whenever possible, the selection of a
placement will be made in partnership with the family, age appropriate
child, and the child and family planning team as part of the development
or revision of a strengths and needs based ISP when possible.
Agreement regarding placement decisions will be reached with the family
and age appropriate child unless the child’s need for safety cannot be met
in a placement agreeable to the child and family.
f. When Siblings May Be Placed Apart:
Siblings may be placed apart only under the following circumstance.
A sibling has needs that can only be met in a placement that separates
him or her from other siblings. This sibling may be placed apart from the
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others. The separate placement may last only as long as necessary to
meet the unique needs that required separation.
The following are circumstances that may require siblings to be separated
in order to meet the unique needs of a sibling.
• A sibling becomes a significant threat to the safety of
another sibling that cannot be controlled if the siblings are
placed together.
• A sibling becomes a significant threat to the safety of
another person in the placement and the risk to that person
cannot be controlled if the sibling remains. If movement of
the entire sibling group is determined not to be in their
overall best interest, the sibling presenting the threat will be
moved.
• A sibling with a physical, emotional, or mental condition
requires specialized services in order to accomplish specific
therapeutic objectives. The sibling may be placed apart
from other siblings for the length of time necessary to meet
the need requiring separate placement. That a sibling has
a physical, emotional or mental condition which requires
specialized services does not by itself warrant removing the
sibling from his or her home or separating that sibling from
the others. A sibling with a physical, emotional, or mental
condition which requires specialized services may not be
placed outside his or her home or apart from siblings unless
(i) individualized wraparound and other services cannot be
developed to maintain the sibling at home or in the same
placement with his or her siblings and (ii) a specific
alternate placement is required to meet the sibling’s needs.
• Siblings may be separated when necessary to permit their
placement with relatives who live near the home of the
siblings or with neighbors. Thus, a large sibling group may
be placed in two related homes near their family home, if
necessary to place them in close proximity to their family.
• Siblings may be separated as a result of a court ordered
commitment resulting in admission of a sibling into
detention, DYS, a DMH/ID institution, or a psychiatric
hospital. The other siblings need not be placed with the
sibling being admitted to detention, DYS, a DMH/ID
institution or a psychiatric hospital.
• Siblings may be placed apart if they have been raised in
separate families, and the placement would provide them
greater contact with their families.
NOTE: A significant age difference between siblings does not by itself
justify separating them. Thus, two children ages 14 and 15 with a
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younger sister age 4 must be placed together unless one of the
circumstances above applies.
g. Application of Sibling Placement Policy to Siblings Separated for
Long Periods in Out-of-Home Care:
ISPs will be developed for all children in placement (in either family-like
settings or residential facilities), including those who have been long
separated from their siblings. The child and family planning team will
consider whether these siblings should be placed together. A child who
has long been separated shall be placed together with his or her siblings
unless moving the child will jeopardize his or her opportunity for achieving
permanency goals.
When deciding whether one or more siblings are to be moved, due
consideration shall be given to the following:
• the preference of the children and their family;
• the attachments of the siblings to each other, family and
community;
• the children’s permanency goals; and
• the strengths of the children’s existing placements, including
the attachment of the children to their current provider and
the willingness of current providers to aggressively maintain
frequent and meaningful contact (including overnight
visiting) among the siblings while they are separated.
h. Contact Among Siblings When Separated:
Whenever siblings are separated (e.g., in an emergency situation, per an
ISP), the siblings shall be placed in close proximity to each other unless
one of the exceptions previously mentioned applies.
When siblings are separated, there shall be sufficient visiting and phone
and mail communication to permit frequent contact among the entire
sibling group (at least weekly visits together designed around normalized
activities, and daily contact with other siblings), unless such contact is
restricted in accordance with policy on visiting and phone and mail
communication.
D. Choosing the Least Restrictive Setting
When out-of-home care becomes necessary, children should be placed in the least
restrictive setting possible. This means the most family-like setting that can provide the
environment and services needed to serve the child’s best interest and special needs.
Relative placement should always be given first consideration after which foster family
care, group home care, and institutional care, are to be considered in that order. If the
Department places children in foster family homes/unrelated homes, group homes and
child care institutions; these placement resources are required to be in
approved/licensed status except as otherwise ordered by a court of law.
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If the placement requires a psychological evaluation, the Department requires all
psychological evaluations be completed/interpreted by a psychiatrist or a PhD
psychologist. A trained/certified licensed technician or a licensed certified counselor
may perform the diagnostic testing. However, if a diagnosis is needed the psychiatrist or
PhD psychologist must make the diagnosis. This ensures that children and families are
professionally evaluated and meets Medicaid standards.
1. Relative Care
Relative care is a situation in which an adult relative, such as a grandparent,
aunt, uncle, or other relative, provides a home for a child who cannot live with his
or her parents. When a child is in a Relative Care placement type, this means
that the department holds custody and planning responsibility for the child.
However, no board payment is paid in this situation. (See related foster care) As
a rule, the relative will apply for TANF and SOBRA Medicaid for the child.
A home evaluation and Clearance of the Central Registry must be completed
prior to the child being placed in relative care.
a. Kinship Care
Funds for Kinship care maybe utilized to facilitate placement. A TANF worker in
your county can assist you with applying for kinship funds.
2. Foster Family Homes
The Child Care Act of 1971, Title 38, Chapter 7, Code of Alabama 1975, (Acts
1971, 3rd Ex. Sess., No. 174, p. 4423, Section 1-17) defines a “foster family
home” as a child care facility in a residence of a family where the family receives
a child or children, whether related or unrelated to the family as the term “related”
is defined in this section, for the for the purpose of providing family care or
therapeutic family care and training or transitional living program services on a
full-time basis. The types of foster family homes are defined as follows:
• Traditional foster family home. A child care facility in a residence
of a family as that term is defined in Section 12-15-301 (14), for
the purpose of providing family care and training on a full-time
basis.
• Related Foster family home. A foster family home wherein the
family is related to the child by blood, marriage, or adoption within
the fourth degree of kinship, including only a brother, sister, uncle,
aunt, first cousin, grandparent, great-grandparent, great aunt,
great uncle, great-great grandparent, niece, nephew, grandniece,
grandnephew, or a stepparent.
• Free home. A foster family home, whether related or not related
as defined in Section 12-15-301 (14), which does not receive
payment for the care of a child or children and which may or not
receive the child or children for the purpose of adoption.
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• Therapeutic foster family home. A child care facility in a residence
of a family where the family receives a child or children for the
purpose of providing therapeutic family care and training on a full-
time basis
.
a. Related Foster Care
Relatives may be approved to provide out-of-home care for children who
are in the custody of the department. However, the related foster care
home must meet the Minimum Standards for Foster Family Homes
including completion of TIPS. The Department’s child welfare program
considers relative as an individual who is legally related to the child by
blood, marriage, or adoption within the fourth degree of kinship; including
only a brother, sister, uncle, aunt, first cousin, grandparent, great grand
parent, great aunt, great uncle, great-great grand parent, niece, nephew,
grand niece, grand nephew or a step-parent.
b. Foster Homes of DHR Employees
DHR employees may be foster parents under certain conditions.
Advisory opinions from the State Ethics Commission, AO2001-07 and
clarified by AO2005-27, set forth the conditions under which DHR
employees may be approved foster parents. The following policy reflects
the opinions of the Commission:
i. County DHR Employees
County DHR employees may be approved as foster parents in a
county other than the county in which they are employed. DHR
employees are prohibited from being a foster parent for their
county of employment because they would be interacting directly
with the Department with which they are employed and have
access to confidential information, thereby, creating a conflict of
interest. An employee’s position in a county is not a consideration
but the inherent interaction with their employer creates conflict of
interest. The only exception to a DHR employee serving as a
foster parent for their county of employment would be if the foster
care placement is approved and otherwise overseen by a County
DHR office other than the employing county. This may occur in
rare situations. DHR employees may be approved as foster
parents by child placing agencies but may not accept children
from the county in which they are employed because to do so
would involve the “inherent interaction with their employer.”
County DHR employees may serve as foster parents to children
who are their relatives under a fact-specific, case-by-case review.
The Individualized Service Planning team must determine that
placement with the relative/DHR employee is the most appropriate
one for the child. The county of employment shall request that an
adjoining county department complete the foster home study and
approve the home. The adjoining county is credited with the
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foster home resource case. Should a county have such a case,
the county should notify the court to obtain concurrence with the
placement plan.
A county DHR employee may serve as a substitute for an
approved foster parent (AO2005-26). Minimum Standards for
Foster Family Homes requires that the prospective foster parent’s
substitute must adhere to the requirements for substitutes a
described in the Minimum Standards for Foster Family Homes. In
addition, a DHR employee wishing to serve as a foster parent’s
substitute must meet and maintain the following two conditions:
• The DHR employee wishing to be a substitute for a
foster parent cannot be involved in the selection of
foster care providers for children; and
• The DHR employee wishing to be a substitute for a
foster parent has no opportunity to accrue personal
gain.
ii. State DHR Employees
State DHR employees may participate in the foster parent
program in their county of residence as all interaction/approval,
etc. is done at the local level. A State DHR employee participating
in the foster parent program in his or her county of residence
would not conflict with, or be in violation of Advisory Opinion No.
2001-07 as the State DHR is not involved in approving/overseeing
the foster family home/parent. State DHR employees cannot use
their position as a State DHR employee, nor may they use
confidential information obtained in the course of their
employment with State DHR to influence or affect their being
approved as a foster care provider.
iii. DHR Employees As Relative Placements
County or State DHR employees may serve as foster care
providers to children who are their relatives under a fact-specific,
case by case review.
iv. DHR Employees As Respite Providers
County DHR employees cannot be approved as respite providers
for foster parents in the county in which they are employed. They
cannot accept children from the county in which they are
employed. Procedures are in place for approving respite care
providers. (See Section XII, Foster Parent Support)
v. Payments to DHR Employees Approved as Foster Parents
Foster care maintenance payments are made to DHR employees
approved as foster parents in the same manner as any other
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foster parent. Such payments are made through the FACTS
monthly placement validation process and initiated by the county
placing the child.
Please see the Therapeutic Foster Care Manual for additional
requirements of a Department of Human Resources Employee
becoming a TFC parent.
c. Foster Family Homes Serving as Maternity Homes
In addition to meeting the Minimum Standards for Foster Homes, homes
serving as maternity centers must be appropriate for minor pregnant girls
who are in need of foster care services. Special consideration is given to
location of medical resources, available space, foster parents’ acceptance
of minor pregnant girls, diets, education, etc.
Only pregnant girls may be in foster family homes approved to serve
pregnant girls.
d. Therapeutic Foster Care
Therapeutic Foster Care (TFC) exists to serve children and youth whose
special emotional needs lead to behaviors, that in the absence of such
programs, they would be at risk of placement into restrictive settings, e.g.
hospitals, psychiatric centers, correctional facilities, or residential
treatment programs. A child/youth entering into TFC must have a
Diagnostic Statistical Manual (DSM) diagnosis within the last twenty-four
(24) months and require the treatment and structure offered through a
TFC program. The diagnosis must have accompanied behaviors, that
would require treatment and structure from the TFC foster parents and
program before a child/youth would be a candidate for TFC placement.
The accompanied behaviors/symptoms would be few, if any, in excess of
those symptoms required to meet the diagnostic criteria. The intensity of
the behaviors is distressing but manageable, and the symptoms result in
minor or mild impairment in family, social or educational settings.
A child may not be placed in TFC moderate residential care with an IQ
below 55. TFC also aims to serve the families of the children that are
placed within the program, supporting child-family relationships consistent
with the permanency goals outlined in the family’s ISP.
There are two levels of TFC services. All children who meet the criteria
for TFC will enter at the Comprehensive TFC level. Children in TFC
placements will be assessed at nine months from admission by the Multi-
dimensional Assessment Tool (MAT) to determine their continued need
for TFC services. Step-down TFC is appropriate when a reduced level of
service needs is identified through the MAT. This level is identified for
children who no longer need comprehensive TFC services but may
require more services than offered in a traditional foster home setting. For
step-down procedures refer to the Therapeutic Foster Care Manual
Core Services section.
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Before a county DHR office may place a child under the age of six (6) in a
TFC home, the Office of Foster Care at State DHR must concur in writing
with the placement decision.
Refer to Therapeutic Foster Care Manual for further information. The
manual is located on the web-site.
e. Therapeutic Foster Care with Enhanced Services
A service offered to assist with placing children who have unique issues
and: a) are under fourteen years of age, have a diagnosis of autism,
intellectual disability and are not eligible (due to age) to be placed on the
Intellectual Disability waiver waiting list and/or receive a waiver slot or; b)
have a DSM V diagnosis (es) and have mental health issues and/or a
medical/emotional/behavioral need that would otherwise require an out-
of-state placement. These placements require State DHR-Division of
Resource Management (DRM), Office of Resource Development and
Utilization and Office of Foster Care approval prior to placement or
development of a home.
f. Enhanced Foster Care
The Enhanced Foster Care program has been developed as a resource
to assist counties with the placement of large sibling groups within their
counties. This program is not intended to shift any case management
responsibilities for children in the enhanced foster care placements from
the county DHR staff to the CPA staff. It is intended to provide a
mechanism for support to foster parents, who are willing to accept large
sibling groups into their homes, where without this support; separate
placements for siblings would be required.
Guidelines have been developed for the use of Enhanced Foster Care.
These guidelines are to be used to assist Child Placing Agencies in the
development and administration of Enhanced Foster Care programs
within the counties. Due to the complex training and support needs of the
enhanced foster parent, the program may be developed and administered
by Child Placing Agencies only. The Division of Resource Management
administers the Enhanced Foster Care program at SDHR.
i. Requirements for Use of Enhanced Foster Care
• The placement must be for a sibling group of four
(4) or more. This number may be a combination of
children who receive therapeutic foster care
services and traditional foster care services. For
example, if there is a sibling group of four, and one
of the children in the home is in therapeutic foster
care, the other three may be eligible as enhanced
foster care. In this case, the foster home must
have received the appropriate training as a TFC
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provider as well as the training for Enhanced Foster
Care.
• The Enhanced Foster Home must meet The
Minimum Standards for Foster Family Homes,
which allows for the placement of sibling groups of
more than six (6).
• One foster parent must be at home at all times in
order to provide the required supervision and care
necessary for a large number of children. If all
children are school age, a parent must be available
for school conferences, doctor visits, emergencies,
etc. This does not preclude both parents’ working,
as long as their shifts do not coincide. A one-
parent foster home where the foster parent works
outside the home may not be considered as an
Enhanced Foster Care provider as there must be
one parent in the home at all times to meet the
considerable needs of a large sibling group.
• Foster parents in the enhanced program must have
completed Trauma Informed Partnering for
Permanence and Safety or Deciding Together.
ii. Required Training to be Provided by Administering Agency
to Foster Parents
The following issues should be addressed in a training setting with
each foster parent:
• Recognizing the individuality of each child and his
strengths and needs in the large family setting
• Child development
• Managing daily activities of a large family
• Sibling rivalry and its implications
• Conflict resolution
• Time management
• Other training based on the identified, individual
needs of the family
Training must be completed prior to placement of the sibling
group. Additionally, each foster parent will be required to receive
fifteen (15) hours of training per year in addition to the fifteen (15)
hours that is required per the Minimum Standards for Foster
Family homes annually after being approved. The administering
agency must provide documentation, which is to be kept in the
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foster parents’ files, certifying the training that is received by each
foster parent.
iii. Necessary Support Services for the Enhanced Foster
Parents to be provided by the Administering Agency
Ongoing supervision of the foster home will be provided by the
administering agency to ensure that the placement of the sibling
group is with a patient, loving foster parent, who is willing to make
a long-term commitment to work with the special challenges
created by a large sibling group. The administering agency will
notify the county department if a disruption in placement is
possible so a team solution from the county department, the
agency, foster parent(s), family members and other ISP team
members can be planned.
Home visits will be made by staff of the administering agency
based upon the needs of the foster family identified in the ISP.
These visits will be of a minimum of 30 minutes per child on a bi-
weekly basis. Although the time spent in the home is based upon
the number of children in the home, activities provided by the
administering agency will be centered on support services for the
foster parent(s).
Caseload management must be provided that is based upon the
formula that a case manager can serve no more than the number
of families that provide foster care for 24 children.
iv. Responsibilities of County Departments of Human
Resources
The county departments shall provide supervision and case
management of the foster children in the enhanced foster care
placement.
Child welfare workers from the county department shall be
responsible for conducting ISP’s for the children in care per policy,
including the arrangement of services and Medicaid Rehab
claiming.
The county department child welfare workers will be responsible
for educational advocacy for the children in the enhanced foster
care placement.
The county department child welfare workers will be responsible
for the arrangement of visitation among family members and will
be responsible for assistance with transportation, when
necessary.
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The county department will be responsible for the payment of
services to be paid the provider of the enhanced foster care
placement.
v. Funding
Payments may be made to the administering agency from the
placing county’s flex funds at the rate of $25.00 per day per child.
Of the $25.00 amount, the administering agency will pay the foster
parent(s) $12.50 per day per child as an enhanced foster care
payment. The remainder shall be used by the administering
agency in the administration of the program, including the
implementation of required training and support services.
Additionally, the foster parents will receive regular foster care
board payments for each child in placement.
g. Provisional Foster Care Placements
Standards have been developed to provide guidance and standards in
locating, assessing and provisionally approving a foster home for children
who must be immediately removed from their own home due to an
emergency situation or from their foster care placement due to a
disruption in the home. These standards are developed in accordance
with Alabama Law § 38-7-5, Code of Alabama 1975, amended 1996
which states,
…when a child is taken into the Department’s foster care or custody on
an emergency basis, or when there is a disruption or imminent disruption
in a current foster care placement requiring placement elsewhere, and a
prospective foster home is available, the Department or child placing
agency may conduct a preliminary inspection of the home and issue a
provisional approval of the home. The provisional approval shall continue
in effect for no more than six months and is nonrenewable. A provisional
approval may be denied or revoked by the Department at any time for
failure to meet minimum standards set by the Department or for any
reason set forth in § 38-7-8.
The intent of provisional approval is to provide a method to expedite the
temporary approval of a foster care resource in an emergency situation,
when the resource is in close proximity to the child’s own home, is known
to the child and/or his family and can provide a safe environment for the
child while reducing the trauma the child might experience if placed with
strangers.
Provisional foster homes cannot be used to provide a means to
circumvent or negate current licensing standards for approving foster
homes. Provisional foster homes are to be used in emergency situations
and conditions described above. Criteria for approval of provisional foster
homes are located in the Appendix section. Child Welfare staff approving
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foster family homes must refer to this for the process of approving
provisional foster homes.
NOTE: Therapeutic foster homes cannot be provisionally approved.
h. Unrelated Free Home
While rare, a free home is a foster family home which does not receive
payment for the care of unrelated children. The home may or may not
receive the child or children for the purpose of adoption. The free home
is subject to the same rules and regulations regarding care of children,
standards of home, etc. as the boarding homes. (Refer to Minimum
Standards for Foster Family Homes; Principles, Regulations, Procedures,
1974, Revised 2007.)
If applicants come to the agency expressing an interest in providing this
type of care, the County Department will assess their motivation and
abilities using the guidelines of the regular Foster Home Study. When the
free home comes to the attention of the County Department after
placement has already been affected, the County Department must
determine the suitability of the arrangement. These resources would only
be utilized only in the following situation: for children who have no
continuing relationship with their own family but cannot be placed for
adoption. The relationship between the foster parents and the County
Departments must be such that the arrangement will permit the
Department to carry out its full continuing responsibility for the child’s
welfare and in doing so not adversely affect the child’s case.
Approval for free homes shall remain in effect until notice of disapproval is
given or until the free home voluntarily withdraws.
3. Child Care Institutions and Group Homes
The Child Care Act of 1991, Title 38, Chapter 7, Code of Alabama 1975, [(Acts
1971, 3rd Ex. Sess., No. 174, p. 4423 Sections 1-17) (Section 3 was amended by
Act No. 81-310, Acts of Alabama. Of 1981)] provides the State Department of
Human Resources with the legal responsibility to license all private institutions
and group homes serving dependent and neglected children. Under this law,
group homes are facilities which care for at least seven but not more than ten
children. Child care institutions are facilities which provide care for more than ten
children. (Minimum Standards for Residential Child Care Facilities)
The County Departments are provided a listing of currently licensed childcare
institutions and group homes by SDHR Family Services. The current list of
Residential providers will be maintained on the online Residential Resource
Directory in the Department’s web page, www.dhr.state.al.us. For the specific
services offered by these institutions and group homes, refer to this on line
Residential Resource Directory.
Child care institutions or group homes should be utilized only for children who
cannot be cared for in their own homes and whose needs can best be met by
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group living. Such a group living situation provides more structure than a foster
boarding home, but can be a barrier to contact with family and child.
Children for whom group care or institutional care is usually an appropriate
resource:
a. Group Homes
• children who have lived in an institution and need to be
moved gradually into community living in preparation for
return to their own home or a “halfway home”;
• children who are nearing the age of independence but still
are under general guidance of responsible adults and can
benefit from transitional living services;
• children who need to live in close proximity to medical,
psychiatric, or other specialized services;
• children who need shelter care or assessment care pending
a case work-up and evaluation to determine the appropriate
type of placement, or who need an intermediate placement
prior to placement in foster care or institutional care;
children who have received maximum benefit from an
institutional program, for whom continued institutional care
would be contrary to continued emotional development; and
• children who refer themselves by running away from home,
or who for other reasons have not been referred through a
social agency, for whom a return home is not feasible.
b. Child Care Institutions
• children who have been subjected to repeated separation,
rejection, and other deprivations so that they need the
underlying security and continuity of an institution;
• children who are distrustful of authority and need an
opportunity to learn gradually to trust adults;
• children who have not learned to function adequately in
social and community living, whose personal habits may
be unacceptable in a family or small group setting, or in
society;
• children whose identification with, and attachment to, their
own families is too strong to allow them to form a close
relationship with foster parents;
• children whose parents cannot allow their children to form
close relationships with foster parents;
• children who cannot form close relationships with others,
and require the relatively diluted emotional relationships
which are possible only in an institution;
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• children who have been so deprived of affection that their
demands for attention and affection would be
unreasonable upon foster parents; who do not require a
continuous relationship with one individual, but do require
daily contact with a variety of people who can meet the
needs of children; and
• enhanced foster care should be considered first for
children for whom large family living should be kept intact.
c. Treatment Facilities
• children with severe physical problems which require
specialized services, for which medical fragile homes are
not equipped;
• the child with emotional problems so disturbing that he
requires the special protection and control of a regulated
environment coupled with casework and/or psychiatric
treatment; and
• some children with intellectual disabilities who require
residential educational facilities for special care and/or
training.
4. Shelter Care Facilities
Shelter care facilities provide emergency shelter care for children and
adolescents for up to 30 days. Children placed in shelter care facilities may be
dependent, neglected, abused or separated from their families due to emergency
and crisis situations. Necessary social, medical, dental, education, recreational
and maintenance services are provided in a protective environment and in
accordance with the individual needs of a child.
Do not refer children and youth who are delinquent, severely emotionally or
physically ill or who have severe intellectual disability, as shelters will not accept
them.
Shelter care is short-term care. It should be used only in rare circumstances
when more appropriate placement types are not available on an emergency
basis. The use of shelter and other temporary placements for children or will
ensure that child or youth will have access to a full array of needed services
while in the temporary placement and the placement will most likely be the only
placement the child will need during his or her stay in out-of-home care.
Payment to facilities for shelter care is made through the FACTS system.
5. Residential Facilities for Children and Youth
Before the County Department can consider a specific residential facility as a
resource for a child, a thorough assessment of a child’s situation and needs
should be completed to be reasonably certain that a particular type will best
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serve his needs. As in foster family care, the parents should be encouraged and
assisted to participate in planning for the child and be made aware of the various
resources available. An adequate diagnosis and treatment plan can then be
made to match the child’s needs with the program that can best meet his/her
needs.
There are several types of residential care. These include: basic residential care,
moderate residential care, intensive residential care, crisis stabilization program,
transitional and independent living, and mothers and infants residential care.
The definitions of each residential type is as follows:
Basic Residential Care is a congregate care setting, which provides room,
board, and a basic array of services for a child with an occasional emotional
and/or behavioral management problems that interfere with the child’s ability to
function in the family, school, and/or community setting in other than a residential
environment. This basic type of placement should be limited to children whose
needs cannot be met in their own home or traditional foster care.
Children eligible for this level program may be abused, neglected, or exploited
and may exhibit the occasional behavioral and/or emotional problems, which
range from acting out to withdrawal. Children in this level are basically in good
health, although some may require medical attention for minor health conditions.
At this level, children typically:
1. Have behavior which is under control and does not require
constant adult supervision
2. Have peer relations that are generally positive
3. Are generally compliant with staff and respond favorably to
nurturing, structured programs
4. Do not pose a safety risk to the community or other children in the
facility.
Moderate Residential Care is a congregate care setting, which provides room,
board and an array of services for a child with moderate emotional and/or
behavioral management problems that interfere with the child’s ability to function
in the family, school and/or community setting in other than a residential
environment. This moderate type of placement should be limited to children
whose needs cannot be met in their own home, traditional foster home,
therapeutic foster care home, basic residential care, or children who have
reached their treatment goals in a more restrictive setting and are ready to be
“stepped down”.
Children eligible for this level program must have a Diagnostic & Statistical
Manual, (DSM) diagnosis by a psychological or psychiatric evaluation completed
within the past twenty-four months, and have associated behaviors and
symptoms of the diagnosis. The intensity of the behaviors the child is currently
experiencing should cause moderate impairment in the educational, social
interaction and/or daily living areas of the child’s life. During the referral process
a Multi-dimensional Assessment Tool (MAT will be completed. The assessment
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must recommend placement in a moderate care facility. Children may have
current or past substance abuse needs and may have successfully completed an
Alcohol and Drug Treatment Program. Children may be delinquent, have some
runaway behavior, display manipulative behaviors, have difficulty maintaining
self-control, display poor self-esteem, have difficulty in securing and maintaining
close relationships with others, be habitually truant from school and have
difficulty in accepting authority. Children with a history of sexual offenses are
eligible if they have successfully completed a sex offender treatment program
and/or have been deemed not to pose a serious risk by a recognized sex
offender treatment professional.
These children have not responded successfully to less restrictive interventions
or have been denied admission or discharged from less restrictive placements
because of their emotional or behavioral problems. The behavior of these
children is not well controlled without consistent adult supervision. Some
children may be in need of psychotropic medication. Children in this level of
placement are basically healthy however; routine attention for minor health
problems or for monitoring medication may be required.
At this level, children typically:
1. Have need of behavioral treatment to be able to function in school,
home, or the community because of multiple problems
2. Have not responded successfully to less intensive treatment
and/or have been denied admission or discharged from various
placements due to behavioral disruptions.
3. Have behavior that is not well controlled without consistent adult
supervision or use of psychotropic medications; basic structure
and nurturance are not sufficient without treatment.
Intensive Residential Care is a congregate care setting, which provides room,
and an array of services for a child with serious and/or chronic emotional and/or
behavioral management problems that interfere with the child’s ability to function
in the family, school and community setting outside of a residential environment.
Intensive placement services are for children with a DSM diagnosis requiring
active treatment which means implementation of a professionally developed and
supervised individual plan of care for individuals who have been prior approved
and certified by an independent team as meeting medical necessity for this level
of care. The facility must be certified to participate in Medicare/Medicaid
programs, be in compliance with Title VI and VII, seclusion and restraint
requirements of 42 CFR, Part 483, staffing and medical record requirements and
have an approved utilization review plan. Intensive residential placements
should be limited to children whose needs cannot be met in their own home,
traditional foster home, therapeutic foster care home, basic or moderate
residential care, or children whose treatment goals cannot be met in a less
restrictive setting.
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Children eligible for this program level must have a Diagnostic & Statistical
Manual, (DSM) diagnosis and be identified by a mental health professional as
having serious emotional and/or behavioral problems and be in need of
treatment. The number of behaviors is substantially in excess of those require to
make the diagnosis and the intensity of the behaviors is seriously distressing and
unmanageable, and the symptoms markedly interfere with social, family and
community/educational functioning.
These children may be delinquent, chronic runaways, display poor self-esteem,
and have difficulty in accepting authority. Children with significant substance
abuse needs, which require intensive treatment, are also eligible. These children
may be diagnosed as autistic or display autistic-like behaviors. These children
may present with bizarre behaviors, have diminished ability to think clearly, be
paranoid and have trouble concentrating.
This population may exhibit significant disruptive behaviors such as persistent or
unpredictable aggression, and moderate to serious risk of causing harm to
themselves or others.
These children have not responded successfully to less intensive interventions,
or have been denied admission or been discharged from various placements
because of their emotional and behavioral problems. There is a need for
constant adult supervision and intense treatment, which could include the use of
psychotropic medication. This is a population at high risk of hospitalization or
institutionalization because of the pervasive nature of their problems. Although
usually in good health, these children may require medical attention for health
problems or for monitoring medications.
Ineligible children are actively homicidal, actively suicidal, or those children who
have a psychosis not controlled with medication. Youth who have displayed
major acts of violence or aggression such as rape, arson, and assault with
deadly weapon, murder, and attempted murder within the past six (6) months are
also ineligible for the program.
NOTE: Prior to making a referral to facilities categorized as “Intensive”
three steps must have occurred: (1) the ISP team must have assessed and
recommended the placement; (2) County child welfare staff must obtain
approval from the Office of Child Welfare Intake; and (3) obtain a completed
Certificate of Need.
Crisis Stabilization Program is a congregate care or alternative setting, which
provides room, board and a basic array of services in a temporary setting. These
programs must meet the minimum requirements for shelters as defined by the
Minimum Standards for Residential Child Care Facilities or for foster homes as
defined in the Minimum Standards for Child Placing Agencies. Crisis stabilization
services are to be used in rare circumstances when more permanent, planned
placement services are not feasible due to extenuating circumstances, e.g. the
late hour of the day, unknown family history or support, etc.
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Children or youth referred to this program must be new entries into foster care
where the specific placement needs of the children are not known. The child
must have no current psychological evaluation (within the past twenty-four
months) that provides a DSM diagnosis. During a child or youth’s placement in a
crisis stabilization program, he or she must receive the full array of services that
are needed during the placement. Placements in the program shall be for only
as long as needed to defuse a crisis situation and/or until a more permanent
placement can be identified. Crisis stabilization placements shall not exceed 60
days. During the 60-day placement, the county DHR office shall be responsible
for the scheduling of a psychological evaluation and Multi-dimensional
Assessment Tool (MAT) assessment. Any additional time needed beyond the 60
days must be approved by the Resource Management Division. Discharge
planning must begin at the time of placement.
Transitional Living environment is an alternative living arrangement that
provides foster youth (ages 17-21) with opportunities to practice independent
living skills in a variety of congregate settings with decreasing degrees of care
and supervision.
Independent Living environment is an alternative living arrangement whereby
youth live in community-based housing rather than in a foster home or a group
home setting. This living arrangement allows the youth the opportunity to
continue the decreased care and supervision needed so that the youth will
ultimately be responsible for his/her own care and be prepared to live on his/her
own in the same location, when the Department no longer holds custody.
Mothers and Infants Residential care setting is a group living arrangement for
pregnant teens, which allows the young mother and her infant to remain in the
placement after the birth of her child. The program assists with care for the infant
during the hours that the young mother is developing her skills in parenting and
preparing for independent living. A mothers and Infants program must meet the
portion of the Minimum Standards for Residential Child Care Facilities that refers
to maternity programs.
Out of Home Placement Procedures
a. Procedures for Placement
The Office of Foster Care, must give approval for children entering
acute psychiatric placements, out-of-state placements and out-of-
county placements for those counties requiring that children be
placed in their own county.
The Residential Placement Intake Protocol is designed to provide
guidance on and concurrence with the placement of children into
certain programs. The procedures described in this protocol
address the following areas:
• Residential and/or therapeutic foster care placements
when an emergency contract slot is needed;
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• Residential and/or therapeutic foster care placements
when there are no contract slots available and the county
wants to use flex funds for payments;
• Completion of a Multi-dimensional Assessment Tool (MAT)
when a child needs either a TFC placement or placement
in a moderate residential facility.
The protocol has been established to maximize the use of contract
services and to allow for the individual tailoring of services to meet
the needs of families and children. These procedures should
ensure maximization of federal funds to meet the increasing
needs of families and children served by the Department. The
Division of Resource Management provides guidance on and
concurrence of residential placements by county staff during
regular work hours. If a placement is needed after normal hours
on an emergency basis, the request must be made to the
Residential Placement Intake Unit within the Division of Resource
Management the following workday. The intake Protocol and the
Placement Request – Residential Placement Intake Protocol are
to be used when requesting placement services. These are
available through iDHR and can be accessed from the Foster
Care Policy link; and the Placement Request (DHR-FCS-2188)
can be accessed from the Foster Care Forms and Instructions
link.
i. Request for Application for Admission
Each facility has intake procedures that must be followed. The
request for consideration of a child should be made in writing.
This should be accomplished by a brief statement of the situation
necessitating placement with identifying information about the
child, including name, birthdate, grade placement, health status,
and social adjustment along with the anticipated length of
placement needed. This information would not be as detailed as
the social summary which will later be submitted. Some
placement types will require a formal DSM V diagnosis, if the child
has one. For Intensive programs, a Certificate of Need will also
be required.
If the facility staff decides to consider the child, they will furnish the
worker with the necessary admission forms, medical examination
forms and request whatever additional information is needed.
The facility requires a social summary regarding the child and his
family as part of the application. Retain a copy of this assessment
in the case record.
ii. Admission Agreement and/or Contract
When the admission process has progressed to such a point as to
indicate the placement is likely to materialize, an agreement as to
details regarding interchange of information, reports, financial
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arrangements, clothing, medical care, visiting in family and
unrelated homes, custody, plans regarding pre-placement visiting,
and placement should be formulated.
Some facilities require the family or agency retaining custody of
the child to sign agreements which specify how certain need of the
child will be met. When the County Department holds legal
custody, County Department is only authorized to sign is the PSD-
BFC-823, Inter-Agency Agreement. A copy of the court order
awarding temporary custody to the County Department and any
subsequent court order pertaining to specific permissions must be
attached to and made a part of the Agreement. The Inter-Agency
Agreement includes consent of the County Department for only
emergency medical, surgical, dental and hospital services,
treatment, and care; annual medical and dental examinations; and
for permission to participate in recreational, social and educational
activities offered or approved by the child care facility and taking
place within the State. Any release of information about any child
must be considered on an individual basis by the County
Department. No “hold harmless” agreements, which contain
statements that the provider is exempt from responsibility or
liability for a child placed in their programs, shall be signed by
DHR staff. If such agreements are held to be mandatory before
placement, the Division of Resource Management should be
contacted.
On receipt of any agreement and/or contract concerning medical
care of the child’s participation in activities from a child care
institution or a group home, other than the PSD-BFC-823, send to
SDHR’s Family Services the agreement and/or contract and a
copy of the court order granting custody of the child to the County
Department, or the Agreement for Foster Care, PSD-BFC-731. A
DHR-OCG 724 Purchase of Service Authorization must be
completed on all children being placed in a contract slot at a
facility with which the department has a contractual arrangement.
On procedures for placing children in placements where contract
slots are not available refer to Residential Placement Intake
Procedures located in the Appendix section.
iii. Authorization to Place
When the ISP team recommends that a child is in need of
placement in a residential facility, the County Department must
have either an Agreement For Foster Care, PSD-BFC-731, an
order issued by the court giving the County Department the right
to plan for the child pending a court hearing, or an order giving the
County Department temporary custody of the child. The County
Department must not seek custody of a child only for the purpose
of placing a child in a treatment facility and making payment.
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iv. Child in the Custody of a Residential Facility
If the County Department holds custody of a child in a residential
facility, the County Department retains the responsibility for
planning for the child. The facility retains certain responsibility for
the child while the child is in the facility and close cooperation
between the County Department and facility is essential.
In rare situations, a facility may wish to assume legal custody of a
child being admitted, the facility is responsible for filing a petition
in court and providing ongoing services to the child. The ISP team
should be involved in this process. The County may furnish
information to the facility only with consent of the family.
If the County Department is contacted by the facility about a
change in the custody status of a child currently residing in the
facility, the County Department will bring the case to the attention
of the judge of the court who issued the original order of custody.
The County Department should notify the facility of the
Department’s intent to consider with the facility the plan to be
made on behalf of the child. If the court issuing the original order
determines that a change of custody is indicated, the County
Department should notify the facility that the court will accept a
petition.
The facility desiring custody of a child in its care should be made
aware prior to a change of custody that the department will no
longer be responsible for planning or making board payments for
the child to the child care facility if the Department is relieved of
custody.
v. Special Educational Services for Exceptional Children
Placed by DHR in Residential Settings
There are children in the Department’s care, custody or planning
responsibility whose living arrangements are provided in
residential facilities and who receive special education services.
These services may be provided through either local education
agencies (LEAs) in the local public schools or private education
programs located within the residential setting. State and Federal
laws require the State Department of Education (SDE) to provide
a free and appropriate public education to all exceptional children.
SDE provides funding to residential programs for their in-house
educational programs, including educational services to
exceptional children. One of the prerequisites for the SDE to pay
educational expenses for exceptional students is the development
of an appropriate Individual Education Program (IEP) with the
LEA. The child’s social worker, birth family, etc. should participate
in the IEP.
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NOTE: SDE considers legal residence as the county in which the
child actually resides, i. e. the county in which the residential
facility is located. Therefore, in order to coordinate services, the
LEA with which child welfare staff will work to coordinate
educational services will be the LEA of the county in which the
facility is located.
(1) Initial Placement In Facility Located Outside DHR
County of Responsibility
As soon as it is known that an exceptional child in out-of-
home care will need to be placed into a residential program
located outside the county, the child welfare worker should
contact the Special Education Coordinator of the receiving
LEA. SDE’s website, www.alsde.edu, maintains a list of
special education coordinators, (enter “coordinator” in
“search” box and scroll to Coordinator List). The contact
should be made prior to placing the child in an out of
county facility in order to determine if an IEP conference is
needed. In situations involving immediate or quick
placement of a child into an out of county facility, the child
welfare worker should contact the Special Education
Coordinator of the receiving LEA to determine if an IEP
conference needs to be expedited. Generally, an IEP from
one school system will be accepted by a receiving school
system until the receiving school system can have a
conference to update the IEP.
(2) Change in Residential Placement of Special
Education Child
As soon as the need for a change of residential placement
for an exceptional school age child in DHR custody
becomes known, the child welfare worker in the county
having planning responsibility will notify the Special
Education Coordinator of the LEA where the current
placement facility is located. The child welfare worker will
request that the child’s records be transferred to the
receiving LEA. The IEP will follow the child.
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(3) Written Notification to LEA of Placement
The child welfare worker in the county with planning
responsibility will notify in writing the Special Education
Coordinator for the LEA in which the child will be placed by
submitting the original of the letter informing that LEA of
the child’s placement in the facility located in the LEA area.
(See Forms Section for sample letter).
(4) Transmittal of Essential Information from One LEA
to Another LEA
In order to facilitate the transmittal of essential data to
LEAs on the exceptional child having his/her residential
placement changed, use the sample letter in the Forms
Section. The letter is to be completed on county letterhead
and used to notify all parties of such changes. The
completed letter is sent to the appropriate persons on all
children from who the Department has planning
responsibility.
If the Department does not have custody of the child, the
worker may help the parent or legal guardian request the
school system to forward education information to the
appropriate LEA. If the child is being placed on a boarding
home agreement, the parent must request educational
material be forwarded to the LEA where the facility is
located. The county worker may still complete the letter
and indicate that other information is forthcoming.
vi. Surgery or Other Medical Treatment for children in
Residential Facilities
The County Department’s responsibility for the authorization of
surgery or other medical treatment will depend upon the content of
the court order. Content should be developed with the local DHR
attorney, if local protocol allows. The court may prefer any one of
the following three ways whereby surgery or other medical
treatment is authorized.
• The court order granting temporary custody of the
child to the County Department may authorize the
County Department, by and through its Director, or
other employee officially designated by the said
Director, to give consent for surgery or other
medical treatment.
• The court may grant temporary custody of the child
to the County Department specifically authorizing
the County Department to place the child in an
institution/group home/treatment facility and may
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authorize the institution/group home/treatment
facility by and through its director or other
employee officially designated by the said director
to give consent for surgery or other medical
treatment.
• The court may grant temporary custody to the
County Department authorizing the County
Department to give consent for surgery or other
medical treatment with further authorization to
delegate to the institution/group home/treatment
facility the authority to give consent for emergency
surgery or other emergency medical treatment
recommended or prescribed by a licensed
physician or surgeon.
There will be some cases where the court order gives the
County Department temporary custody but does not specify
who is authorized to give consent for surgery or other
medical treatment. In these cases, the County Department
must do one of the following: (a) obtain a court order
authorizing consent by the County Department; or (b) have
the parents give the consent.
Prior to applying the above-described procedure on
“Surgery or Other Medical Treatment”, the County
Department should discuss them with the judge of the
juvenile court and arrive at a mutual understanding as to
the County Department’s responsibility. This prior
clarification through discussion with the judge is particularly
important regarding cases where the custody order does
not specify the person or agency authorized to consent for
surgery or other medical treatment.
vii. ISP for Children in Residential Facilities
The ISP process should be understood clearly in the beginning
between the County Department and the residential facility,
especially in working with the family and child. Children in out-of-
home placements must be seen by their DHR social worker
monthly in the place in which they live. Children also benefit from
worker visits and support in other settings. Refer to the
Caseworker Visitation section for detailed discussion on narrative
entries and documentation of visits. There will need to be periodic
conferences between the County Department and residential
facility personnel to discuss progress being made and to formulate
further plans.
When a child is placed in a facility, work with the parents should
be directed toward helping them to understand the program and
procedure of the facility and their relationship to it. When a child
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will not be returning to his home because of a severe handicap,
work with the parents should be directed toward helping them deal
with their feelings surrounding the child’s condition, and
encouraging their important role in development of the plan for the
child.
viii. Preparation and Placement
Since placement in a residential facility is usually only for school
age children, the child is old enough to be aware and participate in
much of the planning for his admission. His parents and/or worker
should help him understand why this is necessary. If the child has
no close relationship with his parents and has been in foster family
home, the foster parents may be helpful.
As in all out-of-home placements, preparation with the child and
his family will vary, depending on the child’s age, needs,
circumstances necessitating placement, etc.
Since residential facility placement involves working with the older
child who has more awareness of his and his family’s situation,
opportunities must be found for him to verbalize feelings. Parents
must also be given this opportunity and encouraged to help make
the transition for the child as comfortable as possible.
The worker should make arrangements for the child and his family
to visit the facility before admission. They should be informed
about the physical facilities, campus activities, living
arrangements, etc. prior to the visit. The worker if needed should
accompany the child and his parents. After the visit, the child
should return to familiar surroundings and be given an opportunity
to express his feelings, both positive and negative. Sometimes
more than one pre-placement visit may be necessary.
The date of the placement will be set by the facility. Placement
should be planned when the regular houseparents are on duty.
The child should be taken to the facility by the worker who has
established a relationship with him and who has had the
responsibility for planning.
Placement is traumatic but can be easier for the child if he is
permitted to bring as many of his personal possessions as
possible such as toys, clothing, etc. The worker should allow
enough time on the day of placement so that the child can feel as
comfortable as possible in his new setting before the worker
leaves. The worker will encourage and facilitate visits with the
child, family and former foster parents.
ix. Vacation Planning
The County Department has responsibility for vacation planning
for children in facilities who are in the legal custody of the
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Department and for children whom the County Department has
assumed responsibility for planning. Resources for vacation
planning include related homes and foster family boarding homes.
If visits are made in foster family homes and cost is involved,
board payments are to be made in the usual manner.
The County Department is responsible for communication with the
facility concerning vacation plans. When children want to visit in
an unrelated home, prior evaluation and approval of the home by
the County Department must be secured by the facility.
b. Child Care Institution and Group Homes
A child can be referred to, placed, or provided services by the Department
only in child care institutions or group homes which are licensed or
approved according to law and licensing standards and are in compliance
with Title VI of the Civil Rights Act of 1964. All facilities must be licensed
by the Department of Human Resources or the Department of Mental
Health (except for Outdoor Therapeutic/Wilderness Programs, which are
licensed by the Department of Youth Services) or accredited by a national
accrediting association, such as JCAHO, COA or CARF. An updated
version of the Online Residential Resource Directory is maintained on the
DHR web-site, www.dhr.alabama.gov.
If an institution or group home is licensed, in compliance with Title VI of
the Civil Rights Act of 1964 and the services of an institution or group
home are appropriate to meet the needs of the child, then the worker may
proceed with an application in the child’s behalf.
If a parent or guardian having custody wishes to plan for a child in an
institution or group home which does not meet both of the above
requirements, the County Department of Human Resources shall not
make a referral to such facility nor in any way participate in the placement
in such facility.
i. Reporting of All Referrals on FACTS
Any child referred to a childcare institution or group home by the
County Department in the form of an inquiry or referral must be
documented in FACTS through the placement module. Refer to
the FACTS Roadmap for instructions. (Document Residential
Placement Referral)
ii. Selection of Facility Based on Needs of Child and
Proximity of Natural Family
The selection of the appropriate institution or group home must be
based on the needs of the child in relation to the program offered
by the various institutions or group homes. (Refer to the
definitions located in the Residential Facility for Children and
Youth section item number 9) The distance from the child’s home
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should not be so far that family visiting is impossible if visiting is
part of the plan.
iii. Services During Placement
Placement should be viewed as a temporary plan with a
foreseeable termination since the shared goal of DHR and most
institutions and group homes is for every child to return to family
life in the community. Indefinite plans or prolonged periods of
institutional care or group home care resulting from lack of
adequate planning or lack of casework with parents, are not
considered acceptable practice.
Each institution type is bound contractually to provide needed
services as identified in the ISP. Services that are referred by
each services type will be delineated in its core services. The
worker should continue to maintain a relationship with the child
through frequent correspondence, contact with the institution or
group home, and visits.
iv. CAN Reports on Child Care Institution and Group Homes
If, during any contacts with the child care institution or group
home, the worker notes any concern about the operational
procedures of the facility or quality of care being provided to
children, the concern(s) should be immediately reported to the
Division of Resource Management/SDHR. (Refer to Child
Protective Services Policies and Procedures, Out-of-Home
Protocol, for procedures for reporting and investigating allegations
or abuse/neglect in a child-care facility.)
v. Child Care Institutions and Group Homes Title XX /
Contract for Social Services
There are some childcare institutions with whom the Department
contracts for the social services component of the program. An
example is Brantwood – The Children’s Home. To identify these
facilities, refer to the Resource Directory of Residential Facilities
for Children and Youth located on the web site,
www.dhr.alabama.gov click on community providers, licensing &
resource development and residential resource directory.
The County Department worker must determine Title XX eligibility
for children entering these facilities as for children entering
residential treatment programs.
For children who have private earmarked funds, (RSDI, VA, Child
Support, etc.), the income must first be applied to pay the child’s
board. The child’s monthly income in excess of the board
payment is to be used to reimburse the Department for contract
costs.
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The same procedure will be used for reimbursement for cost of
Title XX social services as is used for children in residential
treatment facilities.
vi. In-State Residential Treatment Facilities under Contract
There are some group homes, child care institutions, facilities
certified by the State Department of Mental Health and facilities
licensed by the State Department of Human Resources that
provide services to children with exceptional needs. These
facilities provide intensive treatment for children with mild to
severe behavioral and emotional problems who cannot be treated
on an outpatient basis. (Refer to the Residential Facilities for
Children and Youth section item number 9)
There are a group of facilities which are under contract with the
Department to provide Residential Treatment for Individuals with
Exceptional Needs. Some of these provide services to CHINS
with acting out behavior and others provide services for children
and youth with marked emotional disturbances.
The County Department must have adequate documentation,
including ISP team recommendation that residential treatment is
needed prior to contacting a treatment facility for placement. The
information necessary for documenting need is: social summary
(dated); report of psychiatric and/or psychological evaluation
which includes Diagnostic and Evaluation information relating to
current problems and IQ testing and a recommendation for
residential services; school records; and medical. This
information will assist the ISP team in the selection of an
appropriate resource from the Resource Directory of Residential
Facilities for Children and Youth. Once the ISP team selects an
appropriate residential facility, a referral must be completed to that
facility and the referral process of the facility is to be followed.
Commonly expected information:
• Current ISP;
• Specific reason for referral and need for placement;
• Social summary (dated);
• All psychiatric and psychological reports;
• School records;
• Most current medical, immunization record; and
• Custody status or boarding home agreement copy
of Court Order if Department holds custody.
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After the selection of the facility is made, the worker must register
or update FACTS showing child placed, coordinate with facility the
visitation of the resource to be used following treatment, and
review monthly program reports.
vii. Payment Procedure for Contract Facilities
For payment for a child receiving residential care, complete a
service authorization form, PSD-OSS-724, and send to the child
care facility under contract. The service authorized is Residential
Care Services for Individuals with Exceptional Needs, No. 350.
For payment for a child receiving specialized foster family care
through a child placing agency that provides therapeutic foster
care, award the board payment through the FACTS payment
system. In addition, complete a service authorization form, PSD-
OSS-724, and authorize Foster Care for Children service, No. 040.
Children placed in a childcare facility under contract may be
eligible for Medicaid. This must be explored by the child welfare
worker.
Each month the contract facilities will submit their invoices to
SDHR Division of Resource Management. Along with the invoice a
list of children who have received residential services in the facility
during the month must be attached. The list will include the child’s
name, eligibility category, DHR case number, county authorizing
the service and social service units provided per child. From this
list, SDHR Finance will send each County Department a list of
children from that county. This list will include instructions to
reimburse the State Department of Human Resources from the
child’s private income the amount paid in board by SDHR.
As the child’s monthly income will in most cases not be sufficient to
cover the total cost, then partial reimbursement will be made to
SDHR from the funds available. This reimbursement should not
exceed the child’s income for the given month. If the county
advises SDHR Finance that the child has no income, SDHR will
pay the costs of placement without any reimbursement.
The monthly statement from SDHR Finance will include each child
and the cost of care paid by SDHR. The County will indicate on the
listing the amount being reimbursed for each child to SDHR
Finance. County finance officer may send the list and one check
for the total amount of all payments submitted. The County will
retain the original statement and send the duplicate back with their
local funds check. Your local county finance officer can provide
guidance as needed.
As the list of children will be sent to the counties subsequent to any
receipt of monies for the children, continue to deposit a child’s
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income in your local funds account earmarked for the particular
child.
viii. Out-of-State Residential Treatment Facilities Placement
Protocol
Some children have a diagnosis of emotional and/or physical
problems of such serious nature that the foster care resources
licensed or approved by the Department are not equipped to meet
their needs. As it is the duty of the Department to serve these
children and as the facilities in Alabama are not always equipped
to do so, resources outside the State are sometimes required.
Because of the gravity of these children’s problems these cases
often require consultation from other state agencies such as the
Department of Mental Health, are universally high cost, and
resources may be outside of the State. Prior approval for out-of-
state placements must be secured from the Office of Foster Care
at SDHR. Approval for placement in an out-of-state residential
treatment facility will be given only for children placed by court
order in the temporary or permanent custody of the Department
with the exception of children placed through Multi-Needs.
For approval for placement of a child in an out-of-state residential
treatment facility, the County Department must submit the
following information with the request to the Family Services
Division at FamilyServices,PlacementAssistance:
Current ISP;
• a summary of the situation;
• identifying information regarding the child;
• reason for placement;
• medical and/or psychological evaluations;
• amount and source of income available to the child;
• the proposed facility treatment to be provided by
the facility and the cost. Before any facility can be
used, it will be necessary for the State Department
of Human Resources to clear with the respective
out-of-state Department regarding licensure or
certification and compliance with Title VI of the Civil
Rights Act of 1964. The Division of Equal
Employment Opportunity and Compliance will
determine [such compliance.];
• anticipated length of time care will be needed;
• copy of court order placing child in custody of the
Department;
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• efforts made to locate a resource within the state to
meet the needs of the child.
All appropriate resources within the state must be explored before
approval will be given for referral to an out-of-state facility.
Following approval from SDHR’s Family Services to proceed with
the plan for residential treatment, the County Department should
contact the appropriate facility for application for admission. Out-
of-state residential treatment resources have varying types of
admission procedures: therefore, the County Department should
contact the facility directly for specific information regarding
admission procedures.
If the child can be accepted for admission, details regarding family,
exchange of information, reports, financial arrangements, clothing,
medical care, family visiting, visiting in unrelated homes, custody,
plans regarding pre-placement visiting, and placement should be
discussed with the facility. Each institution has its own policies
regarding these points and the worker should be aware of these
policies. The worker should secure enough information about the
institution to adequately prepare the child and his parents for the
experience. Once contact has been made to the facility, contact
should be made to the Interstate Compact Office with SDHR for
direction on referral to placement. (Refer to Interstate/Intercountry
Services to Children Policy & Procedures, Section VI, Interstate
Placement in Group Homes and Child Care Institutions.)
The residential treatment facility will bill the County Department.
The County Department approves the invoice and forwards
invoice for payment. Children in Alabama who are eligible for SSI
are also eligible for Alabama Medicaid coverage. When a foster
child is placed in an out-of-state residential treatment facility, notify
the local Social Security representative that the County
Department retains custody and planning responsibility and
wishes to remain payee for the child’s SSI benefits which are
applied to child’s cost of care.
c. Nursing Homes
It is the goal of the Department to maintain children with exceptional
health care needs in home settings with supports being provided. There
are some children in out-of-home care with severe physical health
conditions that require skilled nursing care that can only be provided in a
nursing home. For these children, a nursing home or cerebral palsy
center will need to be located. Alabama has two pediatric nursing homes;
Father Purcell Memorial Exceptional Children’s Center and Montgomery
Specialty Center, both located in Montgomery. Other nursing homes may
accept children and the child welfare worker will need to contact nursing
home facilities within the county, followed by bordering counties and then
statewide. The State Department of Public Health’s website
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www.adph.org\fastfind\providerservices\facility has a nursing home
directory.
After the ISP team has determined that nursing home care is the most
appropriate placement for a child and there is a recommendation by a
physician that a child requires nursing home care, the child welfare
worker should begin to contact nursing homes located in the county.
Because few nursing homes accept children, it may be necessary to
locate a nursing home in border county. The requirements for placing
within close proximity of a child’s family should be followed. When this is
not feasible, it should be documented.
After the ISP team has determined that nursing home care is necessary
and a resource has been located, there are two areas that will need to be
explored, medical level of care and Medicaid payment for nursing
home/institutionalized care.
(1) Medical Level of Care
Alabama Medicaid has delegated the process of determining the
medical level of care an individual requires to registered nurses
located in each nursing home facility. A professional nurse
evaluates the medical need of a child based on ten
criteria/services and whether the child requires on regular bases
two of the ten specific services. These criteria/services are
• Administration of a potent and dangerous injectable
medication and intravenous medication and
solutions on a daily bases or administration of
routine oral medications, eye drops, or ointment.
• Restorative nursing procedures (such as gait
training and bowel and bladder training) in the case
of residents who are determined to have restorative
potential and can benefit from the training on a
daily basis per physician’s orders.
• Nasopharyngeal aspiration required for the
maintenance of a clear airway.
• Maintenance of tracheotomy, gastrostomy,
colostomy, ileostomy, and other tubes indwelling in
body cavities as an adjunct to active treatment for
rehabilitation of disease for which the stoma was
created.
• Administration of tube feedings by naso-gastric
tube.
• Care of extensive decubitus ulcers or other
widespread skin disorders.
• Observation of unstable medical conditions*
required on a regular and continuing basis that can
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only be provided by or under the direction of a
registered nurse (need supporting documentation).
• Use of oxygen on a regular or continuing basis.
• Application of dressing involving prescription
medications and aseptic techniques and/or
changing of dressing in noninfected, postoperative
or chronic conditions per physician’s orders.
• Comatose resident receiving routine medical
treatment.
*To meet the criteria of “unstable medical condition” Alabama
Medicaid applies the Medicare definition of “chronic stable state.”
In general a person is considered to have a chronic condition
when it has persisted for over six months and there have been no
significant changes in the past 30-60 days.
The Omnibus Budget Reconciliation Act of 1996 (OBRA) required
Medicaid to do a mental health pre-admission evaluation that can
effect Medicaid reimbursement. As a result of the OBRA
requirements, Alabama Medicaid requires a Level I pre-admission
screening. This is coordinated by the social service area of the
nursing home and is performed by the Alabama Department of
Mental Health. Results of the Level I Pre-Admission Screening
will determine whether a Level II evaluation is needed. In
addition, a screening prior to admission is required to assure that
the child is free from communicable disease. This is coordinated
by the nursing home as part of the admission process.
(2) Payment of Nursing Home Care
It is expected that most children in the Department’s care who
require and meet the criteria for nursing home care will already be
receiving Supplemental Security Income (SSI) and have Medicaid
through the SSI. If a child is receiving SSI, the Social Security
Administration must be contacted to request that the Medicaid be
changed to “nursing home/institutionalized Medicaid. The SSI
monthly benefits will be decreased to $30.00. The nursing home
will generally require the $30.00 per month to pay for incidentals
such as laundry not covered by Medicaid.
If a child is not receiving SSI, the child welfare worker should
apply for SSI. The child welfare worker should contact the local
Social Security Administration (SSA) and set an appointment for
the SSA to call back and take the application by phone. The
representative payee application can also be taken at that time.
If a child has Medicaid under any category other than SSI or does
not have Medicaid, it is necessary for the child welfare worker to
apply for Nursing Home/Institutionalized Medicaid at the District
Medicaid office serving the county of the nursing home.
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Application can be obtained at the website for Alabama Medicaid,
www.medicaid.alabama.gov. Click on apply for Medicaid, Elderly
and Disabled Programs/Nursing Home Care to obtain the
Application/Redetermination for Elderly and Disabled Programs.
The application can be printed, completed and mailed to the
appropriate District Medicaid Office. A physician’s referral will
need to accompany the application certifying the need for nursing
home care.
Income limitation for Nursing Home/Institutionalized Medicaid is
300% of the SSI income level. The resource limit is $2000.
d. Cerebral Palsy Centers and Residential Treatment Facilities
Application for SSI benefits should be made for children in cerebral palsy
treatment centers and residential care facilities serving physically and
mentally disabled, emotionally disturbed children in the same manner as
for other children in foster care. These children may be eligible for SSI
benefits if SSA is able to determine the level of care received and/or they
meet other criteria for eligibility.
Alabama has one cerebral palsy center, Mulherin Custodial Home in
Mobile. The total amount of available income, including SSI, received for
a child in a cerebral palsy center or residential treatment facility should be
applied to the monthly cost-of-care bills received from the facility. In
addition to Mulherin Custodial Home, the county should locate a local
resource to serve the cerebral palsy child.
e. Inpatient Psychiatric Services
This policy provides DHR staff with procedures to follow when assessing
a child’s need for inpatient psychiatric services (diagnosis, evaluation,
and treatment), and when appropriate, the subsequent admission to and
discharge from the hospital setting. The individualized service planning
(ISP) process shall be utilized in conjunction with these procedures when
assessing need and planning the delivery of services to children for whom
the Department has custody or planning responsibility.
NOTE: Diagnostic and evaluative services provided at Alabama DMH
Adolescent Unit at UAB Hospital require the concurrence of, and
commitment to, the State Department of Mental Health prior to admission.
This policy is not intended to provide guidance in these situations even
though the assessment process noted in II, A. should be similar. Contact
SDHR Office of Foster Care for guidance when these services are being
considered.
The “system of care” shall not initiate or consent to the placement of a
child in an institution or other facility operated by DMH or by DYS unless
the placement is the least restrictive, most normalized placement
appropriate to the strengths and needs of the child.
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The “system of care” shall forbid summary discharges from placements.
DHR shall promulgate a policy acceptable to both parties that describes
steps that must be taken prior to a child’s discharge from a placement.
The policy may permit in exceptional circumstances the placement of a
child in a temporary, emergency setting without prior notice to DHR.
i. Referral and Admission
The ISP process is utilized to identify strengths and needs of
children and their families, identify steps and services to address
the needs, and determine the least restrictive environment in
which the children’s needs can be met. The ISP team shall be
fully involved when assessing the need for, and appropriateness
of, inpatient services even though the child welfare worker,
supervisor, and / or program supervisor have primary
responsibility for completing the referral and admission process.
The referral and admission process includes:
• assessing a child’s need for inpatient services;
• confirming the need with a qualified professional;
and
• obtaining SDHR consultation and approval for
service delivery.
ii. Assessing The Need For Inpatient Services
Inpatient services shall only be considered when a child cannot be
safely evaluated and/or treated on an outpatient basis or in a less
restrictive setting. When supportive services will enable a child to
be served on an outpatient basis or in a less restrictive setting,
and the provision of these services shall always be considered
prior to inpatient referral. An example could be authorizing basic
living skills for behavioral aides to assist children to manage their
behaviors.
ISP team members shall assess information gathered from the
following areas when considering the need for inpatient services:
(1) Behavioral Indicators
A description of the current behaviors exhibited by the child
shall be obtained with attention given to the following:
• Child is a danger to self or others
Describe any threats, attempts or specific
plans the child has made to inflict harm on
self or others, and if there are any lethal
means at the child’s disposal to inflict such
harm. Any prior history of harm to self or
others needs to be included.
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• Child displays out of control behavior(s)
List the behavior(s) that cannot be
controlled (e.g., fire setting, violent temper
tantrums, sexual acting out) and describe
them specifically. Include information about
the frequency, duration, level of intensity,
and possible events precipitating the
behavior(s).
• Child takes prescription medication to
control behavior(s)
List any medication(s) prescribed to control
the child’s behavior or affect including
dosage, how administered, benefits, and
any side effects on the child. Determine if
there is a responsible parent/caregiver
administering the medication, and if there is
an indication of any use of non-prescription
or illegal drugs. If the child appears to need
a medication evaluation, determine if the
evaluation can be accessed on an
outpatient basis with or without the benefit
of supportive services.
• Child experiences delusions or
hallucinations
If the child describes visual, tactile or
auditory hallucinations or is frightened by
fantasies, the situation is considered urgent.
An outpatient evaluation by a qualified
professional should be arranged
immediately since it is sometimes difficult to
differentiate between children’s fantasies
and true hallucinations.
(2) Prior Services and Treatment Interventions
The following information shall be obtained on prior
inpatient and outpatient services when assessing the
current need for inpatient services:
• hospital, facility, or service provider’s name;
• treating physician or service provider’s
qualification (e.g., psychiatrist,
psychologist);
• referral reason;
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• service(s) provided including length,
frequency, and outcome;
• medication(s) prescribed;
• recommendations upon hospital discharge
or termination of service(s); and
• the extent to which the recommendations
have been followed, modified, or
strengthened to address the child’s current
needs.
iii. Confirming The Need For Inpatient Services
Once the ISP team has determined that the child is unable to be
served in a less restrictive setting and that inpatient services
appear to be needed, that need must be confirmed by a qualified
professional (refer to definition in glossary) prior to contact with
SDHR for placement approval. The qualified professional shall
not be on staff at the hospital setting where inpatient services will
be sought. A Medicaid form entitled “Certification of Need for
Services” should be completed. This is a Medicaid form and may
be downloaded from the Medicaid web site:
www.medicaid.state.al.us.
The qualified professional shall personally assess the child, and
as appropriate, the family members and other caregivers. The
professional shall provide information regarding:
• specific needs related to exhibited behaviors;
• risk of harm to self or others;
• diagnosis;
• clear evidence that the child’s needs cannot be met
on an outpatient basis or in a less restrictive setting
with supportive services being provided; and
• determination that services require an inpatient
setting and the anticipated length of the hospital
stay.
Confirmation by the qualified professional may be provided in an
ISP meeting, a case staffing with the professional and other
appropriate child and family planning team members in
attendance or it may be provided to the child and family planning
team in writing. The child welfare worker is responsible for
informing the qualified professional of the available service
array and the Department’s responsibility to develop needed
services. The worker shall also explore with the qualified
professional whether a less restrictive environment exists in
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which the child’s needs may be met. When ISP meetings are
held and the qualified professional is unable to attend, the
professional’s input must be included and may be provided by
conference call or through a written report of the findings.
When a child is receiving outpatient services or services in a less
restrictive setting, continuity of care is an important factor for
achieving desired outcomes. If a service provider recommends
inpatient services and the ISP team is not in agreement, a second
opinion may be sought. If deemed necessary, the second opinion
shall be provided by a qualified professional not on staff at the
hospital where services will be sought. The worker is responsible
for contacting that professional to obtain confirmation that
inpatient services are necessary.
iv. SDHR Consultation And Approval
Inpatient psychiatric services require SDHR approval prior to the
child’s admission. The SDHR consultant having responsibility for
providing consultation and approval for child welfare services shall
be contacted during the assessment process to assist the ISP
team in determining both the need for, and appropriateness of,
inpatient services, and shall be contacted once the qualified
professional has confirmed the need for inpatient services.
The DHR-FSD-1829, Referral and Approval for Inpatient
Psychiatric Services, and the following procedure shall be utilized
for obtaining approval from the SDHR consultant.
Section I of the DHR-FSD-1829 is to be completed by the child’s
worker and signed by the appropriate supervisor. In addition, a
certificate of need for service form must also be completed. This
is a Medicaid form and may be downloaded from the Alabama
Medicaid Agency website: www.medicaid.state.al.us.
The supervisor will contact the SDHR Office of Child Welfare
Intake to provide notification that inpatient services appear to be
needed and that a qualified professional has confirmed that need.
Copies of the completed 1829, current ISP and/or social
summary, and the qualified professional’s assessment findings
are then faxed to the consultant for review. The consultant and
county staff will discuss the information gathered during the
assessment and confirmation phases. Although verbal approval
may be granted for a maximum of fourteen (14) days when
inpatient services are deemed appropriate, crisis stabilization may
occur more quickly (e.g., during a 24 to 48 hour or one (1) week
hospital stay), and appropriate discharge planning shall facilitate
the child’s move to a less restrictive setting upon stabilization.
Once placement approval has been received, county staff will
locate a hospital where the child can receive and be admitted for
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the needed inpatient services. Initial efforts must be made with
hospitals which accept Medicaid.
When a hospital is located and placement arranged, county staff
shall notify the SDHR consultant of the hospital name and
admission date.
The consultant will send the county written confirmation of the
approval (see sample letter in form section).
The county supervisor will complete Section II of the 1829, and
within three (3) days of the child’s admission, mail the second
copy to the consultant.
Exception – Children frequently provide verbal and/or non-verbal
cues which indicate increased behavioral/emotional needs. When
these needs are appropriately addressed on a timely basis, the
frequency of situations reaching a crisis level and requiring after
hours or weekend hospitalizations can be decreased.
County management staff shall monitor the number of after-hours
and weekend hospitalizations which occur and shall assess the
precipitating factors to determine if children’s needs are being
appropriately addressed.
When it is necessary to hospitalize a child for inpatient psychiatric
services on the weekend or after office hours, the supervisor must
notify the SDHR consultant of the child’s hospitalization on the
next working day. DHR-FSD-1829 will be completed per
instructions.
v. Extensions
When inpatient services are needed beyond 14 days, extensions
are considered on a case-by-case basis. Information required for
extensions includes:
• child’s current status;
• a description of the progress made during
hospitalization;
• barriers which are impeding progress toward
discharge;
• supportive services offered and delivered to
address the barriers;
• a description of efforts made to develop supportive
services which will facilitate the child’s safe
placement in a less restrictive setting; and
• documentation supporting the need for an
extension (i.e., treating physician or therapist’s
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• statement), estimated length of the extension, and
if a second (2nd) opinion is considered necessary.
It is the county supervisor’s responsibility to telephone the SDHR
consultant granting prior approval, provide the necessary
information to request an extension, and document the approval in
Section III of the 1829.
vi. Discharge
Discharge planning shall begin immediately upon a child’s
admission to the hospital and continue throughout inpatient
service delivery. The ISP team shall partner with hospital staff
responsible for the planning and delivery of services and make
every effort to hold an ISP meeting at the time of the child’s
admission in order to be involved in the development of the
hospital’s treatment plan.
The child’s family, out-of-home caregiver (if applicable), the child
welfare worker, and other appropriate ISP team members shall
participate in hospital staffings and partner to:
• advocate for and monitor service delivery to
determine that the child is receiving the needed
services;
• know of all medication(s) prescribed and
administered, their benefits, and any side effects
upon the child;
• be involved in planning for the child’s step down to
a less restrictive environment;
• secure copies of the medical records and discharge
summary to facilitate; and
• coordination of aftercare services.
The ISP team must consider the type and extent of services being
delivered, the child’s progress (or lack thereof), and the qualified
professional’s recommendations for stepping the child down to a
less restrictive environment where needs can be met. The ISP
shall address the inpatient services provided to meet the child’s
needs, identify the most appropriate and least restrictive
placement setting to meet those needs, and the steps to be taken
by the ISP team members prior to and at the time of the child’s
discharge.
Section IV of the DHR-FSD-1829 is completed and submitted with
a copy of the discharge summary to the SDHR consultant no later
than three (3) working days after a child’s discharge from the
hospital. If the discharge summary is not available within this time
frame, it must be submitted to the consultant upon receipt.
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Effective July 10, 2014
vii. Case Record And FACTS Documentation for Children in
Psychiatric Hospitals
All information gathered to support the need for hospitalization
must be maintained in the case record. The ISP shall document
the need for inpatient services and the subsequent placement,
and DHR-FSD-1829 is used to document referral and admission
information related to a child’s hospitalization for inpatient
services.
FACTS must be kept current by entering Placement of Psychiatric
Hospital. Document placement service type
(Placement/psychiatric Hospital-CW.) QA reports and samples for
QA reviews are drawn from FACTS data so it is essential this data
be kept current and accurate. For example, when board
payments continue to a foster home because the plan is for a child
to return to the home after release from an inpatient psychiatric
placement, the worker must update FACTS to reflect admission to
and discharge from the hospital.
An accurate control system of all children placed in hospitals for
psychiatric services must be maintained locally. This system must
include, at a minimum, the child’s name, the hospital name,
admission date, discharge date, and the placement type into
which the child was discharged. A sample psychiatric
hospitalization log utilizing an Excel spreadsheet is located in the
forms section of this policy.
County departments receive a copy of two (2) reports, FC085 and
FC055 available on Business Object Enterprises (BOE). FC085
reports a count of children by placement type, including the
number in psychiatric hospitals, and FC055 identifies the children.
These reports can be utilized to supplement or confirm the data
maintained in the psychiatric hospitalization log.
Counties have the option of using the 1829 to provide information
to the individual designated to maintain the county’s psychiatric
hospitalization log.
E. Placement/Registration of Adjudicated Juvenile Sexual Offenders In DHR
Custody
The Alabama Sex Offender Registration and Community Notification Act, Alabama Act
No. 2011-640, became effective July 1, 2011. It repeals and replaces Code of Alabama
1975 (§ 15-20-1 through 15-20-38). Many of the changes in the new law directly affect
DHR child welfare programs (e.g. Foster Care, Adoption, etc.).
Act No.2011-640 is applicable to juvenile sexual offenders. A juvenile sex offender is
defined in § 15-20-21 (7) as an individual adjudicated delinquent of a criminal sex
offense.
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Effective July 10, 2014
A juvenile sex offender age fourteen (14) or older (but has not yet reached the age of
eighteen) at the time of the sex offense, and is adjudicated delinquent on or after July 1,
2011 for any of the sex offenses listed below (see 1-7), is subject to registration for life.
If adjudicated delinquent prior to July 1, 2011 for any of the sex offenses listed below,
the juvenile sex offender shall be subject to registration for ten (10) years from the date
of last release. Failure to provide registration information is a Class C Felony. The sex
offenses subject to registration are as follows:
1. rape in the first degree (§ 13A-6-61);
2. sodomy in the first degree (§ 13A-6-63);
3. sexual abuse in the first degree (§ 13A-6-66);
4. sexual torture (§ 13A-6-65.1);
5. any offense committed in any other jurisdiction which, if it had been
committed in this state under the current provisions of law, would
constitute an offense listed in subdivisions (1) to (4) above;
6. any offense committed in this state or any other jurisdiction, compatible
to or more severe than aggravated sexual abuse as described in 18
U.S.C. § 2241 (a) or (b); and
7. any attempt or conspiracy to commit any one of the offenses listed in
subdivisions (1) to (6) above.
8. As custodian of adjudicated juvenile sexual offenders in foster care, DHR is
subject to requirements that govern registration and residence/employment of
adjudicated juvenile sexual offenders set forth in Act No. 2011-640. These requirements
are applicable to any adjudicated juvenile sexual offender in DHR custody.
1. Residence/Employment
An adjudicated juvenile sex offender is prohibited from:
• establishing a residence or establishing other living accommodations,
or applying for, accepting or maintaining employment (vocation or
volunteer) within 2,000 feet of a school, or child care facility. A child
care facility includes both DHR licensed and approved facilities
including foster parents as well as statutory exempt facilities like
church day care programs;
• applying for, accepting or maintaining employment/vocation/volunteer
within 500 feet of a playground/park/athletic field/facility/business
where principal purpose is to care/educate/entertain children; and
• during the time that the offender is subject to registration, the juvenile
sex offender shall not apply for, accept or maintain
employment/vocation/volunteer for any employment or vocation at
any school/child care facility or other businesses that provide care or
services to children. A child care facility includes both DHR licensed
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and approved facilities (including foster parents) and statutory exempt
programs such as a church daycare facility.
Note: An adjudicated juvenile sex offender is prohibited from changing
his/her name unless it is due to a change in marital status/religion.
2. Registration
Failure to provide registration information is a Class C Felony. Child welfare staff
has the following responsibilities when an adjudicated juvenile sex offender in
DHR custody enters foster care:
• must register the adjudicated juvenile sexual offender with law
enforcement immediately in each county in which the juvenile sex
offender resides or intends to reside.
• must notify law enforcement “immediately” if the residence, including
moves between foster homes, or custody of an adjudicated juvenile sex
offender in DHR legal custody changes. “Immediately” means within
three (3)” business days. It is a class C Felony for a
parent/custodian/guardian to fail to report changes of address to law
enforcement.
• must appear with an adjudicated juvenile sexual offender in DHR custody,
required to register for life, to verify all required registration information
during the birth month of the juvenile sex offender and every three (3)
months thereafter with the local law enforcement in each county of
residence unless the juvenile sex offender has been relieved from
registration requirements.
• must appear with an adjudicated juvenile sex offender in DHR custody,
required to register for ten (10) years, to verify all required information
during the birth month of the juvenile sex offender and every year
thereafter with local law enforcement in each county of residence unless
the juvenile sex offender has been relieved from registration
requirements.
DHR shall be relieved of registration of adjudicated juvenile sexual offenders in the
department’s custody when:
• upon a change in custody of the adjudicated juvenile sexual offender
from the Department to a different parent/custodian/guardian (resulting in
a change of residence). Child welfare staff shall immediately notify law
enforcement of the custody change in each county of residence. The
parent/custodian/guardian who assumes custody shall at that point be
responsible for updating law enforcement when any required registration
information changes; and
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• the adjudicated juvenile sexual offender in DHR custody reaches the age
of majority and thereby becomes responsible for registration
requirements. The age of majority is designated as 19 years [Code of
Alabama 1975 § 26-1-1 (a)].
Note: Child welfare staff shall contact SDHR Legal for an opinion on
DHR responsibility, if any, for registration of an adjudicated juvenile
sexual offender in DHR custody beyond the age of majority (e.g., foster
child over the age of nineteen but under the age of 21).
No existing state laws, shall preclude DHR staff from disclosing any information
requested by a responsible agency, a law enforcement officer, a criminal justice agency,
the Office of Attorney General, or a prosecuting attorney for purposes of administering,
implementing, or enforcing Act No. 2011 -640.

https://dhr.alabama.gov/wp-content/uploads/2021/05/OHC-03-Permanency-Concurrent-Planning.pdf

Permanency & Concurrent Planning
Effective November 1, 2007
Revised March 1, 2009
Revised August 1, 2010
Revised October 1, 2010
Revised October 3, 2011
Revised December 1, 2011
Revised May 03, 2013
Revised January 21, 2015
Revised September 28, 2015
Revised June 27, 2016
Revised March 16, 2017
Revised January 31, 2018
Revised April 02, 2018
Revised August 5, 2019
Permanency & Concurrent Planning
Out of Home Policies and Procedures
Revision No. 42
Effective August 5, 2019
i
TABLE OF CONTENTS
III. PERMANENCY/CONCURRENT PLANNING
A. Permanency for Children Defined 1
B. Concurrent Planning for Children Defined 2
C. Juvenile Courts and Permanency Planning 2
1. Court Orders 2
2. Court Reports 2
3. Permanency Hearings 3
4. Judicial Review 4
5. Administrative Review 5
D. Reasonable Efforts 6
1. Requirements to Make Reasonable Efforts 7
2. When Reasonable Efforts Are Not Required 7
a. Involuntary Termination of Parental Rights of a Sibling 7
b. Parents Involvement in Criminal Activity 8
c. Aggravated Circumstances 8
E. Termination of Parental Rights in Out-of-Home Care 11
1. Case Situations Requiring Termination of Parental Rights 11
2. Exceptions to Termination of Parental Rights Requirements 11
a. Relative Placement 11
b. Services Not Provided 12
c. Compelling Reasons 12
F. Permanency/Concurrent Goals 13
1. Return to Parent 14
2. Permanent Relative Placement with Transfer of Custody
To The Relative 14
3. Permanent Relative Placement with DHR
Retaining Custody 15
4. Adoption by Current Foster Parent 16
5. Adoption with No Identified Resource 17
6. Kinship Guardianship 18
7. Another Planned Permanent Living Arrangement, Court Approved 18
8. Adult Custodial Care 20
G. Relative Resources 20
Permanency & Concurrent Planning
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Revision No. 26
Effective July 01, 2016
ii
H. Kinship Guardianship Program Requirements 22
1. Purposes of Kinship Guardianship 22
2. Legal Bases 23
3. Children Eligible to Receive Kinship Guardianship Subsidy Payments 23
4. Individualized Service Plan Requirements for Kinship Guardianship 25
5. Requirements for a Relative to Become a Kinship Guardian 25
6. Rights and Limitations of a Kinship Guardian 26
7. Requirements for a Juvenile Court to Appoint a Kinship Guardian 27
8. Kinship Guardianship Agreements 28
9. Successor Guardianship 29
10. Siblings of Children Eligible for Kinship Guardianship Subsidy 33
11. Medicaid and Kinship Guardianship 33
12. Payment of Kinship Guardianship Subsidies 33
13. Non-Recurring Expenses for Kinship Guardianship 34
14. Continuation of Kinship Guardianship Subsidy Payments 35
15. Termination of Kinship Guardianship Subsidy Payments 35
16. Re-evaluation of Kinship Guardianship 36
17. Revocation of Kinship Guardianship 36
I. Federal Parent Locator Service (FPLS) 36
J. The Individualized Service Planning Process for Out-of-home Care 37
1. Assessment 38
2. Individualized Service Plans 39
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Out of Home Policies and Procedures
Effective November 1, 2007
1
III. PERMANENCY/CONCURRENT PLANNING
A child in out-of-home care must have permanency and concurrent planning goals identified by
the Individualized Service Plan (ISP) team members and the juvenile court. The criteria are
outlined in the permanency and concurrent planning sections.
A. Permanency for Children Defined
Safe and permanent homes are the desired outcomes for children in our child welfare
system, and whenever possible, permanency should be achieved through children living
in their own homes. There are times when children’s safety and well-being require out-of-
home placement, and for some of these children, a permanent return home is not feasible.
Some families, despite support and services, are unable to create a safe environment for
their children and other appropriate permanent arrangements must be located and
finalized. In these situations, federal and state law, as well as best child welfare practice,
require that another legal, permanent home be found for the children.
Children need a sense of belonging and connections to a family, and there is no adequate
substitute for stable, permanent family ties. “Permanency” in child welfare refers to family
and community connections that contribute to children’s physical, social, and emotional
development, and overall well-being. Permanency can be characterized by the following:
• membership in a family that is intended to endure over a lifetime;
• continuity of the relationship between children and their family;
• continuity of the relationship between children and their community through
peer and adult relationships, and/or membership or participation in
community groups; (e.g., educational, religious, cultural, recreational); and
• a living arrangement that encourages and promotes children’s sense of
well-being.
“Permanency planning” is a case planning process for children in the child welfare system.
It includes taking systematic, prompt, purposeful, and decisive action to maintain children
in a permanent and stable living arrangement with their own family, or when that is not
possible, to secure a permanent living arrangement through placement with relatives, an
adoptive family, or another planned permanent living arrangement.
Permanency planning shall be implemented through the ISP process as described in
Individualized Service Plan Policy. Decisions impacting children’s permanency status are
made in a series of steps involving the children’s/family’s ISP team members and the
juvenile court. The team approach assures input from a diverse group of people who are
knowledgeable and concerned about the children and their family, and these individuals
must consider all possible permanency options in order to make the best plan for the
children.
This policy section provides child welfare staff with guidelines and procedures that are
designed for timely achievement of permanency when children are placed in out-of-home
care.
Permanency & Concurrent Planning
Out of Home Policies and Procedures
Effective November 1, 2007
2
B. Concurrent Planning for Children Defined
Concurrent planning is working on the most desirable permanency goal while, at the same
time, establishing and pursuing an alternate permanency goal. It is a case management
method that emphasizes candor, goal-setting, completion of selected activities within
specified time limits in work with children and families in order to facilitate a more timely
achievement of permanence and stability.
Child welfare staff are strongly encouraged to utilize concurrent planning to facilitate a
more timely achievement of permanency and stability in the event the original
permanency goal cannot be achieved. Rather than pursuing one permanency goal
exclusively until efforts are exhausted, the ISP Team should determine the “next best”
permanency goal and a timeframe for achieving that goal in the event the primary goal
cannot be achieved. Staff should actively encourage parents to assist with developing the
concurrent planning goal, and parents should be made fully aware that both goals are
being actively pursued.
Concurrent planning goals are the same as the permanency goals, and they are entered
on FACTS. When a concurrent plan is established, the plan and the date plan is
established must be entered on FACTS.
C. Juvenile Courts and Permanency Planning
1. Court Orders
Child welfare staff must abide by all court orders, including those issued in courts
other than juvenile courts. This includes orders that are in existence when children
and/or their families begin receiving child welfare services (e.g., orders resulting
from a divorce) and orders regarding the provision of additional services and/or
imposing or lifting restrictions subsequent to the development of an ISP.
Child welfare staff must contact local counsel to have a court order lifted or
modified if it substantially inhibits attainment of a child’s permanency goal.
If the court refuses to modify or lift the order, the child welfare supervisor must
notify the Family Services Director to obtain concurrence that the order meets one
or both of the criteria referenced above. If so, State Department of Human
Resources (SDHR), Legal Office will be contacted to determine what action, if any,
needs to be pursued.
2. Court Reports
Child welfare staff are required to prepare and submit court reports (unless
otherwise directed by the local juvenile court) when child welfare staff file a
dependency complaint and petition for legal custody or placement of children in
foster care (e.g., adjudicatory hearings); at six (6) month judicial reviews; and prior
to all permanency hearings. These reports must contain accurate and legally
defendable information since the judge may incorporate the court report into the
court order. Child welfare staff must prepare a thorough court report that includes
information that the hearing and court order are required to address. The report
must contain detailed documentation that supports child welfare’s reasonable
efforts requirements. This includes, at a minimum, the following information:
Permanency & Concurrent Planning
Out of Home Policies and Procedures
Effective November 1, 2007
3
A summary of the reason for child welfare involvement [i.e., how, why, and when
the child(ren) and family became involved with the Department of Human
Resources (DHR)];
• The family conditions and circumstances which must be addressed
for the child(ren) to have a safe, stable, and permanent living
situation;
• The child(ren)’s permanency goal and the concurrent planning goal
in the event the primary goal cannot be achieved;
• The child(ren)’s current out-of-home placement and any placement
changes that have occurred since the last permanency hearing;
• The parents’ and children’s current status related to their progress,
or lack thereof, towards addressing the needs identified in the ISP
and achieving the permanency goal;
• The array of services and other steps that have been provided to
address the identified needs and achieve the established
permanency and concurrent planning goals; and
• Child welfare’s recommendation regarding future steps including
any significant needs that remain to be addressed and the
timeframe for addressing those needs.
Having court reports in an automated folder can assist workers to quickly make
needed changes in court reports. Court reports may be saved in an automated
folder by case name and date. They can be copied and renamed for updating.
Automated files should be transferred if cases are transferred.
Note: Psychological evaluations and treatment progress notes for children and
their family members must not be attached to court reports as supporting
documentation. Health Insurance Portability Accountability Act (HIPAA) prohibits
sharing such reports. If this is an issue for your local juvenile court, a child welfare
supervisor must contact SDHR Legal Office for guidance.
3. Permanency Hearings
Permanency hearings are held to determine whether child welfare staff has made
reasonable efforts to achieve a child’s permanency goal and reasonable efforts
must be addressed in the court order resulting from the hearing. Permanency
hearings determine when a child can and will be:
• returned to and safely maintained at home; or
• placed with a relative and referred for a transfer of legal custody; or
• placed with a relative with DHR retaining custody; or
• placed for adoption with foster parents or unidentified resource; or
• placed in another planned permanent living arrangement; or
• placed in a kinship guardianship arrangement; or
• placed for adult custodial care.
Permanency & Concurrent Planning
Out of Home Policies and Procedures
Effective November 1, 2007
4
To qualify as a permanency hearing, the hearing must be open to the age-
appropriate child, the child’s parents, legal custodians, relative caregivers, legal
guardians, the child’s foster parents, and any pre-adoptive parents. Alabama law
does not currently provide for a permanency hearing to be conducted by an
administrative body; therefore a permanency hearing must be conducted by a
juvenile court. If juvenile court referees conduct permanency hearings, their
recommendations must be ratified (i.e., signed) by the original signature of the
juvenile court judge [Code of Alabama 1975, § 12-15-106(g)].
Foster parents, pre-adoptive parents, and relatives providing care for children must
be provided written notification of juvenile court hearings (Code of Alabama 1975,
§ 12-15-307). County child welfare staff is responsible for providing this
notification or ensuring that it is provided by the juvenile court staff. Additionally,
foster parents, pre-adoptive parents or relatives providing care for a child have a
right to be heard in any proceeding to be held with respect to the child during the
time the child is in the care of the specific caregiver. Notice of right to be heard
does not make the caregiver a party to the proceeding.
In all cases where reasonable efforts are required, the initial permanency hearing
must be held within twelve (12) months from the date a child is considered to have
entered care. In cases where the juvenile court has determined that reasonable
efforts are not required to be made, the initial permanency hearing must be held
within thirty (30) days of that determination. [Social Security Act §471(a)(15)(E)(i);
§475 (5)(C); 42 U. S. C. 675; Code of Alabama 1975 §12-15-312(e), 12-15-315]
Subsequent permanency hearings must be held no less frequently than every
twelve (12) months thereafter to assure that established timeframes for achieving
permanency are being met. Permanency hearings are also required for children in
DHR custody who reside in the home with their parents. [Social Security Act §475
(5)(C); 42 U. S. C. 675; Code of Alabama 1975 §12-15-315]
4. Judicial Reviews
Judicial reviews are completed at six-month intervals between permanency
hearings and may fall at the same interval as the six-month ISP. Judicial reviews
entail the county department submitting a court report that will assist the juvenile
court in determining:
• The continuing necessity for and appropriateness of the child’s
placement;
• The extent to which all parties have complied with the ISP and
achieved the goals described in the plan;
• Progress made toward alleviating or mitigating the circumstances
necessitating placement;
• A target date for achieving a permanent plan for the child.
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5. Administrative Reviews
Some counties will not have a judicial review process through the juvenile court
described above. If the county department does not have a judicial review
process, an administrative review process must be set up that incorporates review
of the child’s ISP at six-month intervals between permanency hearings. An ISP
meeting may serve as an administrative review if it meets the following
administrative review guidelines. (Refer to Individualized Service Plans Policy,
Section II, C (7) (c) for discussion on ISPs serving as administrative reviews).
a. Composition of Review Panel
The Administrative Review Panel will differ from one case to another.
While some of the panel members may also be ISP team members, the
panel consists of others outside the ISP team and serves a different
purpose.
(1) Professional Staff – The administrative review panel should
consist of professional staff involved in the case. Those
considered appropriate are: DHR child welfare worker for
the child and parents; supervisor for the case; probation
officer of the child in the case; legal guardian; staff of the
child care facility where the child is in placement; and staff
from other agencies such as Mental Health. When
appropriate, foster parents or homemakers may be included.
To protect confidentiality of information, the County DHR
must have a written agreement with panel participants, other
than staff of the County DHR, juvenile court or group child
care facility where the child is residing. The parents should
be informed that panel participates will receive a written
report on the outcome of the review.
There must be at least one person on the panel, in addition
to the above named professional staff, who is not in the
direct line of supervision or in the delivery of services to the
child or parents. This person may be another service
supervisor in the County DHR but not the Director, Assistant
Director, program supervisor responsible for foster care
services or other persons who provide services to the child
such a mental health workers, probation officers, and foster
parents. If the County DHR has difficulty in identifying
someone to serve on the panel who is not a part of the
direct line of supervision and not involved in the delivery of
services to the child or parents, contact the Office of
Permanency for consultation.
(2) Parent and Child – The review shall be open to participation
by the parents. The child may be included in the review
hearing depending upon the child’s level of understanding.
b. Written Notice to Parents
The County DHR must notify the parents in writing of the date, time, and
location of the review at least 2 weeks prior to the review hearing. The
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notification must advise the parents that they and the child have the right to
be accompanied by a representative of their choice.
c. Format and Consent of Review
The DHR child welfare worker for the case is responsible for convening the
panel and explaining to participants the purpose of the review. The review
shall include:
(1) A determination of the continuing necessity for and
appropriateness of the child’s placement;
(2) A discussion of the extent to which all parties have complied
with the ISP and achieved the goals described in the plan;
(3) A summary of progress toward alleviating or mitigating the
circumstances necessitating placement;
(4) A target date for achieving a permanent plan for the child.
The parents should have the opportunity to state their perception of the
problems/conditions which led to the child’s removal; participate in
formulating the treatment plan by providing input regarding the child’s
needs; and establish goals for themselves.
During the administrative review, progress should be evaluated to ensure
that necessary services are being provided to the child and natural family,
and a treatment plan, including visitation, should be formulated with
accompanying time frame.
d. Reporting
After the review is completed, the DHR child welfare worker is responsible
for preparing a written report to be distributed to panel participants giving
the panel’s conclusions and recommendations. If the parents are unwilling
or unable to participate in the review proceedings, they are to be informed
that the review was held, and advised of the contents of the discussion and
the treatment plan developed. In addition, they are to be provided with a
copy of the written report and advised of the time of the next review.
D. Reasonable Efforts
Prior to placement of a child in out-of-home care, DHR child welfare staff must make
reasonable efforts to prevent or eliminate the need for the child’s removal from home.
Children’s health and safety shall be the primary concerns when reasonable efforts
determinations are made by both child welfare staff and the juvenile court. DHR child
welfare workers’ focus is on whether their efforts have been reasonable in light of the
children’s health and safety needs.
Once children have been placed in out-of-home care, child welfare staff must make
reasonable efforts for the children to return home unless a juvenile court has determined
that reasonable efforts are not required. Detailed documentation must be maintained
of reasonable efforts in each child’s/family’s case record, in all ISPs, and in all court
reports. The juvenile court must issue judicial findings related to reasonable efforts
requirements and juvenile court orders must address whether reasonable efforts were
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made. Local DHR legal counsel can assist with developing court order language that will
meet federal funding requirements.
1. Requirements To Make Reasonable Efforts
DHR child welfare staff must make reasonable efforts to achieve a child’s
permanency goal by:
• preserving families while maintaining the children’s health and
safety, and preventing or eliminating the need to remove children
from their home;
• providing for the safe and proper care of children in out-of-home
placements;
• reunifying children with their family through the provision of services
that will facilitate the children’s safe return home;
• placing children in a permanent home or living arrangement when
they cannot be safely reunified with their family in a timely manner.
Department child welfare staff is responsible for providing children and families
with “time limited family reunification services” that include a comprehensive array
of services that assure reasonable efforts have been made to achieve the child’s
permanency goal within specified timeframes. There are two permanency goals,
reunification and adoption, that have federally established timeframes for
achieving the permanency goal.
• If the permanency goal for the child is reunification, the timeframe
is, in most situations, within 12 months from the date the child is
considered to have entered care and consistent with the initial
permanency hearing. There are recognized situations when
reunification cannot occur within 12 months but it is not appropriate
to abandon it as a permanency plan at the permanency hearing. It
is acceptable to extend reunification efforts past the permanency
hearing (past 12 months) if the parent(s) has been diligently
working toward reunification and the county department and the
court expect that reunification can occur within a time frame that is
consistent with the child’s developmental needs. [Refer to Section
E (2)(c) for a discussion of “substantial progress” related to possibly
continuing time limited reunification services.] Reunification
services can only be extended during the 15 month period that
begins on the date that the child is considered to have entered
foster care. [Federal Register: January 25, 2000(Volume 65,
Number 16); Social Security Act §431(a)(7);and 42 U. S. C. 629a]
• If the permanency goal is adoption, either by the current foster
parent or a resource not yet identified, the federally established time
frame is twenty-four (24) months from the date the child is
considered to have entered care.
At each federal Child and Family Services Review the length of time to achieve the
permanency plan of these two timeframes (12 months for reunification and 24
months for adoption) is reviewed for compliance. Non-compliance in either of
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these two timeframes may result in penalties. The ISP team determines the
timeframe for achieving all other permanency goals.
2. When Reasonable Efforts Are Not Required
When child welfare staff and the ISP team obtain information that falls into one of
the situations where reasonable efforts are not required and the assessment
indicates the children cannot safely remain at home or be safely returned home,
the information shall be presented to the juvenile court for a judicial determination
that reasonable efforts are not required. The juvenile court may excuse child
welfare staff from making reasonable efforts to preserve or reunify families when
the team determined that a child cannot safely remain at home or be safely
returned home based on evidence that any of the situations described below exist.
a. Involuntary Termination Of Parental Rights of a Sibling
Reasonable efforts to preserve or reunify families are not required by child
welfare staff when a juvenile court determines that a child’s sibling has had
parental rights involuntarily terminated.
b. Parents Involvement In Criminal Activity
Reasonable efforts to preserve or reunify families are not required by
Department child welfare staff when a juvenile court determines that a
child’s parent has:
• committed murder or manslaughter of another child or
murder or manslaughter of the other parent of the child
[Code of Alabama 1975, §12–15–312 (c) (2)]; or
• been convicted of rape in the first degree, sodomy in the first
degree or incest. [Code of Alabama 1975 § 12-15-312 (3)].
• aided or abetted, attempted, conspired, or solicited to
commit murder or manslaughter of another child or of the
other parent of the child [Code of Alabama 1975, §12–15–
312 (c) (4)]; or
• committed a felony assault which resulted in the serious
bodily injury to the child or another child or to the other
parent of the child [Code of Alabama 1975, §12–15–312 (c)
(5).
The term “serious bodily injury” means bodily injury which
involves substantial risk of death; extreme physical pain;
protracted and obvious disfigurement; or protracted loss or
impairment of the function of a bodily member, organ or
mental faculty.
When any of the situations described above exists, Department child
welfare staff must file a termination of parental rights (TPR) petition or join
in a TPR petition filed by another party unless a relevant exception exists.
Refer to Exceptions to Termination of Parental Rights Requirements for
additional information.
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c. Aggravated Circumstances
Reasonable efforts to preserve or reunify families prior to placement of the
child in foster care are not required by Department child welfare staff when
a juvenile court determines that a child’s parent has subjected the child or a
sibling of the child to an “aggravated circumstance” and the risk of child
abuse or neglect is too great for the child to remain at home or to be safely
returned home. Aggravated circumstances include, but are not limited to,
aggravated stalking, abandonment, torture or chronic abuse. [Code of
Alabama §12–15–312 (c) (1)].
Aggravated circumstances are further clarified to include the following.
i. Parent allows a child to use alcohol or illegal drugs which
cause abuse, neglect or substantial risk of harm to the child;
ii. A parent’s substance misuse or abuse interferes with the
ability to keep the child safe. This could include when a
parent refuses to participate in or complete treatment, or
treatment has been unsuccessful. The case record must
contain documentation of the Department’s child welfare
staff’s efforts to involve the parent in treatment and the
parent’s response.
Written documentation from a substance abuse professional
regarding the parent’s participation in treatment (e.g.,
attendance, progress, successful completion) is required if
substance abuse will be presented to the juvenile court as
an aggravated circumstance for child welfare staff to be
excused from making reasonable efforts. When
documentation from that professional cannot be obtained
due to Health Insurance Portability and Accountability Act
(HIPAA) restrictions or other confidentiality laws, child
welfare staff shall seek a court order allowing the
professional to provide the information. County
Departments should have their local attorney contact SDHR
Legal for assistance with preparing the petition/motion.
Child welfare staff must, based on their case record
documentation and information from the substance abuse
professional, determine whether reasonable efforts should
be pursued, and if not, seek the juvenile court’s approval of
this decision. The juvenile court is ultimately responsible for
issuing the determination regarding whether child welfare
staff may be excused from making reasonable efforts.
A parent has demonstrated extreme disinterest in the child
by:
• not complying with the steps outlined in the ISP over a
period of (six) 6 months and documentation exists that
parental ability to actively participate in the ISP process
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has been assessed and confirmed, and services to
support the permanency goals of “remain with parent” or
“return to parent” have been provided; or
• repeatedly leaving the child with someone unwilling or
incapable of providing care and not returning as
promised.
iv. An infant or a child has been abandoned, as defined in the
Code of Alabama 1975, §12-15-301 (1); the infant’s/child’s
identity is unknown; and the parent is unknown or cannot be
located after a diligent search.
v. A parent has an identified emotional or mental condition,
and there is clearly no treatment that can improve or
strengthen the parent’s condition enough to allow the child
to safely remain or return home. This may be partially
indicated by prior substantial and prolonged unsuccessful
mental health treatment. Documentation from the treating
physician or a qualified mental health professional must
exist in support of this aggravated circumstance. If the
treating physician refuses or is reluctant to provide the
information due to HIPAA regulations, child welfare staff
must seek a court order that will allow the physician to
provide the information. In these situations, the HIPAA
Privacy Authorization should not be obtained from the
parent as it is questionable that the parent can fully
understand its purpose. County Departments should have
their local attorney contact SDHR Legal for assistance with
preparing the petition/motion.
vi. The parent is incarcerated and the child is deprived of a
safe, stable and permanent parent-child relationship.
Factors to consider are the child’s age; the timeframe for
incarceration; the quality and nature of the parent-child
relationship; and the realistic, potential frequency of
visitation during the incarceration. [Code of Alabama 1975
§12-15-312 (c) (1) (a) (b) (c) (d) (e) (f)].
vii. A parent has committed abusive acts against the child or a
sibling to the child, and the risk of maltreatment is too high
for the child to safely remain or be returned home. The
following factors (which are not an all-inclusive listing) may
be considered as a basis for this determination.
• the child has received a serious or life-threatening
injury or is at risk of serious harm (e.g., prior death of
a sibling; unexplained broken bones; severe failure
to thrive; infant unattended for prolonged periods of
time); or
• a parent has a diagnosed profound character
disorder which has resulted in the intentional
infliction of extreme pain on the child for that parent’s
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personal relief or self-gratification. The perverse or
compulsive nature of the act may include injuries
resulting from repeated sexual abuse, burns, hair-
pulling, or factitious disorder by proxy
(Munchausen’s Syndrome).
viii. A parent has previously abused and/or neglected the child
and/or other siblings; Department child welfare staff has
provided substantial, appropriate services to prevent or
eliminate the needs preventing the children from safely
remaining at or returning home; and the parent continues to
display the same or similar abusive and/or neglectful
behavior. The abuse and/or neglect, the identified needs,
the services provided to address the needs, and the parent’s
behaviors must be documented in the case record and
addressed in the ISP.
When aggravated circumstances exists, child welfare staff must
petition/motion the juvenile court for a ruling that reasonable efforts are not
required to be made. If this situation exists OR the juvenile court has
already issued a judicial finding that reasonable efforts are not required, the
Department must make reasonable efforts to:
• Place children permanently with a relative; or place for
adoption with the current foster parent; or place for adoption
with a resource not yet identified; or arrange for a kinship
guardianship; or place in another permanent home / living
arrangement
• Complete whatever steps are necessary to finalize the
permanent placement and achieve the permanency goal.
If the juvenile court has issued a judicial finding that reasonable
efforts are not required to be made, a permanency hearing must be
held within thirty (30) days from the date of the juvenile court’s
finding, and a TPR petition must be filed within sixty (60) days of the
juvenile court’s finding per Code of Alabama 1975, §12-15-312 (e).
Refer to section on permanency hearings for further information.
E. Termination of Parental Rights in Out-of-Home Care
1. Case Situations Requiring Termination of Parental Rights (TPR)
Federal regulations and the Code of Alabama 1975, §12-15-317(1)(a)(b)(c)(d)(e)(f)
require Department child welfare staff to file a TPR petition or join in a TPR
petition filed by another party, unless a relevant exception exists, when any of the
following situations occur:
• a child has been in foster care in the custody of the Department 12
cumulative months of the most recent 22 months and there is no
documented compelling reason; or
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• a child has been abandoned [Code of Alabama 1975, §12-15-318
(c)(1) and §12-15-319 (a)(1)]; abandonment is presumed for 4
months, but may be factually established earlier; or
• if a parent has, preceding the filing of the petition:
i. committed murder or manslaughter of another one of their
children; or
ii. aided or abetted, attempted, conspired, or solicited to
commit murder or manslaughter of one of their other
children; or
iii. committed a felony assault or abuse which resulted in
serious bodily injury to the child; one of their other children;
or the other parent of the child.
The term “serious bodily injury” means bodily injury which
involves substantial risk of death, extreme physical pain,
protracted and obvious disfigurement, or protracted loss or
impairment of the function of a bodily member, organ or
mental faculty. [Code of Alabama 1975 §12-15-319 (a) (5)
c]
iv. been convicted of rape in the first degree, sodomy in the first
degree or incest. [Code of Alabama 1975 §12-15-319(b)].
Note: Refer to Appendix for a discussion on the use of TPR as a Relevant Key
Indicator/Data threshold.
2. Exceptions to Termination of Parental Rights Filing Requirements
The purpose of TPR is to provide an avenue for a child’s permanency, and TPR
should be pursued when there is a reasonable expectation that permanency can
be achieved. Department child welfare staff must make a professional judgment
as to whether TPR is needed to achieve permanency, and that judgment must be
supported by detailed documentation. Any of the following situations may be used
as an exception to the requirements for terminating parental rights. (Code of
Alabama 1975 §12-15-317(2) a. b. and c.)
a. Relative Placement
The Department is not required to file or join in a TPR petition when
children are placed with a relative and that relative has agreed, formally or
informally, to provide a permanent home for the child. (See “G. Relative
Resources” for definition of a relative). The case record must contain
documentation supporting this exception, and the plan must be supported
by a court order.
b. Services Not Provided
The Department is not required to file or join in a TPR petition if reasonable
efforts to return a child home are required and Department child welfare
staff have not provided services deemed necessary for the child’s safe
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return home within the timeframes specified in the ISP. The ISP and case
record must establish and contain documentation of the following:
• “return to parent” as the permanency goal;
• a specific listing of the needed services which have not been
provided;
• the reasons the needed services have not been provided;
• the steps that will be taken to obtain the necessary services.
Note: Use of this exception requires detailed documentation which
identifies the steps, timeframes, and personnel to deliver the necessary
services.
c. Compelling Reasons
The Department is not required to file or join in a TPR petition if child
welfare staff have documented in the ISP (which must be available for
juvenile court review) that there is a “compelling reason” that filing or
joining in a TPR petition would not be in the child’s best interests.
There are no statutory definitions for compelling reasons. The following
situations may qualify as realistic compelling reasons not to file or join in a
TPR petition. Evidence justifying the compelling reason and that TPR is
not in the child’s best interests must be factually documented in the case
record and approved by the juvenile court. Compelling reasons include,
but are not limited to, the following.
• A child is age 14 years or older, and there is documentation
to support that adoption has been thoroughly discussed with
the child, and the child does not desire adoption and refuses
to consent;
• A child is married, separated or divorced;
• A child is a minor and is pregnant;
• A child has a relative resource identified as a permanent
home, the home evaluation is either approved or pending
completion (includes Interstate Compact for the Placement
of Children cases), and adoption has been explored, but is
not feasible;
• A child is a minor and has a diagnosis of a mental, physical
or emotional illness for which treatment is ongoing and a
physician or psychiatrist has documented that TPR would
not be in the child’s best interests;
• A child is attached to birth family, and if that attachment is
broken, it would cause irreparable damage to the child.
There must be documentation from a professional who is
working with the child that supports this compelling reason;
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• A child is institutionalized with a permanency goal of adult
custodial care;
• A child, who is a member of a sibling group, has unique
needs that can only be met in a placement apart from the
siblings, and there is attachment to those siblings that, if
broken, would be detrimental to the child; a treatment
therapist must provide documentation that supports this
compelling reason;
• A child’s permanency goal is “Another Planned Permanent
Living Arrangement, Court Approved;”
• A child and family members are making “substantial
progress” toward and appropriately established permanency
goal. When this compelling reason is being considered, a
child welfare supervisor must contact SDHR Family
Services, Office of Permanency for consultation. In most
cases, this compelling reason is directly connected to
reunification, and it may only be established during the first
12 months following the date the child is considered to have
entered care. [42 U. S. C. 629a]
Factors to consider when determining substantial progress
include:
i. Assessment of effectiveness and “fit” of current
services; have the “right” services been provided;
ii. parental understanding and acknowledgment of
the parental behavior which places the child’s
safety and health at risk;
iii. parental understanding and acknowledgment that
their behavior must change;
iv. successful completion of ISP steps to address
identified needs; and
v. stable parental performance to remove or
eliminate the needs placing the child’s safety and
health at risk.
F. Permanency/Concurrent Goals
A “permanency goal” is the desired outcome or permanent plan for a child that the ISP is
designed to achieve. Permanency goals shall, whenever possible, be selected in
partnership with age-appropriate children and their family during the ISP process. It is
agency responsibility to begin working at the very outset toward the most suitable
permanent plan for the child, involving the natural parents and relatives, the child and the
foster family or provider as appropriate. Out-of-home care is designed to be temporary,
and the alternatives of return home, relative placement, or adoption, are to be
aggressively pursued by the worker so that no child is left in foster care without a suitable
permanent plan. In cases of institutional placement, it is the Department’s responsibility to
work cooperatively with the appropriate institutional staff focusing on the needs of the
child and his family.
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Permanency is for all children, including youth age fourteen (14) years and older. Youth
(age 14 years and older) should take an active role in determining their permanency goal
and in the planning process for their future. For older children, permanency is not only
concerned with placement, but with relationships that will sustain them into and
throughout adulthood. Therefore, when establishing permanency goals for youth,
Department child welfare staff must consider how returning youth to family or placing them
with relatives, connecting them to the community through community organizations, or
placing them for adoption will provide youth with relationships and positive permanent
connections that are intended to last a lifetime.
Department child welfare staff must make every effort to achieve permanency and finalize
a child’s permanent placement within the timeframe described in each permanency goal’s
description. For all permanency goals (other than adoption), Department child welfare
staff must continue involvement with children following their placement in the intended
permanent home to ensure that they are in a safe and stable living arrangement, and that
they have a permanent home. All children shall receive “post foster care” supervision
services for a minimum of three (3) months after the date they move into their anticipated
permanent living arrangement. Post foster care supervision begins at the time the child is
physically placed in their planned permanent placement. The purpose of this supervision
is to monitor and evaluate the living situation, and to provide supports and services to
facilitate successful achievement of a permanent living arrangement. Refer to Adoption
Policies and Procedures, DHR Placements, Section IV, for post adoptive services
requirements.
Permanency goals for children in Out-of-Home Care are identified below. A description of
each permanency goal is given and a statement of when that goal is considered to be
achieved; the timeframe for achieving the goal and any special requirements associated
with the goal’s use. The permanency goals are listed according to the order in which they
are to be considered for children in out of home care. The established goal is entered in
FACTS and changed in FACTS if the goal is changed by the ISP team.
1. Return to Parent (Reunification)
When reunification is the established permanency goal, all identified needs,
services and activities to achieve the goal must be explored and services
offered to the child and family to resolve the issues that brought the child
into care. In accordance with federal regulations, reunification services are
time limited. If the permanency goal for the child is reunification, the
timeframe is, in most situations, within 12 months from the date the child is
considered to have entered care and consistent with the initial permanency
hearing. There are recognized situations when reunification cannot occur
within 12 months but it is not appropriate to abandon reunification as a
permanency plan at the permanency hearing. It is acceptable to extend
reunification efforts past the permanency hearing (past 12 months) if the
parent(s) has been diligently working toward reunification and the county
department and the court expect that reunification can occur within a time
frame that is consistent with the child’s developmental needs.
Reunification services can only be extended during the 12 month period
that begins on the date that the child is considered to have entered foster
care. [Federal Register: January 25, 2000(Volume 65, Number 16); Social
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Security Act §431(a) (7); and 42 U. S. C. 629a] When reunification is the
permanency plan, and it appears that it cannot be achieved by the time of
the 12 month permanency hearing but is realistically attainable within 15
months of the date the child is considered to have entered care, a
compelling reason to continue reunification efforts should be presented at
the permanency hearing.
All relevant information must be presented to the juvenile court during a
case review or permanency hearing to support the plan of return to parent.
Permanency is achieved when legal custody is returned to the parent.
2. Permanent Relative Placement with Transfer of Custody to the Relative
This goal is intended to be permanent and self-sustaining. It does not preclude
consideration of legalizing the placement through adoption. The custody transfer
provides the relative with the authority and responsibility to protect, educate,
provide care and control, and make decisions for the child, but it does not require
TPR. The relative must be willing to accept custody with the understanding that a
home will be provided for the child until adulthood. Written documentation of the
relative’s long-term commitment and ability to meet the child’s needs must be
provided to the juvenile court. The timeframe for achieving this permanency goal
is set by the ISP team. Permanency is achieved when legal custody is placed with
the relative.
3. Permanent Relative Placement with DHR Retaining Custody
This permanency goal includes situations where a relative is willing to care for a
child until adulthood, but DHR retains legal custody and financial responsibility for
the child. It is not DHR’s intent to hold custody of children indefinitely. Therefore,
prior to selecting this permanency goal, the permanency goals of return to parent,
permanent relative placement with transfer of custody to the relative, and adoption
must first be explored by the ISP Team and determined not to be in the child’s best
interests. Consideration must also be given to transferring legal custody to this
relative. The reasons why this relative is unable to be the child’s legal custodian
must be thoroughly documented, and the juvenile court must make a
determination that “Permanent Relative Placement With DHR Retaining Custody”
is the best plan for this child due to the long-term commitment and desire of the
relative to meet the child’s needs.
These situations will involve relatives who may or may not be approved as related
foster family homes. Regardless of the situation, all relatives must be thoroughly
screened and trained to meet the needs of the children in their home. On-going
assessment of the continued appropriateness of this permanency goal is required
through ISPs and permanency hearings for as long as DHR retains custody. The
timeframe for achieving this permanency goal is set by the ISP team. Permanency
is achieved when the juvenile court approves the permanent plan (i.e.,
permanency goal) and names the relatives as the permanent placement in a
written court order.
4. Adoption by Current Foster Parent
It is the responsibility of the Department child welfare worker to discuss with the
foster parents their interest in adoption when non-related adoption has been
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determined inappropriate. If the foster parents are a couple, both parents’
willingness and desire to adopt a specified child must be assessed. The
Department child welfare worker should involve the resource worker for the foster
parents in making a decision about a specific foster parent adoption. (A county’s
staffing pattern determines how this is handled). In order for the ISP Team to
establish this goal, there must be considerable work performed by the Department
child welfare worker to establish whether foster parent adoption is a viable
permanency plan for a specific child. Information is gathered and assessed in the
areas of a child’s attachment to the foster parents; length of time the child has
been in the foster home; age of the child in relation to the age of the foster parents;
foster parent’s health and income; involvement with and/or interference from
biological family; ability of the foster parents to meet the child’s long-term best
interests; contingency plan in the event of a foster parent’s death or debilitating
illness; and other family members’ acceptance of the adoption. Each of these
areas is discussed at length in Adoption Policies and Procedures DHR Placements
section. The information gathered by the Department child welfare worker is
presented to the ISP Team to determine if foster parent adoption is a viable plan.
It is the ISP Team’s responsibility to establish foster parent adoption as the
permanency plan.
According to federal regulations, the target date for achieving this permanency
goal should not exceed 24 months from the date the child is considered to have
entered care. Therefore, this permanency goal should be established as soon as
it is known that return to parents or relative placement is not a viable plan. Within
three months of establishing this goal, there must be forward movement to achieve
the goal. Forward movement can be actions taken by the foster parents or
caseworker to begin the finalization process of adoption. It may include actions to
approve the foster home as an adoptive home if not already dually approved;
retaining of legal advice by foster parents; or resolving of barriers to a foster parent
adoption. Permanency is achieved when the judge signs the final decree of
adoption.
NOTE: If a child’s permanency plan is changing from Foster Parent
Adoption to Adoption With No Identified Resource, the Family Services
Division Director and Children and Family Services Deputy Commissioner
must both sign the approval. The case should be staffed with the Family
Services Director before any approval or denial is made.
5. Adoption with No Identified Resource
Recruitment of potential adoptive resources must begin as soon as the
permanency goal becomes adoption. The TPR petition may be filed once there
has been a judicial finding that reasonable efforts have been made or are not
required to be made, or the ISP Team determines that it is in the child’s best
interests (e.g., aggravated circumstances exist).
According to federal regulations, the target date for achieving this permanency
goal should not exceed 24 months from the date the child is considered to have
entered care. Permanency is achieved when the judge signs the final decree of
adoption.
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6. Kinship Guardianship
Effective October 1, 2010, the permanency goal of “kinship guardianship” may be
identified by the ISP team as the most appropriate permanency plan for certain
eligible children. This permanency goal is limited to children who are eligible to
receive either IV-E foster care or non IV-E state foster care maintenance payments
and have resided in a fully approved related foster family home for at least six
consecutive months. Only after the following case by case determinations have
been made on a child, can the permanency goal of kinship guardianship be
established: (1) Being returned home or adopted are not appropriate permanency
options and not in the best interests of the child; (2) The child demonstrates a
strong attachment to the prospective kinship guardian and the kinship guardian
has a strong commitment to caring permanently for the child; and, (3) If a child has
attained the age of 14, the child must be consulted regarding the kinship
guardianship arrangement. All of the criteria must be met and must be
documented in the child’s record. Kinship guardianship is a judicially created
relationship and would therefore, be achieved at the point that kinship
guardianship is awarded by the juvenile court to the relative. The custody status of
kinship guardianship substantiates that a child is leaving out-of-home care and
entering a kinship guardianship arrangement. Prior to any kinship guardianship
payments being initiated, the child must have a “kinship guardianship” custody
status documented in FACTS. Both the permanency plan and custody status are
documented in FACTS.
Federal and state legislation provides the legal means of obtaining the
permanency goal of kinship guardianship for children in foster care. The
timeframe for achieving this goal is set by the ISP team. To implement kinship
guardianship relationships for children in the Department’s custody, separate
programmatic policy can be located in Section H of this policy.
7. Another Planned Permanent Living Arrangement, Court Approved (APPLA)
This permanency goal is restricted to use only with youth ages 16 and older and
should only be selected after all other current efforts have been exhausted. There
must be clear documentation as to the efforts made to reunify the child with the
family, place with relatives or to identify and/or recruit an adoptive resource.
Before considering APPLA for older children with TPR, planned discussions with
the child must be held, that include an explanation of adoption in words the child
can understand. The youth’s feelings about adoption and the reasons for not
wanting the agency to pursue this goal are to be clearly discussed, including the
provision of accurate information regarding any misconceptions about adoption
that may exist. The record must include detailed narrative as to these discussions
around adoption and any recruitment efforts for adoption on behalf of the youth.
For children in treatment or residential/group care, who have consistent visitation
or contact with parents or relatives, APPLA is not an appropriate permanency goal
as the permanency goal must reflect actual casework activity. If the Department
views the family as a possible future resource for a child, the permanency goal
should reflect reunification or placement with a relative, even if it appears the goal
will not be achieved within normal ASFA time frames.
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APPLA may be an appropriate plan for older youth when all other permanency
goals have been considered and ruled out by the ISP team. Child welfare staff
must examine efforts that have been made to identify and recruit a permanent
placement for the youth, including parents, relatives, current and former
caregivers, mentors/coaches, teachers, counselors, and/or employers. Involve the
youth in identifying potential resources. Department child welfare staff must follow
up on all possibilities. Department child welfare staff must also identify significant
individuals with whom connections must be established and/or maintained in order
for the youth to have a sense of belonging and support as a young adult since the
development of relationships with significant individuals and communities is crucial
to the young adult’s future stability and success. An example of such a case might
be an older youth who cannot be reunified with family or adopted, is in a stable
foster home placement and the foster family is willing to enter into an APPLA
agreement.
When APPLA is selected as the permanent plan, a Planned Permanent Living
Arrangement Agreement (DHR-FCS-807) should be completed and name the
identified permanent planned resource. There must also be documentation of a
compelling reason, and that, due to this reason, no other goal is presently
appropriate. For youth in stable foster homes, the court order should include the
name of the foster parents. The use of this as a permanent plan also requires
juvenile court review and concurrence.
County staff may negotiate a Planned Permanent Living Arrangement Agreement
(DHR-FCS-807) with residential facilities only as a last resort after all other
possibilities have been explored and when a child has extreme needs that require
long term residential care. Prior to a residential facility signing the agreement,
there must be an ISP meeting during which this plan is agreed to by the ISP team
as the permanent plan for the child and formalized in the ISP. If an agreement is
negotiated with a residential facility, it must be signed by the facility administrator
or an individual with authority to sign for the facility. The facility administrator or
person signing must be told that signing the agreement means that the facility
recognizes the child’s problems; that the child cannot be re-united with family and
there are no other resources; and that the facility will care for the child into
adulthood at which time community resources for adults may be needed.
An individual employee of a residential care facility may express an interest in
becoming an individual resource for a youth who can be cared for in an approved
foster home after leaving the residential facility. The individual must be willing to
commit to the youth after the youth leaves the residential placement and into the
youth’s adulthood. The individual must understand that the commitment is until
the youth reaches adulthood even if the individual is no longer an employee of the
facility. Since the individual is most likely unrelated to the youth, the individual
must be approved as a foster parent/home. Prior to the signing of an agreement
by the individual, the child’s ISP team must determine that all other possibilities
have been explored; must assess and determine that placement with the individual
is an appropriate plan; and determine the potential resource’s ability to commit to
the youth into adulthood.
The caseworker should clearly document discussions with the child and identified
resource family about their long-term commitment. The caseworker must also
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Effective January 21, 2015
continue to document on-going assessments and efforts to achieve a legal
commitment to another permanent plan while routinely reviewing the plan of
APPLA (e.g. through meaningful monthly visits, ISPs and permanency hearings)
for as long as DHR retains custody. Thus, the choice of APPLA signifies that the
ISP team is continuing its efforts to seek a permanent placement for a child and
therefore no timeframe is set for the achievement of this permanency goal.
8. Adult Custodial Care
This permanency goal may be used for physically or mentally disabled children for
whom it appears supervision and care will always be needed. “Adult Custodial
Care” must include transition to DHR’s Adult Services Program or another
agency’s service system. Permanency is achieved when the ISP team determines
that reunification, adoption or permanent placement with a relative (with or without
transfer of custody) is not appropriate due to the physical or mental disability of the
child, and it is documented that custodial care will be needed into adulthood. For
further guidance, refer to Section VIII (I).
G. Relative Resources
Federal and state statutes encourage preference be given to adult relatives who meet
relevant child protection standards over non-related caregivers when placing children in
foster care or for adoption. Relative is defined as “an individual who is legally related to
the child by blood, marriage, or adoption within the fourth degree of kinship, including only
a brother, sister, uncle, aunt, first cousin, grandparent, great grandparent, great aunt,
great uncle, great-great grandparent, niece, nephew, grand niece, grand nephew, or a
stepparent (Code of Alabama 1975, §12-15-301 (13)). This definition applies only to
children found to be dependent by a juvenile court. By narrowing the list of relatives
included within the fourth degree of kinship by blood, marriage or adoption, guidance is
provided to juvenile courts, Department child welfare workers, and other stakeholders in
making relative placement decisions for children. At the time of involvement with the
family, but no later than 30 days after a child’s removal from the home, child welfare staff
should exercise due diligence in seeking detailed information from the child’s parents
about both paternal and maternal adult relatives and other family members and provide
notification as described below. With passage of Public Law 113-183, relative notification
is extended to include notifying parents of the child’s siblings when the parent has legal
custody of such sibling. [42 U. S. C. §671(a) (29); Social Security Act, Section 471 (a)
(29)]. Forms have been developed and are located in the Appendix section. These
include the “Paternity Worksheet”; the “Relative Resource Identification” for both mother
and father; and the “Sample Relative Resource Letter.” Steps to be taken to obtain
detailed information about relative resources must be addressed in all ISPs until the
permanency goal is achieved.
If parents/primary caregivers are unwilling to provide information, child welfare staff may
petition the juvenile court or file a motion for an order that requires the parents to provide
information that is sufficient to seek out potential relative resources. The petition or
motion, whichever is preferred by the local juvenile court, must be filed no later than the
adjudicatory hearing (i.e., the hearing in which the child is declared dependent).
As potential relative resources are identified, child welfare staff shall contact these
individuals, using the Sample Relative Resource Letter located in iDHR Documents, to
determine their ability and willingness to serve as a permanent home. Relatives must be
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Effective October 1, 2010
Informed of the following:
• that the child has been or is being removed from the home/custody of the parent;
• that the relative has options to participate in the care and placement of the child;
• that options may be lost if the relative does not respond;
• that the relative may become a related foster family home; and
• that certain services and supports are available to a child in a foster family home.
When relatives indicate an interest in providing a permanent home for the children, a
thorough evaluation of this resource must be conducted. Department child welfare staff
must obtain, evaluate and document information in the case record on all household
members in the related home according to the following areas, at a minimum.
Identifying Information – Includes name, age, gender, Social Security number, and
marital status.
Physical Environment – Description of the home and neighborhood (e.g., proximity to
schools and stores; urban, suburban, rural) and plans for accommodating the child(ren) to
be placed.
Education And Employment – Education and employment history; stability of current
employment.
Financial Situation – Income sources; assets and obligations; money management skills;
discuss financial/ medical options and assist relatives with making a realistic decision
about their ability to provide for the children with or without outside assistance; and if
assistance is needed, the nature and extent of that assistance.
Health – Current physical and mental status, issues and/or needs. While medical
evaluations are not required, child welfare staff should inquire about each family
member’s health and document this discussion along with any concerns noted.
Physical Attributes And Personality Traits – Height, weight, and other aspects of
physical appearance. Adjustment to present life situation, including information which
reflects personality traits.
Background And Interpersonal Relationships – Current relationship with each
household member; household members’ roles; parent/child relationship if any children
currently in the home; relationship with extended family and friends; relationship with own
parents and siblings during childhood and early adult years; general reputation and
standing in community.
Interests – Religious affiliation, social and cultural identity; community activities; formal
and informal supports.
Background Checks – Clearance of Child Abuse Neglect Central Registry and a criminal
history background check.
If relatives are selected as the permanent home and child welfare staff plan to recommend
that the relatives be granted custody of the children, each adult household member (i.e.,
age 19 years and older) must consent to ABI and FBI criminal history checks. DHR has
determined that when relatives are designated as a permanent placement, they are
“acting in the capacity of a related foster home,” and thorough background checks are
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Effective July 1, 2016 22
critical to ensuring the juvenile court that this resource can serve as a safe, permanent
home.
Criminal history checks are not required at the initial placement of a child in a related
home. Criminal history checks are only required when the permanency plan becomes
permanent relative placement with transfer of custody to relative.
SDHR’s Office of Criminal History Checks (OCHC) does not issue suitability letters for
relatives because the criminal law does not encompass relatives. OCHC will issue a letter
confirming the completion of a criminal history check and any criminal activity revealed.
Child welfare staff must make a professional decision about whether the home is safe for
the children.
Note: Child welfare staff shall initiate ABI/FBI (Criminal History checks) as soon as the
permanency goal becomes “permanent relative placement with transfer of custody to the
relative” but no later than three months prior to the next permanency hearing due date.
Capacities And Relationship With Child(ren) To Be Placed – Nature and duration of
relationship; capacity to fulfill parental role and meet the child’s physical and emotional
needs; attitude towards child and that child’s parents; ability and willingness to make
decisions in the child’s best interests even when those decisions may or do conflict with
the opinions, needs, and preferences of the parents or other family members; ability and
willingness to support the child’s maintaining contact with parents, other family members,
and friends.
History And Relationship With DHR – Summary experience with DHR (e.g., number
and nature of prior contacts; number of visits and interviews during this evaluation
process); ability and willingness to cooperate with DHR and participate with the child’s
individualized service planning team.
References – Contact with at least three (3) persons who know the entire family, and no
more than one (1) should be related by blood or marriage.
H. Kinship Guardianship Program and Policy Requirements-Effective October 1, 2010
Since the early 1990’s, the Department has recognized the benefit to children to be placed
with relatives when they cannot remain in their own home. An increasing number of
relatives are providing care to children in the Department’s custody and in related foster
care. It is in the best interests of children, families, and the public to establish legal
kinship guardianship assistance to meet the needs of children who would otherwise
remain in the foster care system. [Code of Alabama (1975), § 12-15-301 (7), § 12-15-314
(f) (1)]. The Title IV-E state plan requirements apply to the kinship guardianship program
Section 471 of the Social Security Act codified at [42 U. S. C. § 671 (a).
1. The purposes of kinship guardianships include, but are not limited to, the following:
• To establish procedures to effect a legal relationship between a child, who is in the
legal custody of the Department, and a kinship guardian, provided that the child is
not living with either parent, a legal guardian or legal custodian;
• To terminate legal custody of the child held by Department;
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• To provide a child in the legal custody of the Department with a stable, consistent,
and long-term relationship with a kinship guardian that will enable the child to
develop physically, mentally, and emotionally to the maximum extent possible;
• To establish a permanent placement alternative that keeps a child from remaining
in the custody of the Department under juvenile court supervision when the child
cannot be reunited with parents, legal guardian or legal custodian and adoption is
not an alternative;
• To establish a new legal relationship which is permanent during the minority of the
child, and is not subject to modification or revocation merely for a material change
in circumstances which occurred since the kinship guardianship was granted. A
request for a change in the kinship guardianship relationship shall show that
change would materially promote the child’s best interests and welfare, and that
the positive good brought about by the change would more than offset the
inherently disruptive effect caused by uprooting the child; and
• To prevent children from remaining in the foster care system and assist relatives
whereby they can be provided financial assistance to help bear the long-term costs
of providing care and parenting a child.[Code of Alabama (1975), § 38-12-32, § 38-
12-35].’
2. Legal Bases
Congress passed the Fostering Connections to Success and Increasing Adoptions Act of
2008, Public Law 110-351, which created a new option for states to provide kinship
guardianship assistance payments to relatives who assume legal guardianship of children
for whom they have cared for as related foster parents. Public Law 110-351 established
eligibility criteria and other requirements for the Title IV-E kinship guardian assistance
program which provides federal financial participation for kinship guardianship subsidy
payments. To implement the federal legislation, the Alabama Legislature passed into law
the “Alabama Kinship Guardianship Subsidy Act” (Act No. 2010-712), effective October 1,
2010, that established kinship guardianships; established a kinship guardianship subsidy
program; and set procedures and legal authority for establishing kinship guardianships. .
On September 29, 2014, Congress enacted Public Law 113-183, Preventing Sex
Trafficking and Strengthening Families Act which among other issues, amended federal
requirements for states to operate a title IV-E kinship guardianship program. To
implement Public Law 113-183, the Alabama Legislature passed Act 2016-129,
Strengthening Families and Childhood Activities, on April 7, 2016 to be effective July 1,
2016.
3. Children Eligible to Receive Kinship Guardianship Subsidy Payments
The definition of a child in the Introduction Section of Out-of-Home Policies and
Procedures, Glossary section, applies to children considered for kinship guardianship. In
general, a child may be eligible for a kinship guardianship payment, if the child meets the
following criteria:
• Removed from his/her home pursuant to a voluntary placement agreement which
gives the
• Department the responsibility for the placement and care of the child;
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• Removed from his/her home as a result of a judicial determination that
continuation in the home would be contrary to the welfare of the child; and
• Eligible for Title IV-E foster care or non IV-E state foster care payments while
residing for at least six (6) consecutive months in the home of the prospective
kinship guardian who is also a fully approved related foster home. [Code of
Alabama (1975), § 12-15-314(f) (5) b.1.; Social Security Act §473(d) (3) (A) (i) (II);
and 45 CFR 1356.21]. The Social Security Act and Code of Federal Regulations
require that a child meet all eligibility criteria pursuant to the cited sections, while in
the home of the fully approved related foster home for at least six consecutive
months. Therefore, the months during which a child is ineligible for Title IV-E
foster care payments, due to having no permanency hearing or judicial
determination of reasonable efforts to finalize a permanency plan, cannot be
considered in determining the consecutive six month requirement. While a child is
not required to be eligible every day of a consecutive six month period, Code of
Alabama (1975), § 12-15-314 (f) (5) b.1. provides for the six month period to be
“immediately preceding” the date the written request is filed.
In addition to the general requirements, there are requirements that apply to children on a
case-by-case basis and must be determined through the ISP process. These include the
following:
• A determination that being returned home or adopted are not appropriate
permanency options and not in the best interests of a specific child; and
• A determination that the child demonstrates a strong attachment to the prospective
kinship guardian and the kinship guardian has a strong commitment to caring
permanently for the child; and
• With respect to a child who is age fourteen (14) or older, the child must be
consulted regarding the kinship guardianship plan; and if eighteen (18) years or
older the child must consent to the prospective kinship guardianship. [Code of
Alabama (1975) § 12-15-315 (a) (4)”f; and, and Social Security Act § 473,
(d)(3)(A)(iv)].
In the child’s ISP there must be a description of the steps that the Department has taken
to determine that it is not appropriate and not in the best interests of a child to be returned
home or adopted. During the judicial review or administrative review (Refer to C, (4) (5)
above) any discussion of permanency planning for the child should include the
appropriateness of reunification and adoption. In addition, the child’s ISP must describe
the reasons why placement with a fit and willing relative, through a kinship guardianship
subsidy arrangement, is in the child’s best interests. There must also be efforts to discuss
adoption with relatives and why it was not pursued. Efforts to discuss kinship
guardianship with the child’s parents or the reason why such efforts were not made should
be addressed in the ISP.
The child welfare worker must determine and document that the child demonstrates a
strong attachment to the prospective kinship guardian. The documentation should include
how the determination was made and how the child meets the requirements. The
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attachment of the child to the relative and the relative to the child should be addressed in
the judicial review or the administrative review.
If a child is age 14 or older when the permanency plan of kinship guardianship is
determined by the ISP team, both state and federal laws require that the child be
consulted. In most situations, this is a child welfare worker responsibility. Consent on the
part of the 14 to 18 year old child is not required. If the child is over age 18, consent is
required. (See the Forms Section for “Consent of Child Who Is Eighteen or Older to
Appointment of a Kinship Guardian”).
4. Individualized Service Plan (ISP) Requirements and Kinship Guardianship
Both federal and state statutes require that specific information be included in the ISP for
each child with a permanency plan of kinship guardianship. Documentation of the
information will be made in FACTS in the CFA and ISP when the permanency plan of
kinship guardianship is established. The ISP must describe the following:
1. How the child meets the eligibility requirements for the kinship guardianship
program;
2. The steps the Department has taken to determine that return to the home or
adoption is not appropriate;
3. The efforts the Department has made to discuss adoption with the child’s
relative foster parent and the documented reasons that adoption is not an
option;
4. The efforts the Department has made to discuss kinship guardianship,
inclusive of the kinship guardianship subsidy arrangements, with the child’s
parent(s), legal guardian or legal custodian or the documented reason such
efforts were not made;
5. The reason that permanent placement with a fit and willing relative caregiver
through a kinship guardianship arrangement is in the child’s best interests;
[Code of Alabama 1975, §12-15-315(e)]
5. Requirements for a Relative to Become a Kinship Guardian
Before a relative can receive Title IV-E kinship or state Kinship guardianship payments for
an eligible child certain criteria must be met. Relative is defined as “an individual who is
legally related to the child by blood, marriage, or adoption within the fourth degree of
kinship, including only a brother, sister, uncle, aunt, first cousin, grandparent, great
grandparent, great aunt, great uncle, great-great grandparent, niece, nephew, grand
niece, grand nephew, or a stepparent [Code of Alabama (1975), § 12-15-301 (13)]. By
having the same definition for relative for the kinship guardianship program and the
relative notification requirements discussed above, consistency is maintained.
The prospective kinship guardian must meet specific requirements:
• Must have a strong commitment to caring permanently for the child; and
• Must have cared for the child at least six consecutive months while the child has
been residing in the home of the approved related foster home, and while the
child has been simultaneously in the legal custody of the Department; and
• Must have entered into a kinship guardianship subsidy agreement with the
Department prior to assuming legal guardianship through the juvenile court; and
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• Must assume, t