N.Y. Comp. Codes R. & Regs. tit. 18 § 432.1

Current through Register Vol. 46, No. 45, November 2, 2024

Section 432.1 - Definitions

For purposes of this Part, the following definitions shall apply:

(a)Abused child means a child, less than 18 years of age, whose parent or other person legally responsible for his care:

(1) inflicts or allows to be inflicted upon such child physical injury by other than accidental means which causes or creates a substantial risk of death, or serious or protracted disfigurement, or protracted impairment of physical or emotional health or protracted loss or impairment of the function of any bodily organ; or

(2) creates or allows to be created a substantial risk of physical injury to such child by other than accidental means which would be likely to cause death or serious or protracted disfigurement, or protracted impairment of physical or emotional health or protracted loss or impairment of the function of any bodily organ; or

(3) commits, or allows to be committed, a sex offense against such child, as defined in the Penal Law allows, permits or encourages such child to engage in any act described in sections 230.00, 230.25, 230.30 and 230.32 of the Penal Law; commits any of the acts described in section 255.25 of the Penal Law; or allows such child to engage in acts or conduct described in article 263 of the Penal Law; provided, however, that the corroboration requirements contained in the Penal Law and the age requirement for the application of article 263 of such law shall not apply to proceedings under article 10 of the Family Court Act (child protective proceedings).

(b)Maltreated child means a child, less than 18 years of age:

(1) whose physical, mental or emotional condition has been impaired or is in imminent danger of becoming impaired as a result of the failure of his parent or other person legally responsible for his care to exercise a minimum degree of care:

(i) in supplying the child with adequate food, clothing, shelter or education in accordance with the provisions of part 1 of article 65 of the Education Law, or medical, dental, optometrical or surgical care, though financially able to do so or offered financial or other reasonable means to do so; or

(ii) in providing the child with proper supervision or guardianship, by unreasonably inflicting or allowing to be inflicted harm, or a substantial risk thereof, including the infliction of excessive corporal punishment; or by misusing a drug or drugs; or by misusing alcoholic beverages to the extent that he loses self-control of his actions; or by any other acts of a similarly serious nature requiring the aid of the court; provided, however, that where the parent or other person legally responsible is voluntarily and regularly participating in a rehabilitative program, evidence that the parent or other person legally responsible has repeatedly misused a drug or drugs or alcoholic beverages to the extent that he loses self- control of his actions shall not alone establish that the child is a neglected child in the absence of evidence establishing that the child's physical, mental or emotional condition has been impaired or is in imminent danger of becoming impaired as set forth in paragraph (1) of this subdivision; or

(2) who has been abandoned by his parents or other person legally responsible for his care; or

(3) who has had serious physical injury inflicted upon him by other than accidental means.

(c)Person legally responsible for a child includes the child's custodian, guardian, any other person responsible for the child's care at the relevant time. Custodian may include any person continually or at regular intervals found in the same household as the child when the conduct of such person causes or contributes to the abuse or neglect of the child.

(d)Subject of the report means any of the following persons who are allegedly responsible for causing injury, abuse or maltreatment to, or allowing injury, abuse or maltreatment to be inflicted on, a child named in a report to the State Central Register of Child Abuse and Maltreatment:

(1) a child's parent or guardian;

(2) a director, operator, employee or volunteer of a home operated or supervised by an authorized agency, OCFS, or an office of the Department of Mental Hygiene or a family day-care home, a day-care center, a group family day-care home, or a school-age child care program;

(3) a consultant or any person who is an employee or volunteer of a corporation, partnership, organization or any governmental entity which provides goods and services pursuant to contract or other arrangement which provides for such consultant or person to have regular and substantial contact with children; or

(4) any other person 18 years of age or older legally responsible for a child, including the child's custodian, guardian and any person responsible for the child's care at the relevant time. Custodian may include any person continually or at regular intervals found in the same household as the child when the conduct of such person causes or contributes to the abuse or maltreatment of the child.

(e)Other person named in the report shall mean and be limited to the following persons who are named in a report of child abuse or maltreatment other than the subject of the report: any child and/or children who are named in a report made to the State Central Register of Child Abuse and Maltreatment and the parent, guardian or other person legally responsible for such child(ren) which parent, guardian or other person legally responsible for such child(ren) have not been named in the report as the person allegedly responsible for causing injury, abuse or maltreatment to such child(ren) or as allegedly allowing such injury, abuse or maltreatment to be inflicted on such child(ren).

(f)Unfounded report means any report made, unless an investigation determines that some credible evidence of the alleged abuse or maltreatment exists.

(g)Indicated report means a report made in which an investigation determines that some credible evidence of the alleged abuse or maltreatment exists.

(h)Public hearing means a hearing held prior to the submission of a local plan in a place and at a time which will allow the maximum number of concerned citizens and professionals to attend. The hearing shall be publicized in a manner which would bring the meeting and its purpose to the attention of the maximum number of agencies and individuals. Notice of such hearings should be publicized at least two weeks in advance through local media and through notices mailed by the local department of social services to appropriate groups, organizations and community agencies. The meeting shall be conducted in such a way as to encourage recommendations from those in attendance.

(i)Rehabilitative service means those services necessary to safeguard and protect the child's well-being and development and to preserve and stabilize family life, including but not limited to preventive services as defined by Part 423 of this Title, and protective services for children as defined by subdivision (p) of this section; provided, however, that no activity relating to the receiving of reports of child abuse and/or maltreatment or the investigation thereof and the determination as to whether or not such a report is indicated or unfounded, or to the family assessment response for such reports, will be considered a rehabilitative service for the purposes of this Part.

(j)Monitoring means the active continued involvement of the social services district's child protective service with those indicated cases of child abuse and maltreatment which are open on the State central register, but where the child protective service worker(s) are not the primary service provider for the case. The purpose of such involvement is to ensure the continued safety of the child(ren) in the case, that risk reduction activities and services are being implemented, and that the service plan is modified when progress has been insufficient.

(k)Monitor shall refer to the employee of the child protective service who is monitoring the services being provided by someone other than the child protective service employee to children named in an indicated case of child abuse and/or maltreatment which is open in the State Central Register and their families.

(l)Family and children's services plan shall refer to the case planning requirements of the uniform case record, pursuant to Part 428 of this Title.

(m)Case management shall mean the responsibility of the local social services district to authorize the provision of protective services for children, to approve in writing the child and family services plan, and to approve in writing the reports to be submitted to the State Central Register of Child Abuse and Maltreatment and the filing of such reports to the State Central Register.

(n)Case planning means assessing the need for, providing or arranging for, coordinating and evaluating the provision of protective services for children and all other rehabilitative services provided to children named in abuse and/or maltreatment reports and their families. Case planning includes referring child(ren) and his/her family to providers of rehabilitative services, as needed. Case planning responsibility also includes recording in the child's uniform case record that such services are provided and that casework contacts, as prescribed by subdivision (o) of this section, are provided. In addition, case planning includes the timely completion of reports required by this Part to be submitted or transmitted to the State central register.

(o)Casework contacts mean face-to-face contacts with a child and/or a child's parents or guardians, or activities with the child and/or the child's parents or guardians, which may include but are not limited to:

(1) facilitating information gathering and analysis of safety factors;

(2) facilitating information gathering and analysis of the inter-relatedness of risk influences and individual risk elements affecting family functioning;

(3) reaching a determination on the allegations reported to the State central register;

(4) providing necessary protection to the child and/or ensuring the provision of such protection;

(5) providing rehabilitative services to reduce risk to the child and/or ensuring the provision of such services;

(6) evaluating the level of progress being made toward achievement of outcomes set forth in the family and children's service plan; and

(7) assessing family needs and strengths and facilitating the provision of services in conjunction with a family assessment response.

(p)Protective services for children means activities on behalf of children, under the age of 18, who are named in an alleged or an indicated report of abuse and/or maltreatment. The following activities may be considered protective services for children:

(1) identification and diagnosis, including assessment of a child's safety and risk to the child of abuse or maltreatment;

(2) receipt of child abuse and/or maltreatment reports and investigation thereof, including the obtaining of information from collateral contacts such as hospitals, school and police;

(3) making determinations, following investigations, that there is credible evidence of child abuse and/or maltreatment;

(4) receipt of child abuse and/or maltreatment reports and the provision of a family assessment response to such reports, including communicating with the family to identify concerns affecting family stability and assisting them to identify services and resources that will minimize future risk to a child;

(5) providing counseling, therapy and training courses for the parents or guardians of the individual, including parent aide services;

(6) counseling and therapy for individuals at risk of physical or emotional harm;

(7) arranging for emergency shelter for children who are suspected of being abused and/or maltreated;

(8) arranging for financial assistance, where appropriate;

(9) assisting the Family Court or the Criminal Court during all stages of a court proceeding in accordance with the purposes of title 6 of article 6 of the Social Services Law;

(10) arranging for the provision of appropriate rehabilitative services, including but not limited to preventive services and foster care for children;

(11) providing directly or arranging for, either through purchase or referral, the provision of day care or homemaker services, without regard to financial criteria. Programmatic need for such service must have been established as a result of the investigation of a report of child abuse and/or maltreatment received by the State Central Register and such services must terminate as a protective service for children when the case is closed with the register, pursuant to the standards set forth in section 432.2(c) of this Part;

(12) monitoring the rehabilitative services being provided by someone other than the child protective service worker;

(13) case management services;

(14) case planning services; and

(15) casework contacts.

(q)Documentation file shall mean the memos and procedures compiled by a local district which supports compliance with the statutory and regulatory requirements related to child protective services.

(r)Primary service provider shall refer to a caseworker who is responsible for both case planning and providing casework contact services to children named in indicated abuse and/or maltreatment reports and their families.

(s)Pre-determination means the period between the time a report of suspected child abuse or maltreatment is made and a determination report is submitted or transmitted to the State central register.

(t)Post-determination means the period beginning with the time a report of suspected child abuse or maltreatment is determined to be indicated and the family continues to receive child protective services through the time that the child protective services case is closed.

(u)Caseload means the number of cases to which an individual child protective services worker provides either pre-determination and/or post-determination services or a family assessment response. A case is established through the State Central Register numbering process and is the result of a report of suspected child abuse or maltreatment being made to the State Central Register.

(v)Casework supervision means the provision of guidance and support to a child protective services worker in planning and taking actions with or pertaining to a family in the worker's caseload. Actions supervised include, but are not limited to, the initial steps to be taken in response to a report of child abuse or maltreatment, taking protective custody of a child, developing and carrying out a service plan for a family, and deciding when to close a case.

(w)Risk assessment means an evaluation of elements that pertain to and influence a subject of the report, other persons named in the report and any other children in the household in order to assess the likelihood that such child(ren) named in the report or in the household will be abused or maltreated in the future.

(x)Specialized rehabilitative services means assessment, diagnosis, testing, psychotherapy, and specialized therapies provided as a component of a service plan to children named in an indicated child abuse and/or maltreatment report and their families by a person who has received a master's degree in social work, is a licensed psychologist, is a licensed psychiatrist or other recognized therapist in human services or is a licensed or qualified individual including, but not limited to, a registered nurse or an alcohol or substance abuse counselor. Such service providers may be considered to be making casework contacts as defined in section 432.2(b)(3) of this Part when the specialized rehabilitative services are directed by, arranged by, or otherwise coordinated by the case planner.

(y)Supportive services means those services provided to the children named in an indicated report and/or their families including, but not limited to, parent aide services, homemaker services, or home health aide services, parent training services, housekeeper/chore services; and home management services. Persons providing such services may be considered to be making casework contacts as defined in section 432.2(b)(3) of this Part when the supportive services are directed by, arranged by or otherwise coordinated by the case planner.

(z)Probation services means services provided by a probation service that are related to the provision of protective services.

(aa)Preliminary assessment of safety means an evaluation of safety factors to determine whether the child(ren) named in the report and any other child(ren) in the household may be in immediate danger of serious harm, and, if any child is assessed to be unsafe, undertaking immediate and appropriate interventions to protect the child(ren).

(ab)Controlling interventions are activities or arrangements which protect a child from unsafe situations, behaviors or conditions which are associated with immediate danger of serious harm, and without which the unsafe situations, behaviors or conditions would still be present or would in all likelihood immediately return.

(ac)Legally sealed report means a report made to the State Central Register on or after February 12, 1996, that was determined to be unfounded based on a lack of some credible evidence or a report made to the State Central Register that was assigned to the family assessment response track.

(ad)Family assessment response (FAR) is an alternative child protective response to reports of child abuse and maltreatment in which no formal determination is made as to whether a child was abused or maltreated and which is based on principles of family involvement and support consistent with maintaining the safety of the child. In family assessment response, the family and child protective service jointly participate in a comprehensive assessment of the family's strengths, concerns, and needs, and plan for the provision of services that are responsive to the family's needs and promote family stabilization, for the purpose of reducing risks to children in the family.

(ae)Family assessment response track means the employment of the family assessment response, as established in section 432.13 of this Part, to address a report of alleged child abuse or maltreatment by using family assessment response-specific processes and practices for the assessment of safety, risk, and family strengths and needs and the development and implementation of solution-focused plans to address identified needs.

(af)Investigative track means the employment of child protective service procedures, as established in section 432.2 of this Part, to address a report of alleged child abuse or maltreatment by using methods of investigation, assessment of safety and risk, and determination of such report as indicated or unfounded.

(ag)The Family Led Assessment Guide (FLAG) means a tool used in a family assessment response by all members of the family and child protective service staff to jointly identify the family's individual and family strengths, needs and concerns. The contents of the FLAG are specified by OCFS.

(ah)Wraparound funding means flexible and non-categorical funding used for the short-term provision of goods and services to meet family-identified needs, as part of a plan to support the family's ability to provide adequate care to their children and/or to minimize risk for one or more children in their household. The choice of goods and services is individualized to meet the unique needs of each child and family.

(ai)OCFS refers to the New York State Office of Children and Family Services or any successor state agency of that or any other name that is responsible for the supervision of child protective services in New York State. References to the department also refer to OCFS.

(aj)State Central Register means the New York Statewide Central Register of Child Abuse and Maltreatment or any successor agency that assumes the duties and responsibilities established in section 422 of the Social Services Law. References to the SCR or the register and any variations of that name also refer to the State Central Register.

(ak)CONNECTIONS refers to the computerized electronic system of record that is used for recording child welfare case information in New York State, including information regarding reports of alleged child abuse and maltreatment and the provision of protective services. This term will also apply to any successor reporting system that may be required by OCFS for recording such information.

N.Y. Comp. Codes R. & Regs. Tit. 18 § 432.1

Amended, New York State Register October 22, 2014/Volume XXXVI, Issue 42, eff. 10/22/2014