19.26 Case Management Involving Substance Abuse or Use

Georgia State Seal

Georgia Division of Family and Children Services
Child Welfare Policy Manual

Chapter:

(19) Case Management

Policy Title:

Case Management Involving Substance Abuse or Use

Policy Number:

19.26

Previous Policy Number(s):

N/A

Effective Date:

June 2023

Manual Transmittal:

2023-04

Codes/References

O.C.G.A. § 15-11-2 Definitions
O.C.G.A. § 15-11-30 Rights and Duties of Legal Custodian
O.C.G.A. § 15-11-70 Establishment of Family Treatment Court Division
O.C.G.A. § 15-11-101 Medical and Psychological Evaluation Orders When Investigating Child Abuse and Neglect
O.C.G.A. § 15-11-181 Adjudication Hearing
O.C.G.A. § 15-11-212(f) Disposition of Dependent Child
O.C.G.A. § 19-7-5 Reporting of Child Abuse and Neglect
O.C.G.A. § 49-5-8 Powers and Duties of Department of Human Services
O.C.G.A. § 49-5-41 Persons and Agencies Permitted to Access Records
45 CFR Parts 1355.38(a)(5), 1356.21(b)(3)(i), 1356.21(d), 1356.21(k), and 1356.67
Title IV-E of the Social Security Act §§ 471(a)(15)(D), 472(a)(1), and 472(f)
Title II of the Americans with Disabilities Act of 1990, as amended (ADA) Section 504 of the Rehabilitation Act of 1973
Section 1557 of the Affordable Care Act
Child Abuse and Treatment Prevention Act (CAPTA)
Public Law 104-191 Health Insurance Portability and Accountability Act (HIPAA) of 1996
J.J. v. Ledbetter-Release of Information of Confidential Records

Requirements

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

  1. Assess whether parent/guardian/legal custodians’ and other adult household members’ substance or alcohol use impacts family functioning and child safety throughout the life of DFCS involvement with a family (see policy 19.13 Case Management: Family Functioning Assessment).

    1. Screen all parent/guardian/legal custodian(s) and other household members when substance and/or alcohol use is alleged, suspected or confirmed to adversely impact family functioning (see Practice Guidance: CAGE Questionnaire).

    2. Conduct drug screens to assess and monitor substance use.

    3. Refer the parent/guardian/legal custodian(s) and other adult household members for a substance use disorder assessment when substance or alcohol use is suspected or confirmed.

    4. Engage collateral contacts to assess the impact of substance and alcohol use on the parent/guardian/legal custodian(s) protective capacities and child safety and monitor participation in the recovery supported services.

  2. Seek guidance from the DFCS Child Welfare Regional ADA Coordinator when needed, to determine whether parent(s), guardian(s), or legal custodian(s) with a history of alcohol and/or substance use disorders may qualify as individuals with a disability under the Americans with Disabilities Act (ADA) and other federal and state laws. The DFCS Statewide ADA Coordinator is also available as needed.

    Refer to the following policies for further information: MAN3600: 3601 Americans with Disabilities Act and Section 504 of the Rehabilitation Act; MAN3700: 3701 Civil Rights; 1.4 Administration: Non-Discriminatory Child Welfare Practices; 1.5 Administration: Americans with Disabilities Act (ADA)/Section 504 and Reasonable Modifications. Refer also to Practice Guidance: Considerations for Substance Abuse and Specific Populations: ADA and Substance Use Disorders.
  3. Assess and address the health and substance use disorder needs of infants, parent/guardian/legal custodian(s) and family members when prenatal abuse has been alleged or confirmed to develop a plan of safe care:

    1. Conduct a purposeful contact with the mother and infant at the hospital (if the infant has not been discharged) or at the family’s home (if the infant has been discharged) in conjunction with the timeframe assigned for the Initial Safety Assessment (see policy 4.2 Initial Safety Assessment: Conducting the Initial Safety Assessment and 4.3 Initial Safety Assessment: Purposeful Contacts During the Initial Safety Assessment).

      If the initial contact was at the hospital, make an additional purposeful contact at the family’s home within 72 hours of the infant’s discharge.
    2. Discuss with the hospital and other medical providers the health care needs of the mother and infant. Obtain the mother’s and infant’s medical records.

    3. Assess the needs of the other children and family members in the home.

    4. Refer the mother and any other adult household members as applicable, for a substance use disorder assessment.

    5. Discuss and address infant safe to sleep in accordance with the Infant Safe to Sleep Guidelines and Protocol in Forms and Tools.

    6. Refer the infant and other children in the home under the age of three to Children 1st/Babies Can’t Wait for a developmental screening.

    7. Develop a Plan of Safe Care to address the health and substance use disorder needs of the infant and affected family or parent/guardian/legal custodian in accordance with policy 19.27 Case Management: Plan of Safe Care for Infants Prenatally Exposed to Substances or a Fetal Alcohol Spectrum Disorder (FASD).

  4. Work collaboratively with providers to support the parent/guardian/legal custodian(s) in accessing clinical treatment and supportive services based on the recommendations from the substance and/or alcohol use assessment. Coordinate and maintain regular contact with providers to ensure timely access to services and a continuum of services.

  5. Refer and coordinate services with family treatment courts (see policy 19.24 Case Management: Family Treatment Court) or dependency drug courts, as applicable to the standards of the jurisdiction.

  6. Develop a relapse plan collaboratively with the family, substance and/or alcohol use providers, medical providers, and other providers.

  7. Seek court intervention when there is parent/guardian/legal custodian substance or alcohol use, and child safety cannot be assured.

  8. Review court orders to determine if there are specified case plan requirements related to the parent/guardian/legal custodian’s substance use.

    If a child is adjudicated as a dependent child and the dependency is found by the court to have been the result of substance abuse by his or her parent, guardian, or legal custodian and the court orders transfer of temporary legal custody of such child, the court shall be authorized to further order that legal custody of such child may not be transferred back to his or her parent, guardian, or legal custodian unless such parent, guardian, or legal custodian undergoes substance abuse treatment and random substance abuse screenings and those screenings remain negative for a period of no less than 12 consecutive months; or, successfully completes programming through a family treatment court division (see policy 19.24 Case Management: Family Treatment Court and 17.7 Legal: Dependency Resulting from Substance Abuse for specific requirements and procedures to follow in such cases).
  9. Ensure any substance use disorder treatment recommendations related to child safety, permanency or wellbeing, are incorporated into the family plan or case plan in accordance with policy 10.23 Foster Care: Case Planning and 8.3 Family Preservation Services: Case Planning.

  10. Ensure that prior to closure of any case that involves parent/guardian/legal custodian substance abuse:

    1. Collateral contacts and direct observations of the parent/guardian/legal custodian behavioral changes indicate enhanced parent/guardian/legal custodian protective capacity and his/her ability to provide care and protection of the child.

    2. The parent/guardian/legal custodian completes a substance abuse assessment and treatment recommendation(s) to mitigate any safety concerns identified; and a relapse plan that addresses child safety is in place.

    3. Document justification of the following if the parent/guardian/legal custodian does not complete recommended substance abuse assessment and/or treatment recommended:

      1. Confirmation from multiple sources (formal and informal) that:

        1. The parent/guardian/legal custodian’s substance use does not have an impact on child safety and parent/guardian/legal custodian protective capacities;

        2. The parent/guardian/legal custodian can meet the needs of the child(ren) on an ongoing basis.

      2. A relapse plan is in place that address child safety.

      3. Juvenile Court intervention is sought when it is determined that the parent/guardian/legal custodian is continuing to abuse substances and cannot ensure the safety of the child(ren);

      4. The Social Services Administrator or County Director/Designee has provided approval for case closure.

  11. Adhere to confidentiality and HIPAA provisions outlined in policies 2.6 Information Management: Confidentiality/Safeguarding Information and 2.5 Information Management: Health Insurance Portability and Accountability Act. Obtain a signed Authorization for Release of Information (ROI) to facilitate sharing of information, when applicable.

  12. Document all case activities in Georgia SHINES within 72 hours of occurrence.

Procedures

Social Services Case Manager

  1. Conduct purposeful contacts to assess the needs of the child, parent/guardian/legal custodian and other household members:

    1. When prenatal abuse is alleged or confirmed:

      1. Conduct the initial contact in conjunction with the timeframe assigned for the Initial Safety Assessment to assess the health, developmental and substance use disorder needs of the infant and the mother and to plan for the infant’s discharge (see policy 4.2 Initial Safety Assessment: Conducting the Initial Safety Assessment). If the infant is in the hospital at the time of assignment, every effort must be made to visit the child at the hospital.

      2. Conduct a home visit within 72 hours of the infant’s hospital discharge from the hospital to assess the safety and wellbeing of the infant, including whether the family is prepared for the child.

    2. Observe for physical indications of substance or alcohol use (see Practice Guidance: Substance Use Screening and Assessment - Observing/Documenting Behavioral and Environmental Indicators of Substance Abuse).

    3. Observe the home environment for indicators of substance or alcohol use (see Practice Guidance: Substance Use Screening and Assessment - Observing/Documenting Behavioral and Environmental Indicators of Substance Abuse).

    4. Engage the parent/guardian/legal custodian and other adult household members regarding current and past substance and/or alcohol use (see Practice Guidance: Substance Use Disorders. Also, see Forms and Tools: Factors Influencing Potential for Substance Use and Helpful Questions when Assessing for Substance or Alcohol Use).

      1. Use the CAGE Questionnaire to screen for substance and/or alcohol use (see Practice Guidance: CAGE Questionnaire).

      2. Determine if he/she acknowledge problems with substance or alcohol use (see Practice Guidance: Considerations for Substance Abuse and Specific Populations).

      3. Obtain information regarding the type(s) of substance or alcohol used duration and frequency of use.

      4. Determine if he/she has a current or previous diagnosis of a substance or alcohol use disorder and if he/she is participating or has participated in substance and/or alcohol use treatment. Obtain information regarding:

        1. The current or previous treatment program (i.e., individual and group counseling, inpatient and residential treatment, intensive outpatient treatment, medication, 12-step fellowship, etc.).

        2. The type of treatment modality (i.e., Cognitive Behavioral Therapy, Dialectical Behavioral Therapy, Eye Movement Desensitization and Reprocessing (EMDR), Seeking Safety (trauma informed, etc.).

        3. The outcomes of the treatment.

        4. What worked and did not work.

      5. Explore his/her concerns and willingness to complete a substance use disorder assessment, if not already in treatment (see Practice Guidance: Trauma and Substance Use Disorders).

      6. Build consensus regarding:

        1. How his/her substance use impacts child safety and family functioning;

        2. The impact of prenatal substance use on the health and development of the infant, if prenatal abuse is alleged or confirmed;

        3. The benefits of completing an alcohol or substance use disorder assessment, if applicable.

      7. Determine whether the parent/guardian/legal custodian and other family members can protect and meet the needs of the children in the home.

      8. Obtain a signed Authorization for Release of Information (ROI) to facilitate sharing of information with providers, when applicable.

  2. Engage children in an age appropriate manner regarding parent/guardian/legal custodian or other adult household member substance and alcohol use (see Practice Guidance: Talking to Children about Parental Substance Use).

  3. Engage substance use treatment providers regarding the treatment if the parent/guardian/legal custodian or other adult household members is/was in treatment. Obtain substance use disorder assessments, treatment information, relevant medical records, etc.

  4. Engage the family treatment court in accordance with policy 19.24 Case Management: Family Treatment Court, to coordinate:

    1. Access to trauma-informed, culturally appropriate and evidenced-based clinical treatment services (i.e., psychotherapy, psychopharmacology, appropriate level of care, etc.) for the parent/guardian/legal custodian

    2. Integrated services for co-occurring disorders (see Practice Guidance: Co-occurring Disorders)

    3. Drug screening

    4. Recovery support services

    5. Neurological, physical, social-emotional, behavioral, cognitive and trauma assessments and treatment services for children

    6. Placement of children with parent/guardian/legal custodian in substance use disorder treatment programs, when appropriate

    7. Connection to community-based support programs (i.e., housing, employment, childcare, etc.)

    8. Development of the Plan of Safe Care

    9. Child welfare family plans and family treatment plans

    10. Sharing relevant family information

    11. Addressing of concerns and celebrating parent/guardian/legal custodian progress or lack of progress

  5. Engage collateral contacts regarding their observations of physical and behavioral indications of substance and alcohol use (see policy 19.16 Case Management: Collateral Contacts).

  6. Refer the parent/guardian/legal custodian and other adult household members for a drug screen as part of the comprehensive assessment in accordance with policy 19.25 Case Management: Drug Screens.

  7. In conjunction with the Social Services Supervisor (SSS), analyze the information gathered to determine the need for a referral for a substance and/or alcohol use assessment and make applicable referrals in accordance with policy 19.17 Case Management: Service Provision. (Also see Practice Guidance: Warm Hand-off in policy 19.17 Case Management: Service Provision).

  8. Assess the health and substance use disorder needs of infants and other children in the household, when prenatal abuse is alleged or confirmed:

    1. Determine whether the parent/guardian/legal custodian has selected a pediatrician or healthcare provider for the infant and request the date of the first health check for the infant.

    2. Contact the infant’s medical provider(s) to obtain information regarding any diagnosis, prognosis and medical care needs to assist in determining the specific care needs of the infant.

    3. Contact the medical providers of the other children in the home to obtain information regarding any diagnosis, prognosis and medical care needs to assist in determining the specific care needs.

    4. Obtain the medical records and any other pertinent information from medical providers e.g., hospital records, occupational therapy, pediatrician, neonatologist, discharge plan, growth chart.

    5. Submit the Children 1st Referral and Screening Form in Georgia SHINES for the infant and other children under the age of three to have a developmental screening and assessment in accordance with policy 19.28 Case Management: Children 1st and Babies Can’t Wait.

  9. Obtain a copy of the substance/alcohol use assessments from the provider:

    1. Review the assessment findings and recommendations to determine whether additional clarification is needed and determine whether services are needed.

    2. Contact the provider to discuss the findings, recommendations, clarify any concerns, etc. If the recommendations do not include substance or alcohol use treatment services when collaterals or relevant evidence (i.e., DUIs, drug paraphernalia, etc.) suggests a substance or alcohol use disorder, discuss the reason for not recommending services to ensure that all relevant information has been shared.

    3. Review the findings with the SSS and obtain input regarding strategies to motivate and build consensus with the parent/guardian/legal custodian regarding adhering to the recommendations.

    4. Discuss the findings and recommendations with the parent/guardian/legal custodian or other adult household member, in conjunction with the assessment provider.

      1. If the recommendations include substance use treatment services discuss:

        1. The benefits of participation in treatment or other related services recommended to mitigate safety threats to the child(ren) and to promote a lifestyle in recovery for the entire family.

        2. The recommended and available treatment providers, type and modality, if he/she is not already in a treatment program (see Practice Guidance: Substance Use Treatment Services).

        3. Any parent/guardian/legal custodian’s concerns and ambivalence regarding seeking treatment (see Forms and Tools: Responding to Parent/Guardian/Legal Custodian Resistance).

        4. The support that the SSCM can provide in selecting a treatment resource (see Practice Guidance: Detoxification, Substance Use Treatment Services, Substance Use Screening and Assessment - Medication Assisted Treatment, Women Treatment and Recovery Services (WTRS) – For Cases Involving Prenatal Abuse, and Forms and Tools: Self Help, Peer Support and Consumer Groups).

      2. If there are no recommendations for substance use treatment, discuss:

        1. Referring the parent/guardian/legal custodian(s) to other clinical treatment, as applicable (i.e., substance use education, medical care, mental health services).

        2. Providing and/or referring the parent/guardian/legal custodian(s) for clinical supportive services (i.e., life skills training, parenting and child development education, employment readiness, housing support, legal services).

        3. Referring the parent/guardian/legal custodian(s) to community supportive services (i.e., child care, transportation, TANF, vocational and education services, and connections to faith-based organizations).

      3. Discuss the need for the development of a Plan of Safe Care to address the needs of the infant, parent/guardian/legal custodian and other family members, when prenatal abuse has been alleged or confirmed.

  10. Refer the parent/guardian/legal custodian and other family members for substance use disorder treatment and/or other recommended services outlined in the substance use disorder assessment, in accordance with policy 19.17 Case Management: Service Provision. This may also include clinical treatment (i.e., detoxification, crisis intervention, treatment planning, substance use counseling and education, medical care, mental health services and pharmacotherapy); clinical supportive services; and community supportive services.

  11. Develop a Plan of Safe Care to address the health and substance use disorder needs of the infant, parent/guardian/legal custodian and affected family in accordance with policy 19.27 Case Management: Developing the Plan of Safe Care for Infants Prenatally Exposed to Substances of a Fetal Alcohol Spectrum Disorder (FASD).

  12. Support and evaluate the parent/guardian/legal custodian’s progress towards recovery goals (see Practice Guidance: Evaluating Progress Towards Recovery and Case Plan Outcomes):

    1. Engage treatment providers to evaluate parent/guardian/legal custodian participation and progress in accordance with policy 19.17 Case Management: Service Provision.

    2. Engage the parent(s)/guardian(s)/legal custodian(s), children and other household members during ongoing purposeful contacts to provide support and determine if the parent/guardian/legal custodian has demonstrated specific behavioral, emotional and cognitive changes that supports progress in recovery. This includes assessing behavioral and environmental indicators (see Practice Guidance: Substance Use Screening and Assessment - Observing/Documenting Behavioral and Environmental Indicators of Substance Abuse).

    3. Conduct collateral contacts in accordance with policy 19.16 Case Management: Collateral Contacts.

    4. Refer/obtain random drug screens in accordance with policy 19.25 Case Management: Drug Screens.

    5. Engage the parent/guardian/legal custodian and his/her support system to ensure they remain committed to the recovery goals and the relapse plan (see Practice Guidance: Lapse vs. Relapse and Relapse and Relapse Planning).

    6. Participate in joint meetings with the parent/guardian/legal custodian, treatment providers and medical providers (as applicable) to address:

      1. The continuity of services;

      2. The parent/guardian/legal custodian’s progress in achieving and demonstrating the recovery goals;

      3. The development or modification of the relapse plan to ensure the safety of the child should a relapse occur;

      4. The lack of progress or failure to participate in treatment;

      5. Additional supports needed to sustain and support the parent/guardian/legal custodian as he/she continues his/her recovery.

  13. When the parent/guardian/legal custodian is not willing to submit to substance and alcohol use assessments and/or comply with treatment recommendations.

    1. Explore the reasons for him/her not wanting to participate in services including any ambivalence (see Forms and Tools: Motivation Through the Stages of Change and Responding to Parent/Guardian/Legal Custodian Resistance).

    2. Make every effort to build consensus regarding:

      1. How the parent/guardian/legal custodian’s substance use impacts child safety and family functioning;

      2. The benefits of treatment and any other recommended services, if applicable.

    3. Determine the capacity of the parent/guardian/legal custodians and other family members to protect and meet the needs of the children in the home.

    4. In conjunction with the SSS, make a child safety determination in accordance with policy 19.11 Case Management: Safety Assessment and take the necessary steps to ensure child safety (see policy 19.12 Case Management: Safety Plan & Management), including seeking court intervention, when appropriate (see policy 17.1 Legal: The Juvenile Court Process).

  14. During monthly supervisor staffings discuss the parent/guardian/legal custodian’s progress on their recovery goals and any changes in family functioning and child safety (see Practice Guidance: Recovery, Recovery Supports, and Cultural Awareness and Competency.

  15. Consider case closure when:

    1. The parent/guardian/legal custodian demonstrates:

      1. He/she can remain substance free evidenced by the successful completion of the substance and alcohol treatment plan and negative drug screens.

      2. Psychosocial behaviors associated with the recovery process; and

      3. Behaviors that indicate his/her ability to ensure the safety of the children.

    2. Collaterals confirm that the parent/guardian/legal custodian exhibits protective capacities that can mitigate safety threats to the children.

  16. Ensure that prior to case closure the family is connected to services to support recovery and that a viable relapse plan is in place (see Practice Guidance: Transition Planning, Aftercare and Recovery Services).

  17. Ensure that prior to closure of any case that involves parent/guardian/legal custodian substance use, and the parent/guardian/legal custodian(s) does not complete a recommended substance use disorder assessment and/or the treatment (see Practice Guidance: Closing a Case When SUD Treatment Recommendations Are Not Followed).

    1. Thoroughly evaluate the family conditions to ensure that the parent/guardian/legal custodian is able to adequately meet his/her child(ren)'s basic needs.

    2. Discuss the following with the substance abuse assessor and/or substance abuse treatment provider:

      1. Individual areas of the assessment recommendations or treatment that the parent/guardian/legal custodian did not successfully complete;

      2. Results of any recent drug screens, if applicable;

      3. What impact not completing the assessment or treatment recommendations have on the parent/guardian/legal custodian’s protective capacities and his/her ability to provide for the safety and well-being needs for the child(ren);

      4. The potential for relapse; and whether a relapse plan was developed;

      5. Any other specific concerns related to the parent/guardian/legal custodian and their ability to care for his/her child(ren).

    3. Contact professional and personal collaterals to gather information related to the parent/guardian/legal custodian’s ability to provide adequate care and protection for the child(ren). Confirm any behavioral or psychological changes observed.

    4. Interview the child(ren) (as age and developmentally appropriate) and other household members to discuss the parent/guardian/legal custodian’s behavior when in the home;

    5. Observe the interactions between the parent/guardian/legal custodian and the child(ren) and other household members, and observe home conditions to evaluate indication of ongoing substance use/abuse;

    6. Discuss and evaluate the relapse plan with the parent/guardian/legal custodian and his/her support system that is identified in the plan to confirm willingness to participate and the viability of the relapse plan.

    7. Determine if the children are safe in accordance with policy 19.11 Case Management: Safety Assessment.

    8. Staff with the SSS to discuss next steps based on the assessment of the parent/guardian/legal custodian in accordance with policy 19.6 Case Management: Supervisor Staffing.

    9. Staff with the SSA/CD if the SSS and SSCM determine that case can be closed based on resolution of all safety concerns. Document the results of the staffing in Georgia SHINES to include:

      1. The basis for determination that all safety issues have been addressed including justification of the decision to close the case without the parent/guardian/legal custodian completion of the substance abuse assessment or treatment recommendations in Georgia SHINES.

      2. The SSA/CD approval of the decision to close the case.

      3. Actions needed if the case cannot be closed due to child safety concerns.

    10. Complete a Legal Action Request as necessary to obtain Juvenile Court assistance and oversight, if the information obtained from collateral contacts, interviews and observations of family members indicate that substance use/abuse issues still exist, and the parent/guardian/legal custodian is unwilling to cooperate with substance abuse assessment/treatment.

  18. Document all activities in Georgia SHINES within 72 hours of occurrence including:

    1. Any observed or reported behavioral changes that indicate enhanced parent/guardian/legal custodian protective capacities and family functioning, or lack thereof;

    2. The parent/guardian/legal custodian’s protective capacities related to their recovery goals and family functioning;

    3. Upload to External Documentation, signed ROIs, referral forms, substance use disorder assessment, treatment reports, Plans of Safe Care, etc.

Social Services Supervisor

  1. Analyze and discuss with the SSCM the assessment of family functioning to determine how to proceed. This includes review the assessment to ensure that it is consistent with the discussions with the SSCM. Provide guidance regarding the assessment findings and strategies the SSCM can use to motivate the parent/guardian/legal custodian to participate in treatment.

  2. Discuss recommendations by the parent/guardian/legal custodian, SSCM, substance use treatment provider, and applicable medical provider, to reassess or modify the treatment plan.

  3. Ensure that the health and substance use disorder needs of infants, parent/guardian/legal custodian(s) and family are assessed and addressed in the Plan of Safe Care when prenatal abuse is identified.

  4. Discuss during the monthly staffing case progress, barriers to progress, case management tasks and progress, collaborative service delivery, and client response to targeted interventions (see policy 19.6 Case Management: Supervisor Staffing). Review Georgia SHINES case documentation and External Documentation to evaluate progress.

  5. Discuss strategies to motivate parent/guardian/legal custodian(s) who are resistant to complete a substance use assessment or participate in treatment.

  6. Provide guidance when intervention by Juvenile Court is needed to assure child safety.

  7. Ensure that prior to case closure the following occurs:

    1. A comprehensive staffing with the SSCM.

    2. The case record documentation indicates that the parent/guardian/legal custodian has made behavioral changes that support child safety.

    3. The parent/guardian/legal custodian has completed the recommendations of the substance use assessment.

    4. Approval for case closure from the SSA or County Director/Designee when the parent/guardian/legal custodian did not complete a substance use disorder assessment or the treatment.

  8. Review and ensure all documentation completed and assessments/reports received from providers, ROIs, referral forms and plans of safe care are uploaded to External Documentation in Georgia SHINES within 72 hours of receipt.

Practice Guidance

Substance Use Disorders

Substance use disorders (SUDs)[1] affect the family unit and all individual members. Parent/guardian/legal custodian substance use increases the likelihood that a family will experience[2] financial problems, shifting of adult roles onto children, child abuse and neglect, inconsistent parenting, violence and disrupted environments. Children of parents with SUDs have a significantly higher likelihood of developing substance use problems themselves. The Diagnostic and Statistical Manual of Mental Disorders, Fifth Edition (DSM-5), defines SUD as mild, moderate, or severe to indicate the level of severity, determined by the number of diagnostic criteria met by an individual. SUD occur when the recurrent use of alcohol and/or drugs causes clinically and functionally significant impairment, such as health problems, disability, and failure to meet major responsibilities at work, school, or home. A diagnosis of SUD is based on evidence of impaired control, social impairment, risky use, and pharmacological criteria. SUD can be applied to nine classes of drugs[3]: tobacco, cannabis, inhalant, stimulants, opioids, alcohol, hallucinogens, sedatives, (including hypnotics, and anxiolytics), and other/unknown substances.

Trauma and SUDs

Trauma is a common experience for adults and children and is especially common in the lives of people with mental and SUDs.[4] The Substance Abuse and Mental Health Services Administration (SAMHSA) describes individual trauma as resulting from "an event, series of events, or set of circumstances that is experienced by an individual as physically or emotionally harmful or life threatening and that has lasting adverse effects on the individual’s functioning and mental, physical, social, emotional, or spiritual well-being." For this reason, the need to address trauma is an increasingly important part of the healing and recovery process for individuals with SUD. Seeking substance abuse treatment programs that are sensitive and responsive to the needs of trauma survivors and offer trauma-specific intervention is critical.

Cultural Awareness and Competency

Cultural competence describes the ability of an individual or organization to interact effectively with people of different cultures.[5] This means drawing on community-based values, traditions, and customs, and working with knowledgeable people from the community to plan and, implement services and activities. Individuals, families, and communities that have experienced social and economic disadvantages are more likely to face greater obstacles to overall health. Supporting recovery involves working with the individual to be responsive and respectful to the health beliefs, practices, and cultural and linguistic needs of diverse people and actively address diversity in the delivery of services.

Substance Use Screening and Assessment

  1. CAGE Questionnaire: Best practice dictates asking parents/guardians/legal custodian(s) about their substance use to screen for alcohol or other substance abuse. The screening can indicate whether a full SUD assessment/evaluation is necessary. Screens should be brief and include questions about unintended use and/or desire to end use, as well as regarding consequences of use or concerns about consequences. One well-known screening tool is the four-questions:

    C – Have you ever felt the need to cut down on your drinking or drug use?
    A – Have you ever felt annoyed by people criticizing your drinking or drug use?
    G – Have you ever felt bad or guilty about your drinking or drug use?
    E – Have you ever had a drink or used a drug first thing in the morning to steady your nerves or get rid of a hangover (eye-opener)?
    Scoring: If the answer is “yes” to one or more questions, the parent/guardian/legal custodian should receive a formal SUD assessment.
    “Yes” to one or two questions may indicate alcohol and drug-related problems.
    “Yes” to three or four questions may indicate alcohol and drug dependence.

    This is a quick screening tool that should be used in conjunction with other information and observations. Answering “no” to all questions does not rule out the possibility of an alcohol or drug-related problem.
  2. Helpful Questions when Assessing for Substance or Alcohol Use:

    1. What is the type of substance used, addicted to or abused?

    2. Is the drug prescribed or non-prescribed?

    3. Did the parent/guardian/legal custodian use/abuse the substances during pregnancy;

    4. What drugs were administered to the mother during labor and delivery if the case involves an infant alleged to have been prenatally exposed to substance abuse?

    5. If prescribed, was the level within normal limits of prescribed use?

    6. What was the level of the substance in the parent/guardian/legal custodian’s and/or child’s blood or urine? (Review medical reports/test results, if applicable.)

    7. Are there any withdrawal symptoms an infant may be experiencing related to prenatal drug exposure or a diagnosis of a FASD?

    8. Describe any facial abnormalities, growth deficiencies, skeletal deformities, organ deformities, or central nervous system handicaps that may accompany a diagnosis of a FASD.

    9. What is the frequency of use?

    10. What is the location(s) of the parent/guardian/legal custodian during substance use/abuse?

    11. Are there drugs (legal or illegal) in the home? If so, where are they located?

    12. How does the parent/guardian/legal custodian’s use, or addiction impact his/her ability to protect a child and to ensure the safety, permanency and well-being needs of a child are being met?

    13. What is the parent/guardian/legal custodian’s level of functioning when using substances?

    14. Has the parent/guardian/legal custodian ever experienced black outs?

    15. What is the parent/guardian/legal custodian’s plan to address the substance use/abuse/addiction, including plans to ensure the child’s safety, permanency and well-being?

    16. Does the parent/guardian/legal custodian make impulsive decisions that place the children in unsafe situations due to substance use, abuse or addiction?

    17. Is the parent/guardian/legal custodian currently intoxicated and unable to perform basic parent/guardian/legal custodian duties?

    18. Do the children have access to the drugs?

    19. Are the children aware of the substance use/abuse, and if so, are they impacted by the substance use, abuse or addiction?

    20. Were the children present when/where the parent/guardian/legal custodian was using the substances?

    21. How well are the children supervised? Are they left alone for extended periods of time?

    22. Are there any medical or mental health diagnoses for the caretaker that may be impacted by the substance abuse, use, or addiction?

    23. Is there a relapse plan in place?

  3. Observe Behavioral and Environmental Indicators of Substance Abuse: Observing and documenting behavioral and environmental indicators (red flags, warning signs) of substance use as part of the assessment of family functioning and child safety is important in all child welfare program areas. These indicators provide critical information that can support case assessment and findings, as well as consensus building with parent/guardian/legal custodian(s) regarding the need for or continuation treatment or other services. The indicators include, but is not limited to (also refer to Forms and Tools: The Effects of Substance of Abuse on Behavior and Parenting):

    1. Slurred speech, dilated pupils, glassy or red eyes, weight loss;

    2. Shaking/tremors, deterioration of general physical health or appearance (e.g., significant weight loss, lack of concern for physical hygiene), impaired motor coordination;

    3. Changes in behavior, secretive behavior, inconsistent or erratic behavior (e.g., missed appointments, missed work), unusual behavior (e.g., restlessness, aggressiveness);

    4. Changes in sleep patterns, sleeplessness;

    5. A significant loss of interest in daily living responsibilities, demonstrated by significant changes in the condition of the home or condition of the child e.g., cleanliness, organization);

    6. Problems with relationships, becoming distant from loved ones;

    7. Unexplained or sudden financial problems;

    8. Unusual smells, such as alcohol or marijuana;

    9. Unusual marks on the arms, legs, or lips such as skin lesions or bruises from needle injections;

    10. Drug paraphernalia observed in the home.

  4. Documenting Behavioral and Environmental Indicators of Substance Abuse: The SSCM should clearly document the specific indicators observed and how the indicators demonstrate the parent/guardian/legal custodian’s ability to protect his/her child(ren). The SSCM should also make every effort to get other corroborating evidence of substance use, including, but are not limited to:

    1. Statements from collaterals who believe that alcohol and/or other substance use or abuse is present in the home (preferably mandated reporters when possible);

    2. Statements from the child(ren);

    3. Observations made by family members; or

    4. Police reports documenting arrests or calls to a home.

  5. Assessing Neonatal Abstinence Syndrome[6]: Neonatal abstinence syndrome (NAS), formerly known as “withdrawal symptoms, may occur when a pregnant woman takes drugs such as heroin, codeine, oxycodone (OxyContin), methadone or buprenorphine. Because the baby is no longer getting the drug after birth, the withdrawal may occur as the drug is slowly cleared from the baby’s system. Symptoms may appear within a few hours of birth to 14 days after birth, and depend on the type of substance used, length of time used, etc. Symptoms generally include blotchy skin coloring (mottling), diarrhea, excessive crying or high-pitched crying, excessive sucking, fever, hyperactive reflexes, increased muscle tone, irritability, poor feeding, rapid breathing, seizures, sleep problems, slow weight gain, stuffy nose, sneezing, sweating, trembling (tremors), vomiting.

  6. Drug Screens: See policy 19.25 Case Management: Drug Screens

  7. SUD Assessment[7]: The assessment defines the nature of the SUD, determine a diagnosis, and develop specific treatment recommendations. SUD assessments may be administered by a physician or clinician. Essentially, it involves a series of questions which help identify warning signs of substance abuse, frequency of use (i.e., daily, monthly, or yearly) or duration of use (i.e. how long abuse may have occurred). It may also involve an exploration of person’s personal history of substance abuse, health history, family history of substance abuse, age, and mental health disorders.

  8. Assessing Levels of Drinking:

    1. Moderate Drinking: According to the Dietary Guidelines for Americans, moderate drinking is up to 1 drink per day for women and up to 2 drinks per day for men.

    2. Binge Drinking: SAMHSA defines binge drinking as drinking 5 or more alcoholic drinks on the same occasion on at least 1 day in the past 30 days. The National Institute on Alcohol Abuse and Alcoholism (NIAAA) defines binge drinking as a pattern of drinking that produces blood alcohol concentrations (BAC) of greater than 0.08 g/dL. This usually occurs after 4 drinks for women and 5 drinks for men over a 2-hour period.

    3. Heavy Drinking: SAMHSA defines heavy drinking as drinking 5 or more drinks on the same occasion on each of 5 or more days in the past 30 days.

Recovery

SAMHSA’s working definition of recovery is a process of change through which individuals improve their health and wellness, live self-directed lives, and strive to reach their full potential. Recovery is built on access to evidence-based clinical treatment and recovery support services for all populations. The following major dimensions support a life in recovery:

  1. Health: overcoming or managing one’s disease(s) or symptoms, such as abstaining from use of alcohol, illicit drugs, and non-prescribed medications (if an addiction) and, for everyone in recovery, making informed, healthy choices that support physical and emotional well-being.

  2. Home: having a stable and safe place to live.

  3. Purpose: conducting meaningful daily activities, i.e., a job, school volunteerism, family caretaking, creative endeavors, and the independence, income, and resources to participate in society.

  4. Community: having relationships and social networks that provide support, friendship, love, and hope.

Other factors that impact recovery are:

  1. Hope: the belief that these challenges and conditions can be overcome is the foundation of recovery. A person’s recovery is built on his or her strengths, talents, coping abilities, resources, and inherent values. The SSCM can encourage recovery by through services addresses the whole person, including community, peers, friends, and family members.

  2. Resilience: an individual’s ability to cope with adversity and adapt to challenges or change. Resilience develops over time and gives an individual the capacity not only to cope with life’s challenges but also to be better prepared for the next stressful situation. The process of recovery is highly personal and occurs via many pathways including clinical treatment, medications, faith-based approaches, peer support, family support, self-care, and other approaches. Recovery is characterized by continual growth and improvement in one’s health and wellness that may involve setbacks. Because setbacks are a natural part of life, resilience becomes a key component of recovery.

Recovery Supports

Recovery support is provided through treatment, services, and community-based programs by behavioral health care providers, peer providers, family members, friends and social networks, the faith community, and people with experience in recovery. Recovery support services help people enter and navigate systems of care, remove barriers to recovery, stay engaged in the recovery process, and live full lives in communities of their choice. Recovery support services also include access to evidence-based practices such as supported employment, education, and housing; assertive community treatment; illness management; and peer-operated services. Recovery support services may be provided before, during, or after clinical treatment or may be provided to individuals who are not in treatment but seek support services.

Detoxification

The process by which the body clears itself of drugs, is designed to manage the acute and potentially dangerous physiological effects of stopping drug use. Detoxification alone does not address the psychological, social, and behavioral problems associated with addiction and therefore does not typically produce lasting behavioral changes necessary for recovery.

Substance Use Treatment Services

  1. Outpatient Treatment programs vary in the types and intensity of services offered.[8] Such treatment is more suitable for people with jobs or extensive social supports. Other outpatient models, such as intensive day treatment, can be comparable to residential programs in services and effectiveness, depending on the individual patient’s characteristics and needs. Some outpatient programs are also designed to treat patients with medical or other mental health problems in addition to their drug disorders. The levels of outpatient treatment are as follows:

    1. Early Intervention Services: A precursor to treatment. They are designed for adults or adolescents who are at risk of developing a SUD but do not display any diagnostic criteria to be admitted to rehabilitation. During early intervention, treatment focuses on the risk factors that predispose the person to addiction and educates them about the negative repercussions of drug misuse.

    2. Level I: Requires attendance to regularly scheduled meetings and allows individuals to carry on with their routine while receiving face-to-face services with addiction or mental health professionals. It is ideal for people who have jobs or a strong support system at home. Level I care includes evaluation, treatment and recovery follow-up services. It addresses the severity of the individual’s addiction, helps implement behavioral changes and ameliorates mental functioning.

    3. Level II.1: Intensive outpatient treatment can accommodate medical, psychiatric and psychopharmacological consultation, medication management and 24-hour crisis services. The program provides support services such as counseling and education on mental health, substance use, childcare, vocational training and transportation.

    4. Level II.2: Partial hospitalization is like Level II.1 however psychiatric and medical services are provided directly along with laboratory services.

  2. Residential Treatment (Level III and IV): Level III provides intensive 24 hours a day, generally in non-hospital settings. Treatment is highly structured with activities designed to help residents examine damaging beliefs, self-concepts, and destructive patterns of behavior and adopt new, more harmonious and constructive ways to interact with others. Level IV offers 24-hour medically directed evaluation, care and treatment, including daily meetings with a physician. The facilities are usually equipped with the resources of general acute care or psychiatric hospitals and offer substance abuse treatment that addresses co-occurring disorders. Treatment focuses on stabilization and preparation for transfer to a less robust level of care for continued monitoring.

  3. Individualized Drug Counseling focuses on reducing or stopping illicit drug or alcohol use and addressing related areas of impaired functioning, such as employment status, illegal activity, and family/social relations, as well as the content and structure of the patient’s recovery program. Through its emphasis on short-term behavioral goals, individualized counseling helps the individual develop coping strategies and tools to abstain from drug use and maintain abstinence.

  4. Group Counseling capitalizes on the social reinforcement offered by peer discussion to help promote drug-free lifestyles. When group therapy either is provided with individualized counseling or is formatted to reflect the principles of cognitive-behavioral therapy or contingency management, positive outcomes are achieved.

  5. Treating Criminal Justice-Involved Drug Users and Addicted Individuals: Individuals who abuse drugs are under legal mandate to stay in participate in intervention and treatment prior to, during, after, or in lieu of incarceration.

  6. Family Treatment Court Common Characteristics: From Family Dependency Treatment Court: Addressing Child Abuse and Neglect Cases Using the Drug Court Model

    1. Focus on the permanency, safety, and wellbeing of children and the needs of the parents.

    2. Provide early intervention, assessment, and facilitated access to services for parents and children in a holistic approach.

    3. Develop comprehensive case plans that address the needs of the entire family system.

    4. Provide enhanced case management services and monitor progress.

    5. Schedule regular meetings to facilitate the exchange of information and coordinate services for the family.

    6. Increase judicial supervision of children and families.

    7. Promote individual and systems accountability.

    8. Ensure legal rights, advocacy, and confidentiality for parents and children.

  7. Self-Help, Peer Support, and Consumer Groups: See Forms and Tools

  8. Medication Assisted Treatment (MAT): MAT is the use of medications to treat alcohol or opioid dependence, in combination with counseling and behavioral therapies, to provide a “whole-patient” approach to the treatment of SUDs.[9] In the treatment of addiction to opioids such as heroin and prescription pain relievers that contain opiates, the prescribed MAT medication operates to normalize brain chemistry, block the euphoric effects of alcohol and opioids, relieve physiological cravings, and normalize body functions without the negative and euphoric effects of the substance used.[9] (See below for information on ADA and Substance Use Disorders).

    Commonly Used Medications for MAT[10]
    Medications for Alcohol Dependence Medications for Opioid Dependence
    1. Naltrexone: (ReVia®, Vivitrol®, Depade®)

    2. Disulfiram: (Antabuse®)

    3. Acamprosate: (Campral®)

    1. Methadone: Methadose®, Dolophine®

    2. Buprenorphine: (Subutex®)

    3. Buprenorphine/naloxone: (Suboxone®)

    4. Naltrexone: (ReVia®, Vivitrol®, Depade®)

Talking to Children about Parental Substance Use

The SSCM’s role may include talking with a child about his or her parent’s substance use. The discussion will depend on the individual circumstances and when appropriate will include:

  1. That addiction is a disease. Your parent is not a bad person; he or she has a disease. Parents may do things that are mean or stupid when they drink too much or use drugs.

  2. You are not the reason your parent drinks or uses drugs; you did not cause this disease and you cannot stop it.

  3. You are not alone. In fact, there are millions of kids whose parents are addicted to substances; some are in your school.

  4. You can talk about the problem. You don’t have to feel scared or ashamed or embarrassed. Find someone you can trust. Most towns have groups of kids that meet and talk, such as “Alateen.” A counselor, teacher, foster parent or other adult you trust may be able to help you find one of these groups. (The child welfare worker can provide support as well.)

  5. Use the 7Cs[11] of addiction developed by the National Association for Children of Alcoholics to help children understand that addiction is not their fault.

    1. I didn’t Cause it

    2. I can’t Cure it

    3. I can’t Control it

    4. I can Care for myself

    5. By Communicating my feelings

    6. Making healthy Choices

    7. By Celebrating myself

Enhancing Motivation of Parents/Guardians/Legal Custodians

Motivation to change and motivational interventions go hand-in-hand with readiness to change and the change process.[12] During the process of recovery, it is helpful for parent/guardian/legal custodian(s) with substance and alcohol use to know that relapse is part of the process and is not viewed as treatment failure. The SSCM, substance abuse counselor, and significant persons in the life of a substance-abusing parent can promote and support motivation to change (see Forms and Tools: Motivation Through the Stages of Change).

Considerations for Substance Abuse and Specific Populations

  1. Co-Occurring Disorders (COD)[3]: People with CODs have at least one diagnosable mental illness along with one or more SUD (SAMHSA/CSAT, 2013; TNCODC, 2013). They typically have more episodes of relapse, inpatient hospital visits, emergency room visits, and higher rates of chronic diseases. People with a mental health issue are more likely to experience SUD than those without a mental illness. People with COD are best served when screening, assessment, and treatment planning are integrated, i.e., both substance use and mental health disorders, each in the context of the other, are addressed. It is important to:

    1. Show acceptance and understanding.

    2. Assist him/her in clarifying the nature of the problem.

    3. Indicate to him/her that they will be working collaboratively with him/her, the family, the medical providers, and substance treatment providers.

    4. Demonstrate empathy and willingness to listen to how him/her defines the problem.

    5. When necessary, help to solve some external problems immediately and directly.

    6. Genuinely foster hope for positive change (SAMHSA/CSAT, 2013b).

  2. Men: Men have unique needs that impact their engagement in SUD treatment and the child welfare system. Men tend to use alcohol and drugs more frequently and in greater quantities than women. It is important that treatment takes into special consideration the unique treatment needs of men and understanding of male psychological development and trauma. Substance abuse treatment programs for men should be both gender-responsive and trauma-informed. To reduce resistance to entering treatment[13]:

    1. Establish rapport and trust from the start.

    2. Initially discuss neutral subjects (i.e., hobbies, work) to reduce feelings of anxiety with the help-seeking process.

    3. Understand as much as possible what circumstances prompted help-seeking.

    4. Creatively engage in a discussion of his life and situation.

    5. Acknowledge common fears related to relationships, health, abandonment, career, and financial issues.

    6. End each interaction with a clear plan of what will happen next.

    7. Discuss any concerns related to their privacy.

  3. Women: Women may respond to substances differently, e.g., they may have more drug cravings and are more likely to relapse after treatment. Women who are victims of domestic violence are at increased risk of substance use. Women with SUDs are more likely to have partners that have a SUD. Getting or retaining women in treatment is often arduous because women are usually the primary caregiver for their children and/or other family members, they are fearful they will lose their partner or custody of their children and/or be perceived as a bad parent. Cultural issues may also interfere in a woman’s help-seeking behavior. It is important to explore cultural issues to gain an understanding and work within the context of the individual and family to engage them in services. Services that need to be available for women include: medical services, health promotion, psychoeducation, gender-specific needs, cultural/language needs, life skills, family/child-related services, comprehensive case management, mental health services, disability services, and staff/program development (SAMHSA, 2013).

  4. Pregnant Women and Post-Partum[2]: Substance use during pregnancy can result in health concerns and risks for the woman, unborn fetus and newborn. Pregnant women with SUDs have priority admission status for SUD services in Substance Abuse Prevention and Treatment block-grant funded programs. Intervention and treatment considerations for pregnant and post-partum women include:

    1. Developing a plan of safe care for families with infants affected by prenatal exposure

    2. Ask about and listen to her fears

    3. Explore options to access treatment and recovery, including MAT (see Practice Guidance: Additional Considerations for MAT)

    4. Linkage to the appropriate medical services, nutrition and other supports

    5. Screening for intimate partner violence

    6. HIV testing and early intervention/prevention

    7. Mental health screening including pregnancy-related mood and anxiety disorders

    8. Feelings regarding pregnancy, possible grief and loss counseling

    9. Preparation for parenting (or alternatives), concerns with other children/family/ fathers

    10. Addressing economic needs

    11. Supports to address discrimination/ stigma related to pregnancy and substance use.

    12. Screening for post-partum depression

    The American College of Obstetricians and Gynecologists (ACOG) recommends "agonist pharmacotherapy" or MAT as the gold-standard therapy for pregnant women with opioid use disorders (ACOG, 2017). Abrupt discontinuation of opioid use during pregnancy can result in premature labor, fetal distress, and miscarriage. Additionally, pregnant women who stop using opioids and subsequently relapse are at a greater risk of overdose and death. Because NAS is treatable, MAT is typically recommended by treatment providers over abstinence or withdrawal. To minimize the stigma of infants that are born prenatally exposed, the International Drug Policy Consortium reports that “Newborn babies are NOT born ‘addicted' and referring to newborns with NAS as ‘addicted' is inaccurate, incorrect, and highly stigmatizing. Using pejorative labels places these children at substantial risk of stigma and discrimination and can lead to inappropriate child welfare interventions. Mischaracterizing MAT as harmful and unethical contradicts the efficacy of MAT and discourages the appropriate and federally recommended treatment for opioid use disorders.” MAT has been positively associated with parents regaining custody of their children.[14]
  5. Older Adults/Elderly[15]: Due to an increase in the number of grandparents caring for their grandchildren, SSCMs may encounter older parent/guardian/legal custodian(s) with substance and/or alcohol use disorders frequently. While the current proportion of older adults with SUDs is low compared with the general population, a growing number of older adults are at risk for hazardous drinking, prescription drug misuse, and illicit substance use and abuse. When assessing older adults about substance use consider:

    1. A more supportive, nonconfrontational approach than more assertive styles of assessment and intervention.

    2. Many older adults, and even their families, view alcohol use as being their “one last pleasure,” creating a complex picture of substance use in late life.

    3. The identification of problematic substance use with older adults can be difficult because of overlapping symptoms with medical disorders.

    4. A non-stigmatizing approach along with direct questions about drinking, prescription medication, and illicit drug use.

  6. Veterans[16]: Veterans often encounter challenging experiences during their service and some turn to substance use to cope with those experiences (SAMHSA/CBHSQ, 2015). In addition, many veterans have a co-occurring mental health disorder. Post-traumatic stress disorder (PTSD) and SUD tend to co-occur very frequently in veterans. One of the most prevalent substance use problems for military personnel is alcohol use. Strategies for promoting positive outcomes with veterans should include educating them about their substance(s) of choice and how it affects the body. It may also be necessary to educate the veteran about the impact of substance use on treatment and the ability to achieve treatment goals.

  7. ADA and Substance Use Disorders[17] [18] [19] [20]

    1. Individuals with a History of Substance and/or Alcohol Use Disorders: Individuals with a history of alcohol and/or SUDs may qualify as individuals with a disability under the Americans with Disabilities Act and other federal and state laws. Casual substance use is not protected if it does not substantially limit one or more of an individual’s “major life activities”.

    2. Rehabilitation: Federal disability rights laws protect individuals who "have successfully completed a supervised drug rehabilitation program and are no longer engaging in the illegal use of drugs," or "have otherwise been rehabilitated successfully and are no longer engaging in such use," or "are participating in a supervised rehabilitation program and are no longer engaging in such use," or "are erroneously regarded as engaging in such use but are not engaging in such use." For example: A father seeking reunification with his children has successfully completed a SUD treatment program, and random screens indicate he is no longer engaged in the illegal use of drugs. The father, under these circumstances, may be protected under federal disability rights law.

    3. Current Use of Drugs: Current drug use means the illegal use of drugs occurred recently enough to justify a reasonable belief that a person’s drug use is current or that continuing use is a real and ongoing problem. Whether someone is currently using drugs illegally is decided on a case-by-case basis. Federal disability rights laws do not protect someone who is currently engaged in the illegal use of drugs when the covered entity acts on the basis of that use. For example: A newborn exhibiting withdrawal symptoms resulting from prenatal exposure to cocaine is removed from his mother based on the mother’s recent use of the drug. The mother, under these circumstances, may not be protected under federal disability rights laws because of her use of an illegal drug. The illegal use of drugs means:

      • The use of drugs;

      • The possession or distribution, of which is unlawful under the Controlled Substances Act;

      • The illegal use of drugs may include using a controlled substance which is not prescribed to the individual;

      • Misuse of a controlled substance; or

      • Using a controlled substance obtained by a fraudulent prescription.

    4. MAT and ADA: An individual’s receipt of MAT taken under the supervision of a licensed healthcare professional is not the illegal use of drugs. A parent/guardian/legal custodian use of MAT should not be discouraged in assessment and case planning activities unless otherwise recommended by a SUD treatment professional (see the Forms and Tools: Know Your Rights: Rights for Individuals on Medication-Assisted Treatment for the applicable federal laws that prevent discrimination against individuals in recovery using MAT. Information related to child welfare systems can be found on page 12).[10]

It should not be assumed that a parent receiving MAT poses a threat to a child based on assumptions that the MAT participants are likely to relapse, are unable to care for themselves, or are likely to be associated with crime. Decisions related to child safety should be based on:

  1. An individualized assessment of the individual with a disability based on reasonable judgment that relies on current medical knowledge or the best available objective evidence to ascertain the nature, duration, and severity of the risks to the child;

  2. The probability that the potential injury to the child will actually occur; and

  3. Whether reasonable modifications of policies, practices, or procedures, or the provision of auxiliary aids and services will mitigate the risk.

If an individual receives MAT for an opioid use disorder and is also currently engaged in the illegal use of drugs, the individual is not protected by Section 504, or the ADA, in most circumstances. Also, if the individual misuses their MAT prescription, the illegal use of drugs may have occurred.

Lapse vs. Relapse

There is a major difference between having one slip and having a relapse. A lapse represents a temporary slip or return to a previous behavior that one is trying to control or quit (usually a onetime occurrence), whereas a relapse represents a full-blown return to a pattern of behavior that one has been trying to moderate or quit altogether (Marlatt & Donovan, 2005).

Relapse and Relapse Planning

Within the context of substance abuse, relapse is marked by a subsequent occurrence of drug use following a period of abstinence/sobriety. Relapse is an expected part of the recovery process and occurs in varying degrees ranging from a single instance of drug use to an extended episode of binging. Relapse is most often triggered by physical, emotional and/or psychological cues in the environment (e.g., the smell and/or sight of the drug, a former hangout where the person used drugs, interaction with people with whom the person commonly used drugs, etc.). Signs of relapse include, but are not limited to:

  1. Increasing lack of cooperation/avoiding behavior;

  2. Deterioration in daily living activities;

  3. Unexplained financial hardship;

  4. Mood swings;

  5. Depression, anger, anxiety, or paranoia;

  6. Setting expectations that are too numerous or unrealistic;

  7. Distancing from friends who are clean and sober; and

  8. Re-establishing old relationships with drug-using acquaintances.

The best predictor of whether a person will recover from an instance of relapse is the correct treatment intervention matched to the person’s stage of change (see Forms and Tools: Stages of Change). When there is no progress in other life areas (e.g., improved parent/guardian/legal custodian protective capacities or competency, financial stability, positive relationships, etc.), there is also a lack of necessary motivation to regain control over the addiction. A relapse plan should be in place to address these factors as a part of case management activities. Relapse planning involves the identification and development of a plan of action that the family agrees to follow in the event a relapse occurs, and may include but is not limited to:

  1. Outlining who will contact the SSCM

  2. Participation in AA or NA

  3. Weekly telephone contact with an identified family member or friend

  4. A temporary caregiving resource for the children

It is essential to discuss these plans with family members so that roles and responsibilities are clearly defined to ensure the safety of the child should relapse occur. Relapse planning should occur during DFCS involvement and prior to closing the case. Families should be engaged in relapse planning so they may continue to adjust the relapse plan as necessary when DFCS is no longer involved with the family.

Each occurrence of relapse should be evaluated individually, in partnership with the parent/guardian/legal custodian, substance and alcohol treatment providers and medical providers. It may be necessary to request a SUD assessment with a service recommendation. There are also times when it will be necessary to file a dependency complaint in juvenile court or use other safety interventions if the safety of a child cannot be assured in the home. If a child is not at imminent risk and/or safety is controlled through other means, it is important to evaluate the existing evidence of impending danger safety threats to determine whether court-ordered intervention is necessary. If the court is already involved, notification to the court of a relapse or of any significant changes to the case plan resulting from the relapse must occur.

Evaluating Progress Towards Recovery and Case Plan Outcomes

While recovery is a long process, child welfare involvement with a family is time limited, therefore, the SSCM and treatment providers must work collaboratively to provide timely services, while continuously supporting and evaluating parent/guardian/legal custodian progress towards recovery goals.[21] Some indicators of progress are:

  1. Attends and stays engaged in a substance abuse treatment program or aftercare.

  2. Participates in community recovery support groups.

  3. Achieves a period of abstinence.

  4. Has established a pattern of negative results from drug tests.

  5. Complies with the safety plan and case plan.

  6. Has a relapse plan in place.

  7. Is achieving parenting goals and demonstrating behaviors indicative of enhanced protective capacity.

  8. Visits their children consistently and displays increased parental responsibility and bonding with children (if applicable).

  9. Has changed past substance-abusing behaviors and has developed a network of sober, abstinent family members and friends.

  10. Demonstrate financial self-sufficiency, if applicable.

  11. Has no new reports of abuse/neglect or criminal activity, if applicable.

  12. Takes prescribed psychotropic medications correctly (if applicable).

Transition Planning, Aftercare and Recovery Services

When a parent/guardian/legal custodian has demonstrated progress in meeting treatment objectives, it is important that the SSCM, parent/guardian/legal custodian, and treatment provider examine whether the family is ready for transition. Transition planning involves an assessment of the individual’s ongoing recovery plan. It includes defining when and under what circumstances the child may be safely reunited with the parent/guardian/legal custodian. The transition plan for the return of the child parallels the substance abuse treatment provider’s plan for continuing care. Continuing care services are essential to sustaining treatment success, child safety and family well-being. They give the family an opportunity to anchor new behaviors and practice drug-free living and relapse prevention techniques. Without aftercare services and community supports, relapse rates can be high, even after periods of long sobriety during treatment. Continuing care includes clinical treatment and community support for both the parent/guardian/legal custodian and the children who have been separated from the parent/guardian/legal custodian. These supports can address individual needs identified in the parent/guardian/legal custodian’s relapse prevention plan and treat any issues related to trauma, loss, separation and reunification.[22] The development and implementation of the prevention plan helps build a supportive net around the parent/guardian/legal custodian and his or her family to encourage sustainable recovery.

Closing a Case When SUD Treatment Recommendations Are Not Followed

When a parent/guardian/legal custodian is non-compliant with a SUD assessment or treatment recommendations during DFCS involvement, there must be a thorough examination of the circumstances surrounding the non-compliance prior to case closure. Substance abuse professionals are ethically bound to inform a client of all treatment options and the nature and extent of the services as well as the client’s right to refuse these services. However, DFCS must also ensure that the parent/guardian/legal custodian understands that his or her right to refuse services may have an impact on how DFCS manages their case.

If a parent/guardian/legal custodian does not disclose a problem or is unwilling to change, treatment is unlikely to succeed. However, keep in mind that a parent/guardian/legal custodian’s initial unwillingness to cooperate with treatment recommendations may stem from feelings of guilt about the substance abuse and defensiveness about the SUD assessment process itself. It’s important not to confuse a parent/guardian/legal custodian’s attitude toward intervention as a complete refusal to cooperate with SUD treatment and attempt to re-engage the parent/guardian/legal custodian differently to build a consensus around how his or her substance use, or abuse has an impact on the child. If consensus cannot be achieved with complying with SUD assessment or treatment recommendations, initiate a staffing with the SUD assessor and/or treatment provider to discuss the recommendations that the parent/guardian/legal custodian is unwilling to follow. If any of these recommendations impact child safety, or a parent/guardian/legal custodian’s ability to care for or protect the child in any way, then juvenile court intervention must be sought and the DFCS case may not be closed.

In cases where the SUD assessment recommendations are individually related to the parent/guardian/legal custodian and it is demonstrated that there is no impact on child safety, DFCS may consider closing a case. The closure decision can only occur however after a careful and thorough review of the circumstances surrounding the assessor’s recommendations and a formal staffing to discuss what has not been followed by the parent/guardian/legal custodian. Additionally, administrative oversight and approval must be completed and documented regarding the decision to close the case without a SUD assessment and treatment recommendations being followed by the parent/guardian/legal custodian.

Situations in which DFCS closes a case without a parent/guardian/legal custodian completing a SUD assessment or treatment recommendations should be extremely rare. In most cases in which treatment recommendations have not been followed Juvenile Court intervention should be sought prior to a recommendation for case closure.


1. SAMHSA (n.d.). Substance Use Disorders. Retrieved from www.samhsa.gov/disorders/substance-use
2. Advocates for Human Potential, Inc. (n.d.). SAMHSA’s Training Tool Box, Addressing the Gender-Specific Substance Use Disorder (SUD) Service Needs of Women. Women, Children, and Families of the Substance Abuse and Mental Health Services Administration Rockville, MD 20857. Retrieved from store.samhsa.gov/product/advisory-addressing-specific-needs-women-treatment-substance-use-disorders-based-tip-51
3. Chappell, E. (2016, August 15.). Substance Use Best Practice Tool Guide. Tennessee Department of Mental Health & Substance Abuse Services. Retrieved from www.tn.gov/content/dam/tn/mentalhealth/documents/FINAL_-_SU_Best_Practice_Tool_Guide.pdf
4. SAMHSA (n.d.). Trauma and Violence. Retrieved from www.samhsa.gov/trauma-violence
5. SAMHSA (n.d.). Recovery and Recovery Support. Retrieved from store.samhsa.gov/product/tip-59-improving-cultural-competence/sma15-4849
6. MedlinePlus [Internet]. Bethesda (MD): National Library of Medicine (US); [updated 2016 Aug 23]. Neonatal abstinence syndrome; [updated 2015 Nov15; reviewed 2016 Sep 12; cited 2016 Sep12]; [about 2 p.]. Available from: www.ncbi.nlm.nih.gov/books/NBK551498
7. Center for Substance Abuse Treatment. Substance Abuse Treatment: Addressing the Specific Needs of Women. Rockville (MD): Substance Abuse and Mental Health Services Administration (US); 2009. (Treatment Improvement Protocol (TIP) Series, No. 51.) Chapter 4: Screening and Assessment. Available from: www.ncbi.nlm.nih.gov/books/NBK83253/
8. NIDA. (2012, December 1). Principles of Drug Addiction Treatment: A Research-Based Guide (Third Edition). Retrieved from www.drugabuse.gov/publications/principles-drug-addiction-treatment-research-based-guide-third-edition on 2018, January 16
9. SAMHSA. Medication-Assisted Treatment (MAT) from www.samhsa.gov/medication-assisted-treatment.
10. Attorneys at the Legal Action Center authored, Know Your Rights: Rights for Individuals on Medication Assisted Treatment. HHS Publication No. (SMA) 09-4449. Rockville, MD: Center for Substance Abuse Treatment, Substance Abuse and Mental Health Services Administration, 2009.
11. Source: National Association for Children of Alcoholics, on-line at nacoa.org/wp-content/uploads/2018/04/Its-Not-Your-Fault-NACoA.pdf
12. National Center on Substance Abuse and Child Welfare (n.d.).
13. National Center on Substance Abuse and Child Welfare (n.d.). Tutorial 2: Understanding Substance Use Disorders, Treatment, and Family Recovery: A Guide for Child Welfare Professionals. The Unique Needs of Fathers with Substance Use Disorders. Retrieved from ncsacw.acf.hhs.gov/training/toolkit/cw-module-2/
14. Hall M.T., Wilfong J., Huebner R.A., Posze L., & Willauer T. (2016). Medication-assisted treatment improves child permanency outcomes for opioid-using families in the child welfare system. Journal of Substance Abuse Treatment, 71, 63-67.
15. Kuerbis, A., Sacco, P., Blazer, D. G., & Moore, A. A. (2014). Substance Abuse Among Older Adults. Clinics in Geriatric Medicine, 30(3), 629–654. doi.org/10.1016/j.cger.2014.04.008
16. ibid
17. Sims, C. (2021, April 19). Part 1 Civil Rights Protections for Individuals with a Disability: The Basics [Webinar]. Office for Civil Rights. U.S. Health and Human Services. www.youtube.com/watch?v=ghk3euwrpXA
18. Sims, C. (2021, April 19). Part 2 Civil Rights Protections for Individuals with an Opioid Use Disorder [Webinar]. Office for Civil Rights. U.S. Health and Human Services. www.youtube.com/watch?v=7Me9cEjf8jo
19. Office for Civil Rights. U.S. Health and Human Services. (n.d.). Your Rights As A Person With A Disability In The Child Welfare System. www.hhs.gov/guidance/sites/default/files/hhs-guidance-documents/ocr-child-welfare-disability-factsheet-september-2016.pdf
20. Office for Civil Rights. U.S. Health and Human Services (2018). Fact Sheet: Drug Addiction And Federal Disability Rights Laws. public3.pagefreezer.com/content/HHS.gov/20-06-2023T05:11/https:/www.hhs.gov/sites/default/files/drug-addiction-aand-federal-disability-rights-laws-fact-sheet.pdf
21. Texas Department of Family and Protective Services: Substance Use Resource Guide A Child Protection Practice Guide
22. Building Bridges Back Home: Parental Substance Abuse and Family Reunification, Newsletter of the National Abandoned Infants Assistance Resource Center VOLUME 12, NO. 1 SPRING 2003