Chapter 2 : Section 2

Pre-Commencement Activities to Prepare for Initial Response

Procedures

Pre-commencement activities prepare the DCS Specialist for conducting the Family Functioning Assessment – Investigation. The DCS Specialist:

• obtains, reviews, and analyzes available information prior to initiating contact with the family; and

• develops a plan for the initial contact, including specific information to be collected at the initial contact.

Obtain and review as much information as possible before the initial contact, considering the urgency for response. For example, a Priority 1 response time frame may limit the DCS Specialist’s ability to gather historical information prior to making contact with the family. When essential review activities cannot to be completed prior to initial contact, the DCS Specialist should complete a comprehensive record review as soon as possible, prior to conducting further investigative activities.

If the DCS Specialist discovers there is an order of protection in place, the DCS Specialist must assess both worker and victim safety concerns and obtain additional information to the extent possible regarding the alleged perpetrator’s compliance or non-compliance with prior or current orders.

Obtaining and Reviewing History

Review the Guardian database for any records involving:

• the alleged child victim;

• the child’s parents;

• other adults residing in the household of the alleged abuse or neglect; and

• alleged perpetrator(s).

The review will include the following information:

• the current allegation narrative and parties involved;

• all prior Reports and investigation summaries to identify:

  • patterns of maltreatment types, alleged victims, alleged perpetrators, and investigative outcomes;

  • patterns of escalating maltreatment (i.e. increase in frequency of reports or severity of maltreatment) over time;

    • elapsed time between alleged maltreatment incidents (i.e. reports are occurring more frequently over the past 12 months, etc.);

    • injuries to a child victim that required hospitalization or medical treatment (or trauma therapy);

    • prior Department interventions (voluntary services, safety plans, judicial involvement);

  • change in household or familial composition;

  • patterns of pervasive individual or family conditions that have been unmanaged in the past (i.e. domestic violence, parental substance abuse, and unmanaged medical or mental health condition in a household member, etc.); and

  • services the family has been offered or participated in, the outcomes of these services (types, participation, progress, and completion), how these services addressed the identified safety threats and risks, and whether the services were successful.

Determine whether additional sources of information should be contacted, such as school or medical personnel, law enforcement, relatives, and other persons with knowledge about the allegations.

Determine whether additional information should be obtained, such as law enforcement records, medical records, school records, mental health records, and other relevant records.

If information is obtained that an allegation of child abuse or neglect may have been made in another state or other jurisdiction, contact the state or other jurisdiction to obtain the outcome of any investigation of the allegation(s). If history exists, request records from the jurisdiction to incorporate into the current Family Functioning Assessment. A list of state child welfare agencies is available at Child Welfare Information Gateway. If a family has lived in another state or jurisdiction, consult with a DCS Program Supervisor to determine if contact with the other state or jurisdiction will occur.

Obtaining and Reviewing Department of Public Safety (DPS) background checks

Obtain Department of Public Safety (DPS) background checks and results when investigating and responding to all reports of child abuse and neglect. Include a review of National Crime Information Center (NCIC), Arizona Criminal Justice Information System (ACJIS), and a search of public records. If unable to complete a DPS background check or more information is needed to support or refute the allegations, conduct a check of local criminal histories, including requesting information from local law enforcement for recent contact history with the family and/or at the residential address (if available).

In accordance with federal requirements, the criminal history information may only be used for these purposes and must be shredded when no longer needed for the investigation.

A request should be submitted for each case. Second and subsequent requests may be submitted as necessary, for example, when household composition changes or when updated information is needed. The criminal history information cannot be given, shown, or communicated to the person of record or any other persons who are not authorized to view criminal justice information. See DCS 02-45 Criminal Records Requests.

Submit a request for criminal history information on the parents of each child victim and all other adults in the home where the alleged abuse or neglect occurred to the DPS. Each request shall include the person’s full legal name, date of birth, and valid social security number.

The criminal history information should be used in developing a strategy to initiate the assessment and assist in decision making concerning the safety of the children and DCS staff.

Upon receipt of the criminal history information, determine whether any adult in the home has any current or prior criminal activity:

• that may pose a threat to the safety of the DCS Specialist or other child welfare staff;

• involving a child or that places a child at risk of harm, including past abuse or neglect of a child;

• involving substance abuse;

• involving domestic violence where:

  • a child was assaulted;

  • a child was injured or threatened, or may have attempted to intervene;

  • a child was inadvertently harmed even though the child may not be the actual target of the violence;

  • the caregiver's own victimization (past or current) severely interferes with his or her ability to parent or protect child; or

  • a household member has past convictions regarding violent behaviors and acts toward others to include assault and battery, homicide, sexual assault or rape, or criminal acts involving weapons.

Obtaining and Reviewing Court Orders

The DCS Specialist shall make a good faith effort to promptly obtain and abide by court orders that restrict or deny custody, visitation or contact by a parent or other person in the home with the child. Court includes but is not limited to:

• city;

• criminal;

• domestic relations;

• family;

• justice;

• probate;

• federal; and

• tribal courts.

Limited information about orders for wants, warrants, orders of protection and injunctions will be available as part of the criminal history information obtained from DPS. The DCS Specialist should request copies of court orders by contacting the Clerk of Court, Superior Court in the county in which the order was entered. If the DCS Specialist confirms that the parent/caregiver's custody, visitation, or contact with the child was denied or restricted, abide by the terms of the order if the order is in effect. The DCS Specialist cannot facilitate or concur with placement or contact of the child with the parent/caregiver in any manner that conflicts with the order. If the DCS Specialist confirms that any adult in the home has restricted contact with a child, abide by the terms of the order if the order is in effect.

If the order has expired or the status of the order cannot be confirmed, consult with the Office of the Attorney General prior to facilitating or concurring with placement or contact of the child with the parent.

Information obtained from the order or court records shall be considered during the investigation of the allegation(s) and assessment of child safety and safety planning.

Collection and Review of Additional Information and Documents

Obtain and review medical, school, and/or behavioral health records for the child if:

• the current allegations are directly related to the child’s physical health, education, or behavioral health;

• there is reason to believe these records contain information that will fill a gap or reconcile an inconsistency in the information about child safety; or

• there is reason to believe records contain evidence necessary for substantiation or a dependency.

When obtaining the child(ren)'s medical, school, and/or behavioral health records, the DCS Specialist should do the following:

• Speak with the physician, school, and/or mental health professionals to gather additional information when safety threats or risks in the area of physical health, education, or behavioral health are identified or suggested through the interviews with the child or family members.

• Utilize the Request for Release of Education Records (Investigations Only), (CSO-1048A) when requesting a child's education records during a DCS investigation.

• Utilize the Request for Release of Medical Information (Investigations Only), (CSO-1049A) when requesting medical and behavioral records from the physician, mental health professional, or appropriate medical provider.

• Utilize the Request for Release of Educational Records, (CSO-1050A) when the child/youth is a ward of the Court in the legal care, custody, and control of the Department.

Obtain and review medical and/or behavioral health records or provider reports for parents, guardians, or caregivers if any of the following apply:

• The parent’s, guardian’s, or custodian’s medical or behavioral health is directly related to the current allegation.

• There is reason to believe these records contain or confirm information that will fill a gap or reconcile an inconsistency in the information about child safety.

• There is reason to believe the records contain evidence necessary for substantiation or dependency action.

When obtaining the parent's, guardian's, or custodian's health, behavioral health, or substance abuse records, obtain signed consents authorizing release of the records utilizing the Authorization to Disclose Health Information, CSO-1038A.

Required Reporter Contact

The DCS Specialist shall attempt to contact the reporting source to verify information contained in the allegation narrative and to explore additional information the reporter might have on the maltreatment incident or about the child or family’s functioning. Attempt to contact the reporting source prior to the initial contact with the family, except when a concern for child safety and the need for expediency warrants a post-initial response contact, as in the following circumstances:

• An immediate response is needed because a Priority 1 response time is required.

• Attempting contact with the reporter may increase the risk of harm to the child or adult household member (e.g., reporter is a subject of the report or resides in the same home as the family and attempted contact may inadvertently alert the alleged perpetrator of the investigation, etc.).

When circumstances preclude contacting a reporting source prior to initial contact with the family or an attempted contact was unsuccessful, contact the reporting source as soon as practical after the initial response is completed.

Preparing for Specific Types of Investigations

The investigation of specific types of allegations may require additional preparation or action by the DCS Specialist, and/or may require the DCS Specialist to obtain and review additional documentation and information to support or refute the allegations of abuse or neglect.

Medical Examinations

Medical examinations and/or consultation by a physician with expertise in child abuse and neglect are required for specific injuries or circumstances. Examinations and/or consultations are available through the local Child Advocacy Centers or may be performed at a medical center or hospital where the child is located. This requirement applies to the following injuries or circumstances:

• Head injury resulting in skull fractures or impact to the skull;

• Internal organ injury;

• Multiple injuries or multiple plane injuries (battering);

• Severe facial bruises;

• Fractures or bruises in a non-ambulatory child;

• Fractures;

• Instrumentation injury with risk of impairment;

• Immersion burns;

• Second and third degree burns;

• Abusive Head Trauma;

• Medical Child Abuse (e.g., Fabricated or Induced Illness/Factitious Disorder);

• Delayed or untreated medical condition, which is life threatening or permanently disabling which may include Infant Doe, comatose state or debilitation from starvation or possible non-organic failure to thrive;

• Serious physical injury or illness due to neglect;

• Child under age six who has been provided prescribed/non-prescribed or illegal drugs or alcohol and is exhibiting symptoms of the drug or alcohol;

• Child reporting vaginal or anal penetration or oral sexual contact (oral contact with the penis, vulva or anus) within the past 72 hours, AND has not been examined by a medical doctor; or

• Child reporting sexual abuse within the past 120 hours, AND has not been examined by a medical doctor.

Consider a medical examination/urine analysis if there is reason to believe a child has been residing in a home with extensive drug usage or sales, or if the child had access to the drugs.

Consider a medical examination of non-verbal siblings in cases of near fatality or fatality as a result of physical abuse.

Forensic medical examinations are generally required for cases involving criminal conduct allegations, especially when sexual abuse is indicated. Consult the county's joint investigation protocol to determine whether a forensic medical examination is required.

Based on consultation with the DCS Program Supervisor, medical examinations may be obtained in other circumstances to confirm whether the injury is non-accidental or suspected to have been inflicted.

Explain to the parent, guardian, or custodian the purpose of the medical examination and try to elicit their support and permission for the process.

If the parent, guardian, or custodian refuses to allow the child to be examined, place the child in temporary custody for up to 12 hours to have the child examined by a medical doctor or psychologist. Utilize the Temporary Custody Notice, CSO-1000, if the child is removed.

When it is suspected that abuse or neglect has occurred, but a physician or other medical personnel is unable to confirm the abuse or neglect, differing or conflicting medical opinions have been received from the same or different physicians regarding the diagnosis or specific medical finding(s), the case, including all medical opinions should be reviewed within 48 hours with a:

• physician who has substantial experience and expertise in child abuse and neglect diagnosis; or

• multidisciplinary team (MDT) to include a physician who has substantial experience and expertise in child abuse or neglect diagnosis, any attending physician, the DCS Specialist and the DCS Program Supervisor.

If a MDT or expert medical consultation is unavailable in the area, consult with the DCS Program Supervisor to contact the DCS CHP Chief Medical Officer at 602-351-2245.

Fatality and Near Fatality

When investigating a child fatality, coordinate with law enforcement and the Office of Child Welfare Investigations (OCWI), if available, to gather medical documentation to determine whether a child’s death was the result of abuse or neglect. Discussion with the physician (e.g. medical doctor or doctor of osteopathy) to determine if:

• the child's injury or condition is consistent with a non-accidental injury and/or due to parent, guardian, or custodian neglect; and

• based on the information the physician has at this time, is it the physician’s opinion that the child likely died as a result of this injury or condition.

 

When investigating a near fatality, discuss with the physician (e.g. medical doctor or doctor of osteopathy) to determine whether:

• the child's injury or condition is consistent with a non-accidental injury and/or due to parent, guardian or custodian neglect; and

• the child is in serious or critical condition because of this injury or condition.

A child's injury may also be identified as a near fatality when a parent, guardian, or custodian has admitted to or has been arrested, indicted, charged, or convicted for causing the child's injury and the medical professional has confirmed the injury places the child in serious or critical condition.

Allowing a Child to Enter or Remain in a Structure or Vehicle in which Chemicals or Equipment is Found for Manufacturing a Dangerous Drug

Information gathering should focus on whether the parent, guardian, or custodian knew or should have known that dangerous drugs were being manufactured in the structure or vehicle, and whether they allowed the child to enter or remain in the structure or vehicle. Also, determine the frequency and duration that the child was in this location.

Indicators that the parent, guardian, or custodian may have known or should have known include the following:

• the presence of drugs, drug equipment, or paraphernalia;

• persistent noxious odor;

• purchasing or sale of an illegal substance from the structure or vehicle; or

• presence or observation of volatile, toxic, or flammable chemicals intended to be used for manufacturing a dangerous drug.

 

Inquire about or observe the following in assessing the parent’s, guardian’s, or caregiver’s knowledge:

• frequent visitors or activity at all times or at odd hours of the day/night;

• the occupants are unemployed, yet they appear to have money and other commodities;

• there is extensive security (such as cameras) or unusual ways to obscure the home or vehicle;

• there is an indication of chemical waste dumping (such as “burn pits” or “dead spots”) in the yard;

• there is an indication of the following chemicals or equipment:

  • rubber tubing;

  • bunsen burner;

  • ammonium sulphate;

  • kitty litter;

  • sodium hydroxide;

  • rock salt;

  • camp fuel;

  • solvent (such as lighter fluid);

  • liquid propane;

  • freon;

  • iodine;

  • lacquer thinner;

  • sulfuric acid (such as Liquid Plumr); or

  • multiple packs or boxes of Sudafed, ephedrine and/or pseudoephedrine etc.

Medical Marijuana

If a parent, guardian, or custodian claims they are a qualifying medical marijuana patient with a debilitating medical condition, focus information collection on whether the medical use of marijuana impairs parental functioning, and/or whether the child has been intentionally or negligently exposed to medical marijuana; thus, placing the child in present or impending danger. Consider the following when making this determination:

• the debilitating medical condition;

• method of consumption (smoking, vaporization, infused edible food products, etc.);

• any action taken by the patient to ensure that any child in the home is not adversely affected by the patient’s medical use of marijuana such as plans to:

  • consume (smoking, vaporization, infused edible food products, etc.) when the child is not present, or

  • make arrangements so that the child is not exposed to “second hand” smoke or vapor;

• any action taken by the patient to make arrangements so the child in the home does not have access to the marijuana, such as:

  • the marijuana is clearly labeled, out-of-sight and not accessible to the child;

  • if the patient is authorized to cultivate marijuana plants for the patient’s medical use, whether the plants are secured in an enclosed, locked facility;

  • if the patient cooks with marijuana, whether any resultant food products are clearly labeled, out-of-sight, and not accessible to the child;

• the effect of the debilitating medical condition and the medical use of marijuana on the patient's ability to provide a safe home environment for the child, including:

  • transportation to/from appointments, and other routine activities;

  • any concerns by the patient's physician about the patient’s ability to provide for the child’s safety and well-being; and

  • whether there is another responsible un-medicated caregiver in the home when consumption occurs, and if more than one caregiver is a qualifying patient, plans to ensure that one caregiver is un-medicated (established routine where one caregiver is un-medicated at all times).

Substance Exposure to a Newborn Infant (under 30 days of age)

Information gathering should focus on documenting that a health professional has determined that a newborn infant was exposed prenatally to a drug or substance listed in section A.R.S. § 13-3401 and that this exposure was not the result of a medical treatment administered to the mother or the newborn infant by a health professional. The determination by the health professional shall be based on one or more of the following:

• Clinical indicators in the prenatal period, including maternal or the newborn presentation.

• History of substance use or abuse including the type, frequency, and amount of drug used and the last time used.

• Medical history.

• Results of a toxicology or other laboratory test on the mother or the newborn infant.

Obtain all relevant medical documentation regarding the determination made by the health professional. Health professionals include physicians, surgeons, nurse practitioners, or

physician assistants acting under the direction of a physician or surgeon.

If available, collect additional information evidencing the parent’s, guardian’s, or custodian’s drug and/or alcohol use, including but not limited to:

• the child's complete medical records;

• the mother's medical records pertaining to the period of pregnancy; and

• any additional records (such as police report or medical records) evidencing the parent’s, guardian’s, or custodian’s drug and/or alcohol use.

Substance Exposure to Infant (from birth to up to one year of age)

In addition to the above, information gathering should focus on documenting that the use of a dangerous drug, narcotic drug, or alcohol by the mother adversely affected the infant’s health. Information gathering should include a:

• medical diagnosis that the child was exposed to a dangerous drug, a narcotic drug or alcohol during pregnancy;

• identification of the adverse effects of the prenatal exposure; and

• medical interpretation that the infant’s symptoms are the result of the prenatal exposure.

Fetal Alcohol Syndrome (FAS) or Fetal Alcohol Effects (FAE)

Information gathering should focus on documenting the diagnosis by a health professional of an infant under one year of age with clinical findings consistent with FAS or FAE. The diagnosis may be made at any time during the child’s first year of life.

Deliberate Exposure to or Reckless Disregard of the Child’s Presence During Sexual Activity

Deliberate exposure means that the parent, guardian, or custodian knowingly and willingly subjected the child to sexual activities, including:

• having the child read or view explicit sexual materials (pornography);

• buying the child explicit sexual materials (pornography);

• taking the child to a strip club;

• having the child view others engaged in sexual activity; or

• allowing the child to see activities of bestiality or materials depicting bestiality.

Reckless disregard means that the parent, guardian, or custodian knew or should have known that the child was present or would likely be present when engaging in sexual activity, and failed to take actions to prevent the child from observing the activity such as closing and/or locking the door, waiting for the child to sleep, etc. Note that this would not include infants who sleep in the same room as their parent, guardian, or custodian, Information gathering should focus on obtaining statements from credible witnesses (including the child and parent) and corroborative evidence of the alleged behavior involved.

Child Victim of Sex Trafficking

Sex Trafficking involves recruiting, harboring, transporting, obtaining, maintaining, or benefiting financially from any commercial sex act involving a child. Gather information from interviews with the child and other sources to determine if the child is a victim of sex trafficking. A child who has been subject to commercial sexual exploitation is always considered a victim of sex trafficking, not a perpetrator.

When information indicates that a child has been exposed to sex trafficking, follow procedures for Criminal Conduct or New Allegations Disclosed During the Investigation found in Initial Contact and Conducting Interviews. Refer the child to appropriate services to address any needs.

Unreasonable Confinement

Confinement means the restriction of movement or confining of a child to an enclosed area and/or using a threat of harm or intimidation to force a child to remain in a location or position.

Information gathering should take into account the totality of the circumstances. The totality of the circumstances includes consideration of:

• the method and length of confinement;

• the child’s age, developmental and cognitive functioning; and

• any special needs such as mental illness, behavioral health, and physical limitations.

Examples of unreasonable confinement may include but are not limited to:

• tying a child’s arms or legs together;

• binding (tying) a child to a chair, bed, tree, or other object; or

• locking a child in a cage.

Locking a child in a bedroom, closet, or shed may be unreasonable confinement, taking into account the totality of the circumstances, such as:

• the length of time;

• whether the child was deprived of food, water, access to a bathroom; or

• had no means to leave in the event of an emergency.

Documentation

Review the Prior History in Arizona, as well as other states or jurisdictions. Document the completion of the review in Notes.

Document that a Department of Public Safety (DPS) background check has been completed, including the name of the person ran and their relationship to the child, in Notes.

Court Orders Limiting or Restricting Contact:

• Document in Notes efforts made to obtain the information, including the date that each parent, guardian, or custodian was asked if a current court order exists, and their responses.

• List any court order that may restrict or deny custody, visitation or contact with the child(ren); including the jurisdiction and involved parties.

• Summarize any court orders that indicate a potential safety threat.

Joint Investigation and/or Law Enforcement Involvement:

• Identify Law Enforcement agency, Detectives names, contact information, and DR# for the incident.

• Document the status of the joint investigation and outcomes. complete of the Joint Investigation Details for all reports containing the "Criminal Conduct" tracking characteristic.

Documents Reviewed (if applicable):

If any of the following documents were obtained and reviewed, upload as an Artifacts into Guardian and file the originals into the hard copy record:

• Police reports;

• Other Criminal history;

• Medical records;

• School records;

• Court orders;

• Provider reports on services provided to the family; and

• Any other documents reviewed.

Any consultation with the AAG shall be documented in Notes as AG Contact.

Upload written reports and documentation provided by collateral sources as Artifacts into Guardian and file originals in the hard copy record.

Document a near fatality by confirming or entering the Near Fatality tracking characteristic in Guardian.

Document the child's medical need, examination and child's physician information in Guardian

Update the person details to document each case participant's language preference and English proficiency.

Effective Date: March 7, 2024

Revision History: July 1, 2013, November 30, 2012, September 13 ,2013, October 28, 2014, June 9t, 2017, January 19, 2018, February 2, 2018, February 1, 2021, September 24, 2022