14.22 Policy Violations | CWS

Georgia Division of Family and Children Services
Child Welfare Policy Manual

Chapter:

(14) Resource Development

Policy Title:

Policy Violations

Policy Number:

14.22

Previous Policy Number(s):

N/A

Effective Date:

April 2020

Manual Transmittal:

2020-04

Codes/References

N/A

Requirements

The Division of Family and Children Services (DFCS) will:

Make a Child Protective Services (CPS) report to the CPS Intake Communication Center (CICC) whenever there is concern that a policy violation(s) has been committed by a placement resource (family foster or adoptive home, kinship foster homes, foster care kinship placements and Child Caring Institutions (CCI)).

Complete a policy violation (PV) assessment involving a placement resource within 15 calendar days of the receipt of the intake report or the date the report of the violation was received to:

Conduct a comprehensive assessment of the allegations of the violation of policy; and
Determine whether a policy violation(s) is supported or unsupported.

PV assessments involving foster care kinship placements are completed by the Permanency SSCM. PV assessments involving Child Placement Agency (CPA) foster or adoptive homes and CCI are completed by their respected agencies within 15 calendar days of the DFCS notification of the PV assessment.

Monitor the completion of PV assessments conducted by a CCI and CPA via the Office of Provider Management (OPM) to ensure all allegations were adequately addressed and determine concurrence with the PV assessment findings.
Conduct a private face-to-face contact with the alleged victim child(ren) and any other children in DFCS custody who are placed in the home or facility within 24 hours of receipt of the intake report or the report of the violation.
Engage the following individuals face-to-face and privately to discuss the policy violation allegations, caregiver protective capacity and family functioning:
1. Alleged victim child(ren)
2. Other children placed in the home
3. Each caregiver
4. Each adult household member
Engage collateral contacts who can provide relevant information for assessing the policy violation(s) allegation.
Conduct a staffing within 48 hours following completion of a PV assessment to discuss the findings, including any observed deficiencies in caregiver protective capacity.
Develop and implement a corrective action plan (CAP) as a rehabilitative measure to address any PV within three business days of the PV staffing:
1. The CAP shall include the behavior/condition to be corrected, action steps, resources/service provision, and the date for completing each step.
2. The duration of a CAP can be for as short a period of time as necessary to accomplish the desired result but should not exceed six months
OPM serves as the final approval authority for any CAP related to a CPA family foster or adoptive home or a CCI.
Monitor a CAP to ensure all the objectives are completed and resulted in the desirable behavior change:
1. Make at least two monthly purposeful contacts (announced and unannounced) in the home with the caregiver.
2. Engage collateral contacts to assess service provision implemented as part of the CAP.
3. Make observations regarding the desired behavioral change or lack thereof.
4. Recognize and celebrate behavioral changes that reinforce the objectives.
5. Record the date all of the objectives of the CAP are completed.
Notify the State Office Caregiver Recruitment and Retention Unit (CRRU) within 10 calendar days of the completion of the PV assessment when the recommendation is to close a DFCS family foster or adoptive family home or foster care kinship placement in accordance with policy 6.11 Special Investigations: Special Investigations and Policy Violations Review Process.
Immediately make a CPS report if there is any known or suspected child maltreatment identified during a PV assessment (see policy 3.24 Intake: Mandated Reporters).
Document case activities in Georgia SHINES within 72 hours of completion.

Procedures

Social Services Case Manager

Provide notification of the assignment of the PV assessment to the:
1. Adoption Case Manager and Regional Adoption Coordinator (RAC) if the alleged PV involves a child for whom an Adoptive Placement Agreement has been signed, but the adoption has not yet been finalized; or
2. Child’s Permanency SSCM, if applicable.
Verify the foster home has been placed on “hold placements” status in the FAD stage of Georgia SHINES.

Not applicable for foster care kinship placements.
Analyze DFCS history of the caregivers and all the children placed in the home (if applicable) in accordance with policy 19.10 Case Management: Analyzing DFCS History.
Engage the child in a private face-to-face contact using age and developmentally appropriate language and questions, to assess and discuss:
1. The surrounding circumstances and sequence of events that led to the alleged PV:
  1. Policy violation allegation;
  2. What occurred;
  3. Who was present during the incident;
  4. When does this problem occur;
  5. Who was involved; Who was not involved;
  6. Who did what and when;
  7. What usually occurs prior to the problem;
  8. What did the caregiver say about the problem after it occurred; what did others say about the problem after it occurred;
  9. How did he/she feel leading up to, during and following the problematic issue/event; and/or
  10. Have there been similar situations or events when the caregiver(s) were able to manage without destructive behavior.
2. Any needs, concerns, or fears of the child;
3. Family relationships and role of each household member;
4. Physical, educational, medical, and mental health needs; and any services the child is receiving.
Conduct private face-to-face interviews with the caregivers and other adult household members.
1. Identify the developmental stage of the family (see policy 19.1 Case Management: Milestones for Case Organization) and any cultural or health issues that may impact the family’s developmental stage(s).
2. Identify the specific situation(s) that the family is having difficulty managing (i.e. the presenting problem).
3. Explore the surrounding circumstances and sequence of events that led to the alleged PV.
4. Assess the family’s interaction around the difficult situation(s):
  1. Identify any individuals that lose control and exhibit behaviors that interfere with the family’s ability to successfully manage everyday life tasks; explore any patterns related to their loss of control.
  2. Explore past exceptions in handling the difficult situation(s) when outcomes were more positive and did not result in a PV.
  3. Identify strengths (e.g. nurturing) and growth opportunities (e.g. unrealistic expectations of a child’s functioning).
5. Determine what prevention skills are needed to manage any high-risk behavior and relapse.
6. Identify the family’s support system and how it could help the family manage difficult situations and prevent the recurrence of problematic behavior (relapse prevention).
Take immediate action to control the identified safety threats, if the child is unsafe, in conjunction with the SSS:
1. Immediately contact CICC to make a CPS report (see policy 3.24 Intake: Mandated Reporters).
2. When the child is in the legal custody of DFCS:
  1. Contact the county with legal jurisdiction for approval to remove a child from a placement, if applicable; and
  2. Immediately remove the child from the placement.
    
    The written notification to caregivers for placement changes is waived when there is a safety threat (see policy 10.3 Foster Care: Changes in Placement).
3. When the child is in the legal custody of the caregiver(s), coordinate with CPS.
Observe the physical home environment, including every room in the home to determine if it is safe and appropriate to meet the needs of each child who reside in or placed in the home.
Engage collateral contacts that are knowledgeable of the PV allegations, child safety, caregiver protective capacities and family functioning in accordance with policy 19.16 Case Management: Collateral Contacts.
Consult the foster care or adoption SSCM for the children placed in the home to discuss the PV allegations, child safety, caregiver protective capacities and family functioning.
Re-interview individuals as necessary to clarify any discrepancies in statements.
Analyze the information gathered from the alleged victim(s), other household members, non-offending caregivers, and collateral sources.
Make a PV assessment determination in consultation with the SSS.
1. Submit the PV assessment to the RD SSS for approval in Georgia SHINES within 15 calendar days of receipt of the PV report.
2. Document the PV assessment under the Non-Compliance Tab in Georgia SHINES for foster homes.
3. Document the PV assessment for foster care kinship placements in Contacts/Summaries.
4. Upload all documents related to the PV assessment into External Documentation (e.g. law enforcement reports, medical records, school records, previous CAPs, etc.) within 72 hours of receipt.
Notify the following participants of the PV assessment staffing:
1. RD SSS, if a DFCS foster or adoptive home is involved.
2. Permanency or Adoption SSCM and SSS.
3. SSCM and SSS for any child placed with the placement resource, including other counties.
4. Kinship Coordinator, if a kinship foster home or foster care kinship placement is involved.
5. Regional Adoption Coordinator (RAC), if the PVA assessment involves a child for whom an Adoptive Placement Agreement has been signed.
6. Field Program Specialist (FPS), if applicable
Conduct a staffing within 48 hours of completing a PV assessment to discuss:
1. The assessment findings, including any observed deficiencies in caregiver protective capacity.
2. Whether the home meets criteria for closure (see policy 14.23 Resource Development: Home Closure).
3. Whether a home can remain a placement resource, if a foster care kinship placement.
4. The appropriateness of a waiver to achieve permanency for children in the home, if the home meets criteria for closure (see policy 14.23 Resource Development: Home Closure);
5. Whether there is a need to implement a CAP; and
6. Whether the home should remain open to new placements during the period of a CAP if the PV does not impact the safety and well-being of a child.
After supervisory approval of the PV assessment, discuss the following with the placement resource:
1. Whether the allegation(s) of a policy violation were supported or unsupported.
2. Whether a CAP will be implemented.
3. What, if any, service provision will be provided to support placement of children in the home (see policy 19.17 Case Management: Service Provision).
4. DFCS expectations regarding caregiver adherence to policy. Review any policy the caregiver may not clearly understand.
Develop and implement a CAP within three business days of the staffing of a PV assessment when it is determined that the policy violation is supported:
1. The CAP shall include:
  1. The behavior or condition to be corrected;
  2. The action steps that will be taken to complete the corrective action;
  3. The resources or service provision that will be used to support the action steps; and
  4. The date for completing each step. All steps are to be completed no later than six months from the date the CAP is approved.
2. Determine whether to place the foster or adoptive home on hold in Georgia SHINES while the CAP is in place.
  
  Foster care kinship placements cannot be placed on hold in Georgia SHINES however a decision may be made whether additional placements can be made during the CAP period.
Monitor the CAP
1. Make at least two face-to-face purposeful contacts (announced and unannounced) in the caregiver’s home during the corrective action period.
2. Interview the caregiver and children during visits.
3. Engage collateral contacts to assess service provision implemented as part of the CAP in accordance with policy 19.16 Case Management: Collateral Contacts.
4. Make observations regarding the desired behavioral change or lack thereof.
5. Record the date all of the objectives of the CAP are completed.
  
  The duration of a CAP can be for as short a period of time as necessary to accomplish the desired result but should not exceed six months.
Document case activities in Georgia SHINES within 72 hours of completion

Social Services Supervisor

Assign a PV assessment to a SSCM with the knowledge and skills to perform a thorough, unbiased assessment. In some instances, this may not be a SSCM currently working with the children or caregiver involved (see Practice Guidance: Conflicts of Interest in Policy Violation Assessments).
Ensure the foster home has been placed on “hold placements” status in the FAD stage of Georgia SHINES.

Not applicable for foster care kinship placements.
Ensure a comprehensive PV assessment is conducted, including:
1. Purposeful contacts conducted with the alleged victim child within 24 hours of receipt of the report.
2. Caregivers and household members are engaged regarding the alleged PV.
3. Relevant collateral contacts are conducted in accordance with policy 19.16 Case Management: Collateral Contacts.
In consultation with the SSCM, determine if additional information or interviews are needed to assess caregiver capacity and/or ensure child safety and well-being.
Conduct a supervisor staffing with the SSCM to make a PV assessment determination in accordance with policy 19.6 Case Management: Supervisor Staffing.
Review the PV assessment and verify that all documentation related to a PV assessment is completed and submitted prior to the PV staffing to ensure it supports what is presented during the PV staffing.
Schedule a meeting with the assigned SSCM and caregiver to discuss the policy violation and develop a CAP which must be agreed upon and signed by all participants.
If closure of a home is being recommended, notify the State Office Caregiver Recruitment and Retention Unit (CRRU) within 10 calendar days of the completion of the PV assessment in accordance with policy 6.11 Special Investigations: Special Investigations and Policy Violations Review Process.
During the CAP period:
1. Ensure purposeful contact with the caregiver(s) are conducted as required.
2. Review the case documentation to ensure it supports the objectives are being met.
3. Ensure providers are contacted to evaluate service provision, when services are implemented as part of the CAP.
4. Discuss with the SSCM any concerns about the caregiver’s progress toward meeting the CAP objectives and offer guidance on assisting the caregiver with achieving the objectives and enhancing the caregiver’s protective capacities.
5. During monthly supervisor staffing discuss the progress the caregiver(s) have made toward the CAP objectives.
Approve the removal of the “hold placements” designation in Georgia SHINES for any applicable foster home upon satisfactory completion of the CAP.

Policy Violation Assessment Involving CPA or CCI

The CPA or CCI will:

Document the alleged PV according to approved protocol and initiate a PV assessment within 24 hours of receiving notification. This includes making face-to-face contact with the foster parents or facility staff and any child impacted by the alleged PV.
Complete the PV assessment within 15 calendar days of assignment and forward the documented results to OPM within 48 hours of completion of the assessment.
Address any issues or concerns raised by OPM regarding the policy violation assessment within 72 hours of notification.
Develop a CAP with the input of the placement resource and any DFCS SSCM with a child placed in the foster home or facility.
Submit the CAP to OPM within 72 hours of receiving the request from OPM.
Monitor the placement resource’s compliance with a CAP and ensure all CAP requirements are fulfilled within six months.
Notify OPM when a CAP is satisfactorily completed and request the “hold placements” designation regarding the foster home or facility be removed.
Notify OPM of the closure of a foster home or facility if a CAP is not satisfactorily completed.

The OPM staff will:

Immediately review the report of any alleged PV to confirm the allegation(s) require a PV assessment and assign the PV assessment to a CPA/CCI.
Place the CPA family foster home on hold in Georgia SHINES to prevent additional placements from occurring during the PV assessment process.
Collaborate with the CPA/CCI as needed to ensure a thorough assessment is completed within 15 calendar days of OPM notification.
As warranted, request to review the CPA’s or CCI’s own records of previous violations (i.e., PVs, or standards violations) and compare this information to what is known to OPM.
Review the PV assessment for concurrence within 10 calendar days of receiving the completed PV assessment:
1. Ensure all allegations were adequately addressed.
2. Determine concurrence with the PV assessment findings and if any proposed CAP is adequate to remedy the identified policy violation(s):
  1. If the allegations were unsupported, and OPM concurs with the findings, no further action is required from the CPA/CCI.
  2. If the allegations were supported and closure of the foster home is not indicated, review the proposed CAP to determine if it is adequate to remedy the identified policy violation(s).
    
    If a CAP was not submitted with the PV assessment, request the CPA/CCI complete a CAP and submit it to OPM for final approval.
  3. If OPM does not concur with the assessment findings or has issues/concerns regarding the assessment or proposed CAP, request the CPA/CCI address any issues/concerns within 72 hours and resubmit to OPM for concurrence.
3. Notify the CPA/CCI whether or not OPM concurs with the PV assessment.
Determine if the placement resource will be placed on hold during the CAP period, if applicable. A CCI may be placed on hold for further admissions, if warranted.
Notify the State Adoption Unit of a supported PV involving a child with a permanency plan of adoption and provide a copy of the PV assessment and related CAPs.
Document the PV assessment and any corresponding CAP into Georgia SHINES within 72 hours of completion including uploading relevant documents into External Documentation.
Discontinue utilizing the home as a placement resource for children in DFCS custody and relocate the children if:
1. There is an identified threat to the safety of a child;
2. The family has committed a second policy violation; and/or
3. The family is not amenable to change, correction, or corrective intervention (i.e., refuses to cooperate with the assessment process or refuses to sign a CAP).
Document the completion date of the CAP within 72 hours of receipt of the information from the CPA/CCI.
For CCIs, document all Standards violations and any corresponding CAP.
Decide whether a CPA/CCI foster family may be removed from hold status.
Notify the appropriate DFCS staff (SSCM, SSS, etc.) when the PV assessment is complete and available for review.

Practice Guidance

What are Policy Violations?

Policy Violations are actions performed by an approved caregiver (DFCS or CPA Family Foster Home, Foster Care Kinship Placement, or CCI), that may breach any DFCS Safety and Quality Standard, Foster Parent Manual, RBWO Minimum Standards or other DFCS policy, but do not constitute child abuse. Violations generally fall into one of the categories below:

Actions that pose an immediate or potential threat to the safety or well-being of the child in care. These may include, but are not limited to, inappropriate disciplinary measures (both physical/corporal and emotional), violations of supervision, or any other safety requirements.
Actions that do not pose a direct or immediate risk to the safety and well-being of the child. These may include the following or similar infractions:
1. Failure to complete required hours of annual Continued Parent Development (CPD);
2. Inappropriate utilization of an approved home (see policy 14.1 Resource Development: Safety and Quality Standards);
3. Failure to cooperate with or assume a partnership role with the agency in meeting the needs of the child;
4. Inappropriate disclosure of confidential information regarding the child;
5. Inappropriate use of acceptable disciplinary practices (e.g., extended periods of time out, etc.); and
6. Inappropriate assignment of chores or work responsibilities.

Tips for Preparing to Conduct a Policy Violation Assessment

Review prior history of policy violations or CPS complaints regarding the caregiver.
Review the child’s history in order to gain a thorough understanding of the child’s needs and the caregiver capacity necessary to meet those needs.
Review the initial family evaluation on the foster home to confirm that the type of children placed in the home match what the caregivers indicated on the Caregiver Placement Preferences.
Review the Kinship Assessment on a foster care kinship placement that is not an approved foster home.
Determine if assistance is needed from the Permanency or Adoption Case Manager to interview the children.
Determine if any of the children have special needs that will impact the interview process (e.g. speech impairment, etc.).
Determine the need for interpretation services for non-English speaking individuals or auxiliary aids for sensory impaired individuals (see policy 1.5 Administration: Americans with Disabilities Act (ADA)/Section 504 and Reasonable Modifications).
Determine if the concerns that are reported call for the child to be interviewed away from the home.

Conflicts of Interest in Policy Violation Assessments

To avoid conflicts of interest a PV assessment could be conducted by an SSCM and SSS without primary case management responsibilities or from outside the county in which the home or resource is located. It is permissible for the County Department where the resource or home is located or with primary case management responsibilities to initiate the PV assessment to ensure child safety when a SSCM from the other County Department is not readily available.

Policy Violations May Lead to Closure of a Foster Home

While generally less severe than an allegation of child abuse, a policy violation may be sufficient grounds for closing a foster home or may require other action. Unless policy requires a home to be closed, the County Director should consider the following factors in determining whether or not to allow an approved DFCS foster home to remain open:

Severity of the incident;
Parenting practices demonstrated by the caregivers;
Prior placement disruptions experienced by the foster parent or child;
Willingness of the caregivers to embrace alternative approaches to correct the problem or change the undesirable behavior (e.g., training or counseling);
Quality of the relationship between the caregivers and the child in care; and
Caregivers’ demonstration of increased protective capacity as a result of satisfactory completion of a CAP.

These factors should also be considered when implementing a CAP with the family.

Corrective Action Plan (CAP)

The purpose of a CAP is to support caregivers in the development and utilization of acceptable methods of meeting the needs of children in care and to clarify the agency and the caregiver’s role in preventing further policy violations, thus ensuring the safety and well-being of the child in the home. The CAP serves as a supportive rather than a punitive intervention. It is implemented following a PV that has been supported and must:

Identify the issues to be addressed;
Set forth the steps for taking corrective action;
Identify any assistance or resources that will be utilized to complete the action steps; and
Specify dates for completing each step. All steps are to be completed no later than six months from the date the CAP is approved.

After working with the family to define problems as difficult situations in everyday life, the RD or SSCM utilizes the CAP as a tool to build a partnership for change with the caregivers. RD Case Managers are primarily responsible for monitoring CAPs in DFCS Foster Homes. Permanency Case Managers are primarily responsible for reporting compliance with CAPS in DFCS family foster homes as well as managing CAPS involving foster care kinship caregivers who are not approved foster homes. CPA staff is responsible for monitoring CAPS in CPA Foster Homes. OPM staff is primarily responsible for monitoring CAPS in CCIs. Results should be measurable, tangible, time-limited, and documented in Georgia SHINES. The plan may be adjusted if needed but should be completed within six months. IMPACT modules may be used as a part of the CAP.

CAPs are mutually developed with the involvement of the foster parent(s), kinship caregivers, licensing/approving authority, and DFCS staff responsible for the children residing in the placement resource. Other parties (e.g., child service providers, etc.) may also participate in the development of a CAP. The CAP should be signed by the applicable agency monitor (i.e., RD/Permanency Case Manager, CPA staff, or OPM staff) and both caregivers (if applicable). The CAP must be approved and signed by the applicable agency director or designee (i.e., DFCS County Director, CPA Director, or OPM Director) to ensure that liability and safety issues have been adequately addressed. The caregivers and DFCS staff responsible for the children placed in the home should always be given a copy of the CAP. Unannounced visits may be required as a component of a CAP. The CAP is not used as a safety plan for foster parents. If the safety of children in a home is an issue, action should be taken to expedite their removal and consideration given to closure of the foster home.

Residential Child Care (RCC)

RCC is part of the Office of the Inspector General. RCC inspects, monitors, and licenses Child Caring Institutions (CCI), Child Placing Agencies (CPA), Outdoor Child Caring Programs, Children’s Transitional Care Centers, and Maternity Homes.

Forms and Tools

Policy Violation and Corrective Action Plan Facts