Chapter 2 : Section 11.5

Investigations of Out-of-Home Caregivers

Procedures

When conducting investigations of alleged physical abuse occurring in congregate care facilities, a DCS Specialist/Office of Child Welfare Investigations (OCWI) Investigator must comply with the Investigations of Out-of-Home Caregivers and Investigation Allegation Findings policies and procedures, unless all of the following criteria are met:

• the alleged victim presents with no visible evidence of the alleged offense (i.e. bruises, lacerations, abrasions, etc.);

• the alleged victim has no injuries discovered during medical imaging (i.e. x-rays, MRI, CT scan);

• there is no indication or information that additional children currently living within or previously living within the congregate care facility have relevant information regarding the alleged physical abuse; and

• the OCWI Chief; Deputy Chief, or Program Administrator have approved.

If all of the above criteria are met, a DCS Specialist/OCWI Investigator is not required to interview all children living in the congregate care facility at the time of the alleged physical abuse. However, they must determine and document the name, age and current condition of those children.

The Family Functioning Assessment is not completed for investigations of out-of-home caregivers unless the caregiver’s biological or adopted child is an alleged victim in the report. See Initial Contact and Conducting Interviews, Family Functioning Assessment - Investigations, Present Danger Assessment and Planning, and Investigation Allegation Findings.

Notification

Notify and coordinate investigations involving criminal conduct allegations according to protocols established with the appropriate municipal or county law enforcement agency. See Investigations Involving Allegations of Criminal Conduct.

For non-criminal conduct allegations, or unless otherwise indicated, send the Notification of Investigation of Out-of-Home Caregiver, CSO-2139 as soon as possible, but no later than the next business day of receipt of the report to the following, as appropriate:

• the assigned DCS Specialists and Program Supervisors of the children placed with the out-of-home caregiver (the DCS Specialist will notify the child’s parent or legal guardian and the child’s attorney and/or guardian ad litem and CASA, if applicable, of the report);

• the Office of Licensing and Regulations (OLR);

• the DCS Placement Administration;

• the DES Office of Licensing, Certification, and Regulation (OLCR) for DDD Child Developmental Homes;

• the out-of-home care provider’s licensing agency specialist and/or supervisor, including public or private licensing agencies, if applicable;

• the child victim’s placing agency(s) or assigned case manager(s), if known; and the congregate care facility’s administrator or designee (unless an unannounced visit is necessary).

Coordination with Other Agencies throughout the Investigation

Provide an opportunity for the Department’s Office of Licensing and Regulation (OLR) and/or the Department of Economic Security’s Office of Licensing, Certification and Regulation (OLCR) representatives as well as a representative from the contracted licensing agency to provide information to support the investigation, if appropriate. Provide an opportunity for the congregate care facility’s administrator or designee to provide information to support the investigation, as appropriate.

Throughout the investigation process, the DCS Specialist/OCWI Investigator will maintain contact and exchange information with the:

• licensing authority;

• contracted licensing agency(s); and

• facility’s administrator or designee.

The DCS Specialist/OCWI Investigator will additionally communicate:

• information pertinent to child safety and well-being to the above persons; and

• with the DCS Specialist and DCS Program Supervisor assigned to the child(ren) who reside in the caregiver’s home/congregate care facility.

Disposition and Initial Responses/Pre-Commencement Activities

Prior to responding, review and complete the Disposition of Reports and Initial Response and Pre-Commencement Activities to Prepare for Initial Response as it pertains to the caregiver, or other persons in the home where the child resides.

Review in Guardian any prior allegations and outcomes of investigations of child abuse or neglect concerning the alleged perpetrator.

Initial Contact – Interviewing and Observing Children

Interview the child(ren) who is identified as the child victim in the report and all other children living in the home or facility. Whenever possible, interview the child victim and all other children living in the home in a safe and neutral location. Interview each child alone for all or part of the interview. If appropriate, allow a supportive adult from the congregate care facility, foster home, kinship caregiver or unlicensed non-kinship caregiver’s home, or licensing agency who is not the alleged perpetrator to be present for part of the interview if a child is reluctant or refuses to be interviewed.

If a child is non-verbal, substitute observation of the child and document the observation to replace the interview.

Provide the child(ren) with information about the investigation process, including the role of various individuals in the process; explain that the Department is working to ensure their safety.

During the initial interview with the child(ren) victim and other children in the placement the DCS Specialist/OCWI Investigator should use the Interview Guide-Victim and Other Children, DCS-2136 to gather the following information:

• observation of child/child functioning;

• child’s perception of caregiver;

• supervision;

• chores/rules;

• discipline and behavior management;

• drugs/alcohol;

• domestic violence;

• extent of maltreatment; and

• circumstances surrounding maltreatment.

After a child is interviewed, initiate contact with the caregiver the same day and inform them of the child’s interview. The DCS Specialist/OCWI Investigator should make reasonable efforts to inform the caregiver about the interview before the child returns home from school, when applicable.

If efforts to contact the caregiver are not successful, talk to the reporting source or OLR as appropriate, to determine if there is a means to contact the caregiver. If there is no way to contact the caregiver, leave a copy of A Guide to the Department of Child Safety, CSO-1010A and the Investigations Involving Licensed Out-of-Home Caregivers, CSO-1931 guide at the home, along with your name, address, phone number, and a request to be contacted.

Notify congregate care facility staff that the alleged perpetrator may not have any direct contact with children during the investigation. Alert OLR that contact has been made with the congregate care facility staff so that OLR may follow up to ensure the alleged perpetrator is not having contact with children during the investigation.

Photographing

If a child has visible injuries and/or visible indicators of neglect, arrange to have the child photographed, preferably by law enforcement, a Child Advocacy Center, or a medical professional at the same time as a medical evaluation to reduce the number of times the child is examined. If these personnel are not available, photograph the child by depicting the child's entire body and face, not just the external manifestation of abuse. The Department shall not take photographs of a child’s genitals. Photographs should include ruler and color bar where possible. Label each photograph with the child's name, date of photograph, date of birth, name of DCS Specialist/OCWI Investigator, and name of the person taking the picture. Photographs of children can be taken without permission of the caregiver or other adult.

The assigned investigator may examine and photograph the facility’s physical structure as warranted.

Preparing to meet with the caregiver and/or other adult household member

Gather the following documents, and provide them to the caregiver or other adult household member when appropriate and applicable, as defined below:

• A Guide to the Department of Child Safety, CSO-1010A;

• Investigations Involving Licensed Out-of-Home Caregiver, CSO-1931;

• Notice of Duty to Inform, CSO-1005A;

• Safe Sleep For Your Baby, CSO-1300A (for families with a child under once year of age);

• Authorization to Disclose Health Information, CSO-1038A (to obtain a caregiver or other adult household member’s medical or behavioral health records); and

• Notice of Removal, CSO-1039 (serve to the foster parent, kinship caregiver, unlicensed non-kinship caregiver, congregate care facility or a school, child care provider, or other location when the Department has removed a court ward and/or has taken temporary custody of a biological/adopted child).

Contacting the Congregate Care Facility

In-person contacts will be coordinated with the congregate care facility to minimize disruption whenever possible. If the in person-contact is unannounced, notify the agency administrator or designee immediately upon arrival.

Investigations include gathering or reviewing information that is pertinent to the allegation being investigated. Information may include but is not limited to:

• the facility’s policies and procedures;

• the child victim’s specific records including daily log sheets, progress notes, therapeutic notes, medical reports, incident reports, restraint reports, and video monitor tapes; if applicable;

• Unusual Incident Report, DCS-1125A;

• the licensing and accreditation records including any corrective action plans or enforcement action; and

• the alleged perpetrator’s employee file.

Informing the Caregiver Under Investigation of their Rights

Persons under investigation by the Department have specific rights in addition to any rights afforded in a law enforcement investigation or criminal proceeding. Inform all persons of their rights in a Department investigation, even when law enforcement has informed a congregate care facility staff, out-of-home caregiver, or other adult in the home of their rights during a criminal investigation. During a criminal conduct investigation, statute allows the Department to withhold specific details of reports that would compromise the ongoing investigation. The Department is obligated to inform the out-of-home caregiver that there is currently an open DCS investigation and inform the person of their rights both verbally and in writing upon initial contact. See Initial Contact and Conducting Interviews.

After informing the caregiver or other adult in the home of their rights, have the caregiver, or other adult in the home sign the Notice of Duty to Inform, CSO-1005A, to acknowledge receipt of notification of these rights. Provide a copy to the caregiver or other adult in the home.

Provide the caregiver or other adult in the home with the telephone numbers for the Ombudsman-Citizens Aide and DCS Office of the Ombudsman.

Prior to initiating contact with an adult who resides in the household of the alleged abuse or neglect, review the information available to effectively develop a strategy to engage the participant. Not every interview is the same and each person may require a different technique in order to effectively engage in the interview process. If needed, consult with other Department personnel to assist in this process.

Establish a working relationship with the family to facilitate information gathering. Spend sufficient time establishing and building rapport with the caregiver, or other adult in the home by:

• notifying them of their rights during the investigative process at the very beginning of the investigation;

• explaining, as part of the introductory process, the role of the DCS Specialist/OCWI Investigator, role of the Department and the essence of the report (without getting into the details of the maltreatment until the interview process has begun in full);

• addressing concerns, deflecting strong reactions, and demonstrating empathy in response to significant emotions resulting from being a subject of an investigation;

• empowering them by asking assistance in arranging for a private place to conduct interviews, scheduling follow-up interviews, and asking for additional contact information of individuals whom they want the investigator to speak with about their circumstances; and

• guiding the interview process by redirecting the conversation back to the collection of relevant information when they repeatedly move off-topic, recognizing the difference between intentional avoidance or misdirection and the need for the DCS Specialist/OCWI Investigator to address a legitimate concern before refocusing the interview.

During the initial interview with the caregiver or other adult who resides in the household of the alleged abuse or neglect, the DCS Specialist/OCWI Investigator should ask questions to elicit information related to the following:

• functioning of each child in the home;

• general caregiving practices/supervision;

• discipline and behavior management;

• domestic violence;

• alcohol use/drug use;

• caregiver mental health;

• DCS history/criminal history/court orders;

• extent of the maltreatment;

• circumstances surrounding the maltreatment; and

• observation of the home.

For more information to assist in conducting interviews, see Interview Guide - Group Home Staff, DCS-2140 and Interview Guide - Foster Parent, Live-in Congregate Care Staff, Perpetrator, and Other Adult, DCS-2255.

If the DCS Specialist/OCWI Investigator is unable to complete in-person interviews in the caregiver’s home, complete one visit to the home where the child victim is placed to observe the physical condition of the home and the living environment, and to assess risk of harm to the children in the home.

Interviewing Collateral Contacts

Identify collateral contacts likely to have relevant and reliable information about the alleged child abuse or neglect, including, but not limited to, the reporting source.

In addition to individuals who have direct knowledge about circumstances surrounding the maltreatment, collateral contacts may include:

• DCS Specialists;

• individuals who have regular contact with the child and are likely to be able to describe the child’s day-to-day functioning;

• doctors or other professionals who have evaluated or maintain records on the child;

• individuals with established personal or professional relationships with the out-of-home caregiver who may be able to describe the caregiver or other adult household member’s day-to-day functioning; and

• individuals likely to have witnessed the interactions between the child and caregiver or other adult household member, and/or who can describe general parenting and disciplinary and behavior management practices.

Observing Interactions

If the caregiver or other adult household member is seen together with the children, observe the interactions and the conditions to which the child(ren) are routinely exposed, protective capacities, style of communication, power and control dynamics, and parenting skills as actually applied compared to those described by the caregivers, or other adult household members.

Assessment of Harm or Risk of Harm

If removal of the child(ren) who are in the care, custody and control of the Department is clearly necessary due to an identified emergency situation and the out-of-home caregiver is present when the children are removed, verbal and written notice (Notice of Removal, CSO-1039A) must be provided immediately. If the out-of-home caregiver is not present at the time of removal, the DCS Specialist/OCWI Investigator must attempt to notify the out-of-home caregiver immediately either in-person or by phone.

After a Notice of Removal, CSO-1039A is served:

• Contact the Foster Care Licensing agency to arrange for a respite provider through their agency, if available.

• If unavailable, coordinate with the assigned DCS Specialist and Placement Administration to secure a new placement and assist with the removal of the child(ren).

Also, notify the following individuals within 24 hours of the removal, if they were not notified at the time of the removal:

• the child’s DCS Specialist and/or Program Supervisor;

  • The DCS Specialist will notify the child’s parent or legal guardian, the Assistant Attorney General, the child’s attorney and/or guardian ad litem and CASA, if applicable, of the removal.

• the DCS Program Administrator or deignee;

  the out-of-home caregiver’s licensing agency/specialist and/or supervisor, if applicable; and

• the Office of Licensing and Regulation, if applicable.

Criminal Conduct or New Allegations Disclosed During the Investigation

If during the course of an investigation, the Department determines that a criminal offense may have been committed or a new allegation of abuse or neglect not previously reported is present, the Department shall immediately contact the Child Abuse Hotline via an Intake Supervisor to add the allegation to the current report or create a new report as appropriate. If a criminal offense may have been committed, contact the appropriate law enforcement agency in addition to the Child Abuse Hotline.

If the report is not currently assigned to an OCWI Investigator and it is determined that a criminal offense may have been committed, the DCS Specialist shall contact OCWI management.

If during the course of the investigation, evidence indicates that a criminal offense perpetrated by someone other than the caregiver or other adult household member has been committed, contact the appropriate law enforcement agency.

Findings

Follow the procedures found in Investigation Allegation Findings to determine the investigation finding.

Closing the Investigation

Every attempt should be made to complete the investigation within 45 days. Consult with the DCS Program Supervisor/OCWI Manager if the investigation is expected to remain open for more than 45 days.

When a proposed substantiated finding is made, complete and send the Notice of Proposed Substantiation of Child Safety Report, CSO-1024A.

When an unsubstantiated finding is made, complete and send the Notice of Unsubstantiated Child Safety Report, CSO-1023A.

Within 15 days of the completion of the investigation complete the Notification of Closure of Out-of-Home Caregiver Investigation letter and provide it to the:

• DCS Specialists and Program Supervisors of all children interviewed;

  • The DCS Specialists will notify the child’s parent or legal guardian, the assigned AAG, and the child’s attorney and/or guardian ad litem and CASA, if applicable, of the investigation closure.

• the Office of Licensing and Regulations (OLR);

• the DCS Placement Administration;

• the DES Office of Licensing, Certification, and Regulation for Child Developmental Homes;

• the out-of-home care provider’s licensing agency/specialist and/or supervisor, including public or private licensing agencies, if applicable;

• the licensing authority;

• the child victim’s placing agency(s) or assigned case manager(s), if known; and

• the child welfare facility’s administrator or designee.

Documentation

Use the Interview Guide-Foster Parent, Live-In Congregate Care Staff, Perpetrator, and Other Adult, DCS-2255 or Interview Guide-Group Home Staff, DCS-2140 to document interviews with congregate care facility staff, foster parents, kinship caregivers, non-kinship caregivers and other adult household members. For information about documentation, see the SAFE AZ Child Safety and Risk Assessment Documentation Guide for Out-of-Home Caregiver Investigations.

The DCS Specialist/OCWI Investigator shall document the date contact was made, the assessment number pertaining to those contacts, and the first and last name of the DCS Specialist who completed the contact.

Document observations, and take photographs if appropriate. Upload the photographs as an artifact in Guardian.

Document any consultation with the Attorney General’s Office in a Note titled AG Contact.

Document consultation with the DCS Program Supervisor/OCWI Manager, or designee in Notes.

Document all verbal or telephone responses to the allegations provided by the subject of a DCS investigation in Notes.

Scan and upload as an Artifact in Guardian, all written responses to the allegation provided by the subject of a DCS investigation and any documentation obtained from the subject of a DCS investigation and file hard copies in the hard copy record. See Note Types.

In addition to the requirements for documentation of DCS investigations, described above, document the notification of each child's parent(s) or legal guardian, DCS Specialist and/or supervisor, OLR and the out-of-home care provider’s licensing agency/specialist and/or supervisor of the report in Notes..

Scan and upload as an Artifact in Guardian, all notification letters, Findings letters, Closure Notifications and documentation gathered during the investigation and file in the hard copy. See Note Types.

Enter the investigation findings within 45 days of the date that the Department received the initial report information.

For children who are court wards, confirm the tracking characteristic and complete any other relevant tracking characteristics within 45 days of the date that the Department received the initial report.

File a copy of the Unusual Incident Report, DCS-1125A in the DCS record.

Effective Date: September 14, 2024

Revision History: November 30, 2012, July 2, 2019, August 8, 2019, February 1, 2021