Title:: Child Welfare Manual
Section 5:: Case Record Maintenance And Access
Chapter 2:: Record Access
Subsection 1:: CA/N Investigations/Family Assessments
Effective Date:: April 13, 2012

§5 ch2: Documentation And Record Maintenance

2.1 CA/N Investigations/Family Assessments

The following guidelines have been established to ensure that any disclosure of information concerning a CA/N Investigation, Family Assessment and Non-Caretaker Referral is made only to persons or agencies that have a right to such information. Staff must attach the CA/N Records Cover Sheet on any disseminated written records. It is then the recipient's responsibility to ensure the information is not re-released to other parties.

Related Subject: Section 5 Chapter 2 Attachment A: Cover Sheet For Release Of CA/N Records

The confidentiality of the reporter is essential. Therefore, prior to sharing the reporter's name, supervisory consultation and approval is necessary. The identity of the reporter should only be disclosed to the following with regard to CA/N Investigations, Family Assessments and/or Non-Caretaker Referrals:
- Appropriate federal, state, or local government agencies with a need for such information in order to carry out its responsibility under the law to protect children from child abuse or neglect;
- A Grand Jury, Juvenile Officer, Prosecuting Attorney, Law Enforcement Officer involved in the investigation of CA/N, Juvenile Court or other court conducting CA/N or child protective proceedings, and other government entities with a need for such information in order to carry out its responsibilities under the law to protect children from CA/N;
- A physician or a designated agent may request information for a physician examining a child;
- Appropriate staff of the Division;
- Any state agency acting pursuant to statutes regarding a license, which provides care or services to children; and
- Any child fatality review panel.
Information pursuant to §210.150 RSMo, may be shared with the following agencies and individuals:
1. Court Adjudicated, Preponderance of Evidence, and Probable Cause findings are shared only with:
  1. Appropriate federal, state, or local government agencies with a need for such information in order to carry out its responsibility under the law to protect children from CA/N;
  2. A physician or a designated agent may request information for a physician examining a child;
  3. Appropriate staff of the Division;
  4. Any child named as a victim, or a legal representative, or guardian of such person when such person is a minor;
    The Domestic Violence Section of the case record is to remain confidential unless otherwise ordered by the court.
  5. Any alleged perpetrator or their attorney (or parent/legal guardian of the alleged perpetrator requesting on behalf of a juvenile alleged perpetrator)
    - When an alleged perpetrator requests a release of records, the redacted records must be released, except in a very limited set of circumstances as described below:
      - An alleged perpetrator SHALL have access to appropriately redacted CA/N investigative records in the following situations under Sections 210.150.2(5) and 210.150.3(3) RSMo:
        
        There is a pending criminal investigation but no formal criminal charges have been filed in court
        
        The alleged perpetrator has been indicted for a misdemeanor
        
        The alleged perpetrator has been charged with a misdemeanor by the filing of an information
        
        The alleged perpetrator has been charged with a felony by indictment
        
        The alleged perpetrator has been charged with a felony by the filing of a criminal complaint in court arising out of the facts and circumstances identified in the investigative records, and the felony complaint has resulted in an information after a preliminary hearing has been held or the alleged perpetrator has waived preliminary hearing and information and the case has been bound over for trial
      - An alleged perpetrator SHALL NOT have access to hotline CA/N investigative records under Sections 210.150.2(5) and 210.150.3(3) RSMo in cases where the following applies:
        
        The perpetrator has been formally charged with a felony by the filing of a criminal complaint in court arising out of the facts and circumstances identified in the investigative records
        
        The felony complaint has not yet resulted in an information after a preliminary hearing and the preliminary hearing has not been waive
  6. Any parent or their attorney
  7. A Grand Jury, Juvenile Officer, Prosecuting Attorney, Law Enforcement Officer involved in the investigation of CA/N, Juvenile Court or other court conducting CA/N or child protective proceedings, and other government entities with a need for such information in order to carry out its responsibilities under the law to protect children from CA/N;
  8. Any person engaged in a bona fide research project, with the permission of the Director (identifying information can only be released with permission of the child or the child’s parent or guardian;
  9. Any child care facility or any public or private agency providing care of a child may request screening of employees and volunteers;
  10. Any person who inquires about a specific child care facility, except no identifying information shall be released;
  11. Any state agency acting pursuant to statutes regarding a license, which provides care or services to children; and
  12. Any child fatality review panel; and
  13. Designated Probation and Parole staff
  B. Unsubstantiated and Family Assessment records retained by the Division are to be shared only with:
  1. Appropriate Division staff;
  2. Any child named in the report as a victim, or a legal representative or the parent or guardian;
    The Domestic Violence Section of the case record is to remain confidential unless otherwise ordered by the court.
  3. Any alleged perpetrator or parent (however no reports shall be released with pending criminal charges until an indictment has been returned by a Grand Jury to stand trial, the prosecutor has filed charges or the charges have been dropped/dismissed);
  4. Child fatality review panels
  5. Criminal justice agencies including the juvenile office;
  6. Multidisciplinary agencies, including a physician or designee who is providing services to the child or family, with the consent of the parent or guardian or legal representative of the child (during a Family Assessment information may be shared without the parents’ permission); or
  7. Persons engaged in research, with no identifying information, unless written permission is obtained from the child or parent/guardian.
  8. If a report is unsubstantiated, the reporter may request that the Children’s Division refer the report to the Office of the Child Advocate. If requested, staff shall forward a copy of the report to the Office of the Child Advocate Director; or
    Related Subject: Section 2 Chapter 4.5.5 Office of Child Advocate
  9. Designated Probation and Parole staff when concerns involve a DOC common client.
Legal Representatives
1. Juvenile Courts and Juvenile Officers.
  1. Share information without a subpoena with appropriate Juvenile Court personnel and attorneys who represent the court.
  2. Volunteer advocates who are designated by the Court shall be provided with all reports relevant to the case and shall have access to records relating to the child or his family members. The reporter’s name shall not be shared.
2. Probation and Parole/Pre-sentence Investigator
  1. Share information with Probation and Parole Officers and Pre-sentence Investigators under the following circumstances:
    - When an alleged perpetrator has been found guilty of a criminal charge of child abuse or neglect;
    - When an alleged perpetrator has been arrested for an offense of child abuse or neglect;
    - When an alleged perpetrator is on parole/probation for a conviction of child abuse and neglect and part of the terms of his/her parole/probation is to cooperate with a Children’s Division (CD) treatment plan.
    - When any hotline report of abuse or neglect is received involving DOC common clients who are currently on Probation and Parole.
    - When the client is an alleged perpetrator of child abuse and neglect. CD should provide designated Probation and Parole staff with a report, CA/N-5, of the common client’s history on all prior Preponderance of Evidence findings. CD will also provide a summary of the treatment provided to the alleged perpetrator as well as available treatment plans the court may wish to consider.
    - When such notification is reasonably necessary to ensure the safety of a child or assist in the investigation of an allegation of abuse or neglect involving the common client as the allegedperpetrator.
    - When the purpose of the request is to ensure the safety and protection of a child, CD will exchange written and/or verbal confidential information specifically relating to child protection with designated Probation and Parole staff as requested.
      Do not share identifying information on the reporter.
3. Legal Representatives of the Parent or Guardian:
  1. Staff should make available to legal representatives of the parent(s) or guardian(s) records relevant to the allegations in the petition. Within ten (10) days of the protective custody hearing or within fourteen (14) days of the filing of the petition or motion to modify, the Children’s Division and Juvenile Officer must allow for certain records to be made available to all parties. The records may include:
    - Medical records of the juvenile;
    - Law enforcement records, including incident reports. If information regarding an active investigation is requested, CD staff should request permission from law enforcement to release the information. If law enforcement will not approve the release due to an active investigation, CD should notify all parties that the information cannot be released at this time;
    - Written statements, videotapes, and audiotapes regarding the juvenile and or parents/guardians;
    - Reports and affidavits submitted by the Children’s Division to the juvenile office recommending protective custody or a petition to be filed;
    - Completed CD reports and safety plans;
    - Written service agreements; and
    - Completed hotline reports, redacted as required by law. If the hotline report is not completed by the timeframes set forth in the initial court hearing, the report should be made available upon completion.
Legal Proceedings
1. Share information regarding case activity with the court during a Juvenile Court Hearing.
2. Cooperate with the Grand Juries and other courts conducting abuse/neglect or child protection proceedings. A subpoena is not necessary to provide testimony. However, staff may require a subpoena if they do not believe it is appropriate for them to testify.
  Testify after stating to the Court; “The record is confidential as prescribed by Section 210.150 RSMo and I may only disclose it if ordered to do so by the court.”
  
  If requested by someone who has access to the record, i.e., a parent, staff should provide the deposition, unless he/she does not believe it is appropriate.
  
  If a deposition is requested by a person who does not have statutory right to that information, or staff do not believe it is appropriate for them to provide a deposition, staff should send the request through supervisory lines to request assistance from the Division of Legal Services.
3. Release the name of the reporter to the Court in the presence of any person not designated to have access to this name, only after;
  1. Informing the Court that such information is confidential as prescribed in Section 210.150 RSMo.
  2. Being court ordered to release reporter’s name.
    If staff anticipates, prior to a court hearing, that the release of the reporter’s name will be ordered consult with Division of Legal Services through supervisory lines. This will allow for discussion as to any problems which may be caused because of the release of the reporter’s name.
  3. Notify supervisor immediately after the court hearing of the court order requiring release of reporter’s name and record information in the case record.
4. Do not give Miranda Warnings, as CD staff are not classified as Law Enforcement Officials and do not have the alleged perpetrator in custody at the time of the investigation.
5. Do not claim privileged communication, as communications between Division staff and clients when conducting a CA/N investigation are not considered a privileged communication.
  Related Subject: Section 7 Glossary “Privileged Communication”
  
  Reference: State vs. Brydon, Missouri Court of Appeals, Western Division. Cases involving issues other than those identified in this appeals decision may generate differing opinions in other courts. Thus, this interpretation can only apply to CA/N investigations.
Medical Examiner or Coroner

Share a copy of the CA/N Investigation/Family Assessment report with the Medical Examiner or Coroner in the event a child has died as a result of Child Abuse/Neglect.

Reporters of CA/N

Mandated Reporters

Division staff are required to initiate contact with every mandated reporter to provide feedback about the family within five (5) days of concluding the report. Earlier contact may be appropriate for feedback to the reporter prior to the conclusion. Contact should generally be made by phone or in person and should be documented in the record.

When the mandated reporter will continue to have on-going, professional contact with the family, he/she should be considered as a multidisciplinary team member. The Division should share information that would be helpful for the reporter’s efforts to offer support to the family.

The Division may share the following information:
1. The date the Investigation/Family Assessment was completed;
2. Conclusion of the Investigation/Family Assessment;
3. Facts utilized to reach the conclusion of the Investigation/Family Assessment;
4. Whether a referral for Family-Centered Services or to other community services was made;
5. Treatment plan; and
6. Progress of the child/family.
Mandated reporters who will not have on-going, professional contact with the child/family may receive the following information verbally or in writing:
1. Date the Investigation/Family Assessment was completed;
2. Conclusion of the Investigation/Family Assessment; and
3. Facts utilized to reach the conclusion of the Investigation/Family Assessment.
Staff should exercise discretion as to how much information is shared depending on the mandated reporter’s role with the family. Provide the information to the reporter as soon as possible after the investigation is completed.

Other Reporters (Permissive)

Any reporter who provides his/her name to the CA/N hotline shall be informed of their right to obtain information concerning the disposition of the report during their initial contact with the Children’s Service Worker. The reporter may also receive, if requested, findings and information concerning the case. The release of information shall be at the discretion of the Director, based on the reporter’s ability to assist in protecting the child or the potential harm to the child or other children in the family. The local office shall respond to the request within 45 days. The Division may share the fact that the report is being/has been followed up.

Researchers

Share information with any tenure-track or full-time research faculty member at an accredited institution of higher education, engaged in scholarly research, with permission of the Division Director. Prior to the release of any identifying information, the researcher must submit a plan for maintaining the confidentiality of the identifying information.
1. Correspondence from the Division Director will be provided to staff involved in the research as to the release of identifying information.
2. State purpose for the release of information and penalty for unauthorized dissemination of information (Class A Misdemeanor).
3. Refer inquiries regarding proposed research projects to the Office of the Division Director. Pre-planning with the local office is appropriate prior to submission of final proposal to Division Director.
News Media, Legislators, Students, the Public
1. Share only information pertaining to statistics, theory, policy and practice. Do not share specific information regarding client situations.
2. The release of findings or information about cases which resulted in a child fatality, or near fatality, is at the sole discretion of the Director of the Department of Social Services, based upon a review of the potential harm to other children within the immediate family. Inquiries shall be referred to Central Office.
Physicians or Designated Agents
1. Share appropriate information with a physician or designated agent who reasonably believes that the child being examined may be abused or neglected.
  Unsubstantiated reports and Family Assessment cases may only be shared with the consent of the child’s legal representative or parent/guardian. During a Family Assessment, information may be shared without the parents’ permission.
  
  When a physician contacts Child Abuse or Neglect Hotline Unit or local office for information, call back and verify his/her identity. Provide information regarding the child being examined, and siblings of that child.
2. State purpose for the release of the information and penalty for unauthorized dissemination of information (Class A Misdemeanor).
Law Enforcement Officials or Prosecuting Attorney
1. Report child’s injuries or disabilities from abuse or neglect to Law Enforcement Authority, if appropriate.
2. Determine, based on specific case situations, to whom such information shall be supplied.
3. Share information including reporter’s name, if appropriate and necessary, to conduct a co-investigation.
  In any event, the Juvenile Officer must be notified.
4. Share any record with Law Enforcement or Prosecuting Attorney, including conclusions of Preponderance of Evidence, Probable Cause, Unsubstantiated reports, and Family Assessment cases.
Interdisciplinary/Multidisciplinary Teams
1. Investigative/Family Assessment Teams
  1. Share appropriate information, including reporter’s name, if appropriate and necessary, with team members without consent of subjects.
  2. Advise team members of confidentiality restrictions and penalties with respect to information they receive.
  3. Advise team members that information they provide may become available to client.
2. Treatment/Evaluation Teams
  1. Share information, including reporter’s name, if appropriate and necessary, with team members who are directly involved in the treatment of subjects without written consent of subjects.
  2. Unsubstantiated reports and Family Assessment cases may be provided to treatment teams with the consent of the parent, guardian or legal representative of the child.
  3. Advise team members of confidentiality restrictions and penalties with respect to information they receive.
  4. Advise team members that information they provide may become available to client.
3. Family Support Team
  1. Share appropriate information.
  2. Obtain signed confidentiality statement from each non-agency team member.
4. Child Fatality Review Panels
  1. Share all records including unsubstantiated reports and Family Assessment cases.
5. Domestic Violence Shelter/Service Providers
  1. Obtain signed release of information from the adult victim prior to sharing information with domestic violence service providers.
  2. Share information, if appropriate and necessary, with domestic violence service providers who are directly involved in the service of subjects, according to local procedures. These procedures should be sensitive to the need for shelter staff to protect the whereabouts of the victim by releasing information only to Children’s Services staff directly serving the child and/or adult victim. Suggestions include; developing positive working relationships, and establishing a code that can be used to identify staff to providers.
Multidisciplinary Provider

Share appropriate information, if provider of professional treatment services for a specified child, and is under contract with the Division. If provider is not under contract with the Division, obtain the parents’ permission to release information. Unsubstantiated and Family Assessment reports may only be shared with the consent of the parent, guardian, or legal representative of the child. During a Family Assessment, information may be shared without the parents’ permission.

Interstate Requests

Share appropriate information from preponderance of evidence or probable cause records without consent of subject with an out-of-state protective service agency if it can be determined that the information has been requested as the result of a report of CA/N and is necessary to determine the disposition of the investigation.

Unsubstantiated and Family Assessment records may not be shared.

Family histories or information regarding treatment with a particular client requires an authorization for release of information by the client. This does not apply to requests for studies for family resource providers or when the requesting agency provides a court order documenting that they have legal custody of the child.

Other CD Employees

Share with appropriate CD staff only that information which they must have to perform their specific duty (i.e., staff conducting administrative hearings, licensing staff, monitoring staff, legal staff, etc.)

Sharing is not to be done over lunch, coffee break, or in halls or elevators where names may be overheard by others.

Child Caring Facilities

Requests from the Chief Administrative Officers of facilities listed below for a CA/N review on any employee, volunteer or prospective employee or volunteer should be made in writing to the Deputy Director of Children’s Services. These screenings are conducted by the Background Screening and Investigation Unit (BSIU), based in Central Office. The response shall not include any identifying information regarding any person other than the alleged perpetrator.
1. Any child care home;
2. Any child care center;
3. Any child placing agency;
4. Any residential care facility, including group homes;
5. Juvenile Courts, public or private elementary schools, public or private secondary schools, or any other public or private agency exercising temporary supervision over a child or providing or having care or custody of a child.
6. Any state agency when that agency is following statute which requires a license of any person, institution, or agency which provides care for, or services to children.
7. Agencies or businesses which provide training, place or recommend persons for employment or volunteers, in positions where they will provide services or care for children.
Individual Requests – Child Care Facilities

Individuals may inquire regarding a specific child caring facility, child placing agency, residential care facility, public and private elementary and secondary schools, juvenile court, or other state agency. Information available is limited to the category of abuse/neglect, the conclusion (Preponderance of Evidence, Probable Cause or Reason to Suspect and Court Adjudicated only) and shall not include any identifying information pertaining to any person contained in the report. It is appropriate to release the above information regardless of whether the facility or an employee of the facility or school is named as perpetrator. Individuals will obtain this information from the local county office.

Individuals should be referred to Department of Health and Senior Services (DHSS) Child Care Licensing or the Residential Program Unit to review the public record on any licensed facility. In addition, Child Care Licensing through the DHSS, has resource and referral agencies which can supply information on child care facilities.

If an employer inquires about an employee who has a substantiated report, particularly asking for recommendations regarding personnel action, staff should tell the employer the Division does not make such recommendations and cannot discuss the report with them. Their employer should be referred to the Department of Health and Senior Services Child Care Licensing or Residential Program Unit staff.

Schools

Section 210.167 of the Child Abuse Law, states that when Section 167.031 RSMo. (mandatory school attendance) is violated, i.e., Preponderance of Evidence or Probable Cause Educational Neglect findings (or Family Assessment Services Needed) the following should occur:

Send Preponderance of Evidence, Probable Cause (and Family Assessment Services Needed) reports to the school district in which the child resides. The school district may refer public school violations of Section 167.031 to the prosecuting attorney.
1. Send a copy of the completed investigation (or Family Assessment) when educational neglect is the only basis for our involvement (with the reporter’s name blanked out); or
2. Send a summary of the completed report when the report involves other allegations and findings (omitting the reporter’s name).
Penalty for Unauthorized Dissemination of Information

For physicians, researchers, child care facilities, and persons inquiring about a child care facility, staff shall advise the requestor of the purpose for which the information is being released, that such information shall be used only for the purpose for which the information was released, and of the penalties for unauthorized dissemination of information (Class A Misdemeanor) Section 210.150.1 RSMo.

Chapter Memoranda History: (prior to 1/31/07)

Memoranda History: