Policy Manual
Conducting the Investigation
Determination and Conclusion
34-3-6
Policy
Upon completion of the field response, the investigator shall take the actions specified below to complete the investigation and make a determination, based upon reasonable cause:
- whether child abuse or neglect is substantiated or not substantiated
- if child abuse or neglect is substantiated, then determine if there is an identified person responsible for the child abuse or neglect,
- whether the identified person poses a risk to the health, safety or well-being of children, and should be recommended for placement on the Central Registry,
- and, if the person is recommended for placement on the Central Registry,whether the department may disclose that the person is on the Central Registry pursuant to a background check pending exhaustion or waiver of all administrative appeals.
The investigation supervisor shall review the investigation to ensure compliance with investigation policy and good case practice.
The investigation shall be completed, as verified with the preparation of the
Investigation Protocol (DCF-2074), within forty-five (45) calendar days of acceptance
of the report at the Hotline.
NOTICE: Pursuant to Conn. Gen. Stat. Sec. 17a-101k(i), draft Regulations related to substantiation policy are currently under review. Since this review includes entities outside of the agency, as well as the public, the final version of the Regulations may vary from this Policy. This Policy will be updated when the Regulations are finalized.
See each of the following policies for more information:
• 34-3-5.1, “Substance Abuse Testing and Evaluation”
• 34-3-5.2, “Domestic Violence"
• 34-4, “Response Time for Commencement and Completion of an Investigation”
• 34-7, “Response Letter to Mandated Reporters”
• 34-10-1 through 34-10-8, “Removal of a Child”
• 34-13-1 through 34-13-3, “Risk Assessment”
• 34-14, “Case Planning Options Following an Investigation”
• 34-15, “Case Disposition”
• 34-15-1, “Investigation Results”
• 34-17, “Case Transfer Conference”
Steps prior to Conclusion of the Investigation
The investigator shall take the steps below to follow-up the field response and conclude the investigation:
- document information gathered during the investigation
- complete a risk assessment
- submit a request for a State Police criminal record check on the alleged perpetrator, adults in the home and other adults who have child caring responsibilities or access to the child(ren) in the home, if not done previously
- refer family members for a drug and/or alcohol screen, if needed
- contact collaterals
- discuss the case with the supervisor, taking into consideration all facts that were collected during the investigation, to determine the plan of action
- determine with the supervisor if child abuse or neglect is substantiated or unsubstantiated
- determine appropriate Juvenile Court action (see below – Use of Juvenile Court)
- take removal actions, when indicated
- determine case disposition
- provide notification of the results of the investigation to those specified below
- utilize the “Investigation Checklist” (DCF-2075) as a guide to ensure that all required actions have been completed.
Documentation of Investigation Information
The investigator shall:
- Ensure that the running narrative of the investigation is entered into the investigation protocol within five (5) days of the event. This shall be done throughout the life of the investigation.
- Following the completion of the investigation, complete the Investigation Summary (DCF 2074). This shall include the investigation narrative.
- Transmit the information to the supervisor for approval in LINK.
Making a Determination
Upon completion of an investigation, the investigator, in consultation with his/her supervisor, shall make a final determination regarding whether each individual allegation is either “substantiated or “unsubstantiated.”
If any allegation is substantiated the investigator shall also determine
- whether there is an identified person responsible for the substantiated allegation of child abuse or neglect
- whether the identified person poses a risk to the health, safety or well-being of children and should be recommended for placement on the Central Registry,
- and if the person is recommended for placement on the Central Registry,and, whether the department may disclose that the person is on the Central Registry pursuant to a background check pending exhaustion or waiver of all administrative appeals
The department may disclose that the person is on the Central Registry pursuant to a background check pending exhaustion or waiver of all administrative appeals when the abuse or neglect resulted in or involved:
- the death of a child
- the risk of serious physical injury or emotional harm of a child
- the serious physical harm of a child
- the arrest of the person due to abuse or neglect of a child
- a neglect or termination of parental rights petition filed by the Commissioner
- sexual abuse of a child
(The purpose of the additional findings is to determine whether or not the department may disclose that the person is on the Central Registry pursuant to a background check pending exhaustion or waiver of all administrative appeals.)
Note: An allegation of “in danger of abuse” must be substantiated or unsubstantiated as “abuse” or “neglect”.
Investigation Determination
Substantiated Condition: Reasonable cause to believe that child abuse or neglect has occurred.
Unsubstantiated Condition: Lack of reasonable cause to believe that child abuse or neglect has occurred.
Disposition of Investigation
Below are the possible dispositions of an investigation:
If the Investigation Determination is... Then the Disposition is...
Substantiated
- Transfer the case to a DCF child protective service unit for provision of mandatory services (See note below)
or
- Close the case, with or without referral for services to be provided by another state agency or a community service provider.
Important Note: Transfer to a DCF service unit is mandatory in all cases in which abuse is substantiated, unless deemed inappropriate by the Program Supervisor
If the Investigation Determination is... Then the Disposition is...
Unsubstantiated
- Close the case, with or without referral for services to be provided by another state agency or a community service provider.
or
- Transfer to ongoing services if risk assessment indicates a moderate to high risk of child maltreatment, or if the family could benefit from the services offered by the Department.
Use of Juvenile Court
If abuse or neglect is substantiated, the investigator (or in an open treatment case, the ongoing services worker) shall consult with the Program Supervisor and Assistant Attorney General or Area Office Attorney to determine if there is a legally sufficient case to bring to Juvenile Court.
A decision not to file in a case, which is otherwise legally sufficient, must be made by the Program Supervisor, and fully documented in the LINK record.
Note: In any case in which abuse or neglect is substantiated, DCF shall not recommend to extended family of the child that they pursue an action in the Probate Court.
Cross-Reference: 46-3-3, “Authority of the Superior Court for Juvenile Matters”
Notification to Child’s Parents/Guardians
In cases in which the reported abuse or neglect took place in a family setting, prior to conclusion of the investigation, whether substantiated or unsubstantiated, the investigator shall meet with the family face-to-face to inform them of the results of the investigation. Within five (5) days of completion of an investigation, the investigation supervisor shall ensure that the child’s parents or guardians are notified in writing of the outcome of the investigation, utilizing, “Notification of Investigation Results” (DCF-2210).
Notification to Perpetrator
Within five (5) days of the conclusion of an investigation, the investigation supervisor shall ensure that the perpetrator, if one has been identified, is notified in writing of the outcome of the investigation, by mailing “Notification of Investigation Results”
(DCF-2210) to the person’s last known address.
Notification to Mandated Reporter
Within five (5) working days of completion of the investigation, the investigation supervisor shall ensure that the mandated reporter is informed of the outcome of the investigation, by use of “Mandated Reporter Letter” (DCF-2122).
Others to be Notified When Abuse or Neglect is Substantiated
Upon completion of an investigation, in addition to notifying the child’s parents or guardians, the perpetrator, and the mandated reporter of the outcome, the investigation supervisor shall ensure that the following persons are notified of substantiated abuse or neglect:
Type of Substantiation Provide Notification to…
Sexual abuse or serious physical abuse
Notify and provide a copy of the investigation report to:
- the Chief State’s Attorney, or designee, or a state’s attorney for the judicial district in which the child resides or in which the abuse or neglect occurred
- the appropriate local law enforcement authority
- the Bureau Chief of Child Welfare Services
Abuse or neglect at an institution or facility that provides care for children, which is subject to licensure by the state, including the Department of Public Health and the Department of Mental Retardation (see specifics below)
Notify the state agency responsible for such licensure and provide records, whether or not created by the department, concerning such investigation.
Abuse or neglect at a day care facility licensed by the Department of Public Health
Notify and provide a copy of the investigation report to the DPH Director of Day Care Licensing.
Abuse or neglect perpetrated by an unlicensed person receiving payments from the Department of Social Services for providing day care
Notify the designated official in DSS by use of, “Report to DSS of Abuse or Neglect Involving an Unlicensed Day Care Provider” (DCF-2221).
Important Note: If during an investigation of such an unlicensed provider, a child is assessed as being in immediate danger, the investigation supervisor shall notify the Department of Social Services. DSS will then notify the parent of any child receiving day care of the unsuitability of the person to provide day care.
Also, notify DSS when a child is removed from his/her family and such unlicensed day care is no longer necessary.
Cross-Reference: 36-106, “Abuse or Neglect Concerning Unlicensed Day Care Providers”
Abuse or neglect in a Department of Mental Retardation operated, licensed, or contracted/funded facility.
Notify and provide a copy of the investigation report to the designated official in DMR.
Abuse by a school employee who holds a certificate, permit or authorization issued by the State Board of Education.
Notify and provide a copy of the investigation report to the employing Superintendent within five (5) working days. Notice shall be given whether or not the child victim was a student in the employing school district.
Abuse by a staff member of a public or private institution or facility providing care for children or private school
Notify and provide a copy of the investigation report to the Executive Director.
Case Transfer to Protective Services
Upon transfer of an investigation to child protective services, all relevant information shall be shared with the new child protective worker and/or supervisor.
