The following is a summary of specific changes made to subchapter C of Chapter II of Title 18:

Section 404.1 is amended to permit providing services in a family assessment response without an application.

Part 428 is amended to require entering progress notes into the case record for cases addressed with family assessment response, paralleling the requirement to enter progress notes for child protective service investigations.

Section 432.1 is amended to update agency names, change terminology from “day services program” to “school-age child care program,” exclude family assessment response as a category of rehabilitative service, and to add family assessment response as one of the activities considered to be protective services for children. Also, some existing definitions are amended, both to comply with the implementation of family assessment response and to update definitions where needed and new definitions are added regarding family assessment response. Amended definitions are:

• Caseload

• Legally sealed unfounded report (changed to legally sealed report, to include all family assessment response reports.

New definitions are:

• Family assessment response

• Family assessment response track

• Investigative track

• Family Led Assessment Guide (FLAG)

• Wraparound funding

• OCFS (changes terminology of “the department” and “the Office” to OCFS throughout the section)

• State Central Register (changes several forms of reference to the Statewide Central Register of Child Abuse and Maltreatment to this terminology throughout the section)

• CONNECTIONS (establishes the use of this name for the electronic data base used for several child welfare services.)

Subdivisions 432.2(b)-(d) are amended to:

• assign sole responsibility for family assessment response to the child protective service;

• require that a family assessment response be initiated within 24 hours of receipt of a report, as is required for an investigation;

• require that, when searching a family’s prior history of abuse or maltreatment, searches of legally sealed reports also include reports for family assessment response;

• delete references to a “local register”;

• limit certain requirements regarding the performance of risk assessments to cases assigned to the investigative track;

• delete a list of specific elements that must be considered in performing risk assessments, substituting a statement that risk assessments must be performed as specified by OCFS;

• include family assessment response in a paragraph regarding intra- and inter-agency agreements.

Subparagraph 432.2(e)(5)(ii) is amended to implement Chapter 525 of the Laws of 2006 regarding training and qualifications of child protective service staff. To comply with sections 421(4) and (5) of the Social Services Law, the amended regulations require that all child protective services workers complete at least six hours of OCFS-approved in-service training every year, starting in the second year of their employment. They require supervisors of protective services, within three months of employment as a supervisor, to complete an OCFS-approved course in the fundamentals of supervising and managing child protective practice, to complete child protective services core training if they have not already done so, and to participate in annual in-service training specifically focused on child protective supervisors. Social services districts must document the training. The regulations additionally establish minimum qualifications for child protective supervisory staff, requiring a baccalaureate or equivalent degree and a minimum of two years of experience in child welfare services.

Subparagraphs 432.2(e)(5)(iv-vii) are repealed, removing regulations regarding enhanced reimbursement pursuant to section 153-g(1)(b) of the Social Services Law, reflecting that there is no longer enhanced reimbursement.

Paragraph 432.2(e)(6) is amended to remove language specifying the amount and manner of payment of the fee when an applicant for employment requests a search of the records of the Statewide Central register of Child Abuse and Maltreatment, replacing it with language establishing that the fee is as established by law and allowing OCFS to specify the manner of payment.

Subparagraph 432.2(f)(2)(vii) is amended to limit the provision of records to law enforcement and the district attorney to those records associated with cases assigned to the investigative track, to comply with section 427-a of the Social Services Law.

Subparagraph 432.2(f)(3)(ii), requiring that an up-to-date local register be maintained, is repealed, in order to address this matter through policy and procedure documents.

Subparagraph 432.2(f)(3)(xxviii) is amended by removing from the list of agencies that can receive information from legally sealed unfounded reports references to the Commission on Quality of Care and the Department of Mental Hygiene and adding the Justice Center for the Protection of People with Special Needs.

Subdivision 432.2(f) is further amended to exclude reports assigned to the family assessment response track from existing requirements to provide notifications of the existence of a report and of the determination of an investigation.

A new subparagraph 432.2(f)(3)(xxx) is added, stipulating that records for cases assigned to family assessment response are legally sealed and specifying the circumstances in which information from those records can be made available and to whom they can be made available.

Section 432.3 is amended to reflect that entering information into CONNECTIONS is the primary method of communications between the child protective service and the SCR. The requirement for child protective services to provide requested records to the SCR within 20 working days is changed to 20 calendar days. A new requirement, reflecting current practice, is added to submit 24 hour and 30 day fatality reports following a child fatality.

Section 432.12 is amended to exclude family assessment response reports from existing requirements regarding the information to be provided to a mandated reporter who requests the findings of an investigation of a report made by the mandated reporter and establishes standards for the provision of information when requested by a mandated reporter for reports that have been assigned to the family assessment report track.

A new section 432.13 is added to Part 432 to provide standards for the implementation of a family assessment response program in a manner that, to the extent possible, is guided by the values of the family assessment response approach. The major provisions of the implementing regulations are as follows:

Subdivision 432.13(a) provides a general description of family assessment response. It describes the responsibilities involved in conducting a family assessment response and stipulates that reports assigned to family assessment response are not subject to the requirements of a child protective service described elsewhere in the regulations, except as specified in those regulations and in sections 422, 426, and 427-a of the Social Services Law.

Subdivision 432.13(b) requires that OCFS approve the application of any social services district wishing to implement family assessment response before it can implement the program. OCFS may revoke its approval if the district does not comply with requirements established by law, these regulations or by OCFS, but only after having consulted with the district to assist them resolve compliance issues. Such district may submit a new application, after resolving the compliance issues. The decision to apply to implement family assessment response is voluntary and optional; a district with a family assessment response program may terminate its program at any time. Such a district may re-apply at any time.

This subdivision requires a district to determine the scope and size of its family assessment response program, to determine the criteria it will use to screen which reports are eligible for the family assessment track, and to develop a written protocol that will guide its practices for determining the most appropriate assignment of reports.

Subdivision 432.13(c) specifies procedures and activities that must be conducted or are recommended before confirming the assignment of a report to the family assessment response track. These include intake procedures and initial track assignment, followed by notification to and provision of information about family assessment response to the family, completion of an initial safety assessment, in which children must be found to be safe in their homes, review of records, and the agreement by the family to assign the report to family assessment response and to cooperate in the response. It describes the procedures for changing from family assessment response to an investigation once the assignment has been confirmed.

Subdivision 432.13(d) establishes procedures for the completion of the initial safety assessment, including the requirement that it be initiated within 24 hours and completed within seven days. Ongoing assessment of safety is required throughout the family assessment response.

Subdivision 432.13(e) specifies how to conduct a family assessment response. It describes activities to be performed as part of a family assessment response, including providing specific information to families eligible to participate in a family assessment response, practicing family engagement, completing a Family Led Assessment Guide, providing on-going risk assessment, focusing on solutions to the family’s needs, offering needed services, providing wraparound goods and services, and notifying the family when its case is closed. These rules also establish standards for when a family assessment response case should be closed, and require bi-weekly casework contacts and specific documentation when a case remains open longer than 90 days.

This subdivision establishes minimum standards for documenting reports assigned to the family assessment response track. It also specifies circumstances that would require a child protective service to end the provision of a family assessment response and initiate an investigation, and establish the procedures for doing that.

Subdivision 432.13(f) establishes rules for the administration and organization of family assessment response programs. It establishes minimum staffing requirements, including minimum education and training requirements. Staff must be trained in child protective services. They must complete training in family assessment response, as determined by OCFS.

This subdivision requires local districts applying to commence or expand implementation of family assessment response to plan for their organization, staffing, and case assignment process and, where any workers may be assigned to both family assessment responses and investigations, plan measures to maintain the integrity of both approaches. Upon the request of OCFS, districts must provide these plans in written format.

This subdivision requires local districts to comply with any requirements for quality assurance that are established by OCFS.

This subdivision establishes that a local district may, with the approval of OCFS, contract with community-based organizations for the provision of certain activities conducted as part of a family assessment response, and specifies certain features that must be part of any such contract.

Subdivision 432.13(g) specifies that family assessment response records are legally sealed and describes the circumstances under which information from those records can be accessed and by whom as well as the restrictions on re-disclosure of such information, in order to comply with Chapter 377 of the Laws of 2011.

Changes made to the last published rule do not necessitate revision to the previously published regulatory impact statement (RIS), because the changes that were made to the rule did not affect or require alteration of the information provided in the previously published RIS. Therefore, the previously published RIS was not revised.

1. Effect of rule:

The 58 social services districts (districts) of New York State will be affected by the proposed regulations. Only those social services districts that choose to implement family assessment response will be affected by the new section 432.13 of the proposed regulations, which promulgates rules and guidelines for family assessment response. The decision about whether to implement family assessment response is voluntary on the part of each social services district, and a district that has opted to implement family assessment response may at any time decide to cease implementing that approach. The regulations, in accordance with Section 427-a of the Social Services Law, offer social services districts that choose to implement family assessment response the option of contracting with community based businesses to conduct some, but not all, of their family assessment response activities, with the approval of the Office of Children and Family Services (OCFS). A few social services districts currently contract with small businesses to perform some of their family assessment response activities; others may choose to do so in the future.

The new Section 432.13 of the proposed regulations, which provides rules and guidelines to assist districts to effectively implement family assessment response, requires districts that choose to implement this alternative response to reorganize their child protective service units, develop written protocols, provide time for formal and informal training in family assessment response, and meet with community stakeholders to inform them about family assessment response. The regulations require those districts, when receiving a report alleging child abuse or maltreatment that they assign to a family assessment response, to engage in actions that parallel those of traditional child protective investigations but, in some aspects, differ from the procedures for investigations. The regulations require initial safety assessments and ongoing assessments of safety and risk, documentation of work, intensive contact with client families, assisting families to obtain, to the extent practicable, goods and services they believe will stabilize the family thereby reducing future risk for children, and ongoing assessment of the effectiveness of their procedures.

The amended regulations in section 432.2(e)(5) bring current rules into compliance with Chapter 525 of the Laws of 2006. The proposed rules increase the minimum qualifications for all newly hired child protective services supervisors. Any potential impact that this could have on the future ability of districts to hire child protective services supervisors is addressed by allowing a district encountering difficulty filling a position because of the new standard to request a waiver from OCFS. However, most jurisdictions currently have locally-imposed minimum qualifications for child protective supervisors that are equal to or more rigorous than those in the proposed regulations.

Other proposed rule changes will have no effect on current practices or requirements for local governments.

The proposed regulations will have no impact on small businesses other than those community-based businesses that voluntarily contract to perform any of the family assessment response activities that social services districts are permitted to contract out; such businesses must adhere to these regulations. Staff in such organizations who will work in family assessment response and do not have training in child protective services must obtain such training as well as training in family assessment response. All such training is provided by and paid for by OCFS.

2. Compliance requirements:

Social services districts that choose to implement family assessment response programs will be required to adhere to the requirements found in the new section 432.13 of the proposed regulations, which implements SSL Sections 422, 426, and 427-a. The proposed family assessment response regulations generally parallel the requirements that apply to traditional child protective services investigations of reports alleging abuse and maltreatment, but differ from existing requirements, as necessary, in order to provide an alternative response to reports of alleged child abuse and maltreatment. The proposed regulations require those districts using the family assessment response to develop criteria for assigning reports to family assessment response and a protocol for applying the criteria. The regulations require them to submit an application/plan to OCFS for its approval; districts that submit such an application will have to devote time and staff to planning and writing. Participating social services districts may need to reorganize their child protective service units to accommodate one or more units that will provide family assessment response. Staff who will be engaged in family assessment response must obtain a few days of additional training. Similar to the procedures that occur when a child protective service addresses a report alleging child abuse or maltreatment with an investigation, participating districts must ensure that their child protective service conducts an initial safety assessment, provides information to the family about the report of child abuse or maltreatment in which they are named and about family assessment response, and complies with reporting procedures, which are slightly different for family assessment response than they are for traditional child protective investigations.

To comply with Chapter 525 of the Laws of 2006, the proposed regulations contain new requirements regarding training and qualifications that apply to all child protective services. The new rules require all child protective services staff, including supervisors and caseworkers, to attend six hours of in-service training annually. Current child protective services supervisors who have not already done so and all newly hired child protective services supervisors will be required to attend a one-time training of one to two weeks specifically tailored for such supervisors. Newly hired child protective services supervisors will be required to have a baccalaureate degree and a minimum of two years of relevant work experience in child welfare services, but a district that has difficulty meeting this standard will be able to request a waiver.

3. Professional services:

The proposed regulations do not create the need for any additional professional services to be provided by small business or local governments. No additional staff will be required.

4. Compliance costs:

All changes included in these proposed regulations are already fully implemented in existing practice by OCFS and local social services districts. These practices are currently supported by existing funding levels. As a result, it is anticipated that these proposed regulations will carry no additional state or local fiscal impact.

5. Economic and technological feasibility:

The proposed regulations will not impose any additional economic or technological burdens on local governments or small businesses.

6. Minimizing adverse impact:

OCFS provides ongoing technical assistance and all training required to implement family assessment response. OCFS conducts regular agency-wide monthly telephone conference meetings with social services district family assessment response staff, designates regional office staff who are available to provide technical assistance to each participating local district, and ensures that central and regional office staff are accessible to answer any questions or address any issues about family assessment response that may arise. OCFS provides numerous resource materials to assist districts in implementing family assessment response and provides periodic coaching and quality review sessions to support the family assessment response work of social services districts. In order to reduce the local districts’ costs for time and travel, all required family assessment response training is paid for by OCFS and is provided online, on-site, or to the extent practicable, in close proximity to wherever the staff receiving the training is located. OCFS is implementing a major restructuring of CONNECTIONS, its electronic record-keeping system for child welfare, which will facilitate record keeping for family assessment response, and will provide all necessary associated training when those changes are put into effect. OCFS maintains internal and external family assessment response web pages that are easily accessible to child welfare staff to provide information about family assessment response; they allow child protective staff to access sample documents, tools, and a variety of information to assist in the implementation of family assessment response. OCFS periodically organizes statewide symposiums on family assessment response that social services districts are invited to participate in.

OCFS provides the training that meets the statutory and regulatory requirements for the training that all child protective supervisors must successfully complete, and also provides many training classes that can be used to fulfill the requirement for all child protective services workers and supervisors to complete six hours of annual in-service training. OCFS pays for travel costs associated with its training whenever local district staff must travel significant distances to obtain the training. OCFS has also increased the availability of online training in order to make training accessible to districts while minimizing the time and transportation costs necessary for training employees.

OCFS will be able to provide a waiver to the regulatory standard established for the minimum qualifications for newly hired CPS supervisors in any instance in which the new regulatory standard creates an obstacle to a district in hiring suitable staff.

7. Small business and local government participation:

OCFS has consulted extensively with local social services districts about the proposed regulations. OCFS staff meets regularly with the staff of social services districts that are implementing or considering implementing family assessment response to discuss all aspects of their practice, and the agency maintains an ongoing dialogue with local districts to discuss any issues, questions or concerns that may arise regarding this alternative approach. In the past several months, OCFS has provided all counties with drafts of the proposed regulations and provided each district with an opportunity to submit questions and comments and participate in an in-depth discussion of the proposed regulations. As a result of those discussions, OCFS has taken the local districts concerns into consideration and made several revisions to the proposed regulations.

Following the enactment of Chapter 525 in 2006, OCFS consulted with all local district child protective services in the state regarding the section of the proposed regulations describing the minimum qualifications for supervisors in child protective services. The proposed regulations reflect the consensus of opinion of those local districts that expressed an opinion.

1. Types and estimated numbers of rural areas:

The proposed regulations will apply to all social services districts (districts) in the state, including those that are in rural areas. Regarding the new section 18 NYCRR 432.13 in the proposed regulations, the decision about whether to implement a family assessment response program is voluntary on the part of each county; therefore, the total number of rural counties that will be affected by those sections of the proposed regulations providing rules for family assessment response is unknown.

Section 432.13 of the proposed regulations promulgates rules and guidelines to assist districts to effectively implement family assessment response. These regulations require districts that choose to implement this alternative response to reorganize their child protective service units, develop written protocols, provide time for formal and informal training, and meet with community stakeholders. The regulations also require actions that parallel those of traditional child protective investigations but, in some aspects, differ from the investigation procedures. The proposed regulations require initial safety assessments and ongoing assessments of safety and risk, documentation of work, intensive contact with client families, as needed, and ongoing assessment of the effectiveness of family assessment response procedures.

The amended regulations in section 432.2(e)(5), which raise the qualifications for all newly hired child protective services supervisors, may have a minimal impact on the future ability of districts, including those in rural areas, to hire child protective services supervisors; however, most jurisdictions, including in rural areas, have locally-imposed minimum qualifications for child protective supervisors that are equal to or more rigorous than those in the proposed regulations and a provision for requesting a waiver exempting a district from the qualifications standards is included in the regulations. Other changes in this section bring current rules regarding training requirements for child protective service workers into compliance with existing statutory requirements and will not affect rural areas.

Other proposed rule changes that update child protective services regulations will have no effect on current practices or requirements in rural areas.

2. Reporting, recordkeeping and other compliance requirements; and professional services:

Only those social services districts that voluntarily choose to implement family assessment response programs will be required to comply with the procedures in the regulations found in the new Section 432.13. The proposed requirements for family assessment response generally parallel the requirements that apply to traditional child protective services investigations of reports alleging abuse and maltreatment, but differ from existing requirements in several respects so as to provide for an alternative response to reports of alleged abuse and maltreatment, as describe in sections 422, 426, and 427-a of the Social Services Law. The proposed regulations require districts that choose to use family assessment response to develop criteria for assigning reports to family assessment response and a protocol for applying the criteria. These districts must submit an application/plan to the Office of Children and Family Services (OCFS) for its approval, which requires them to devote staff and time for planning. Participating social services districts must reorganize their child protective service units to accommodate one or more units that will provide family assessment response. These districts must also provide staff time for formal and informal training in family assessment response. When a local district offers family assessment response, it will be required to provide information to the family about the report of child abuse or maltreatment in which they are named, paralleling information currently provided to families in child protective services (CPS) investigations, and also about family assessment response. The proposed regulations do not contain additional reporting requirements for family assessment response, but the reporting procedures are slightly different than those used in traditional child protective investigations.

To comply with an amendment to Section 421(5) of the Social Services Law enacted in Chapter 525 of the Laws of 2006, the proposed regulations require all child protective services staff, including supervisors and caseworkers, to attend six hours of in-service training annually. As also required by Chapter 525, current child protective services supervisors who have not already done so and all newly hired supervisors are required to attend a one-time training, of one to two weeks, designed for these supervisors. OCFS provides training that fulfills these requirements, but the local district is responsible for any travel expenses incurred. In addition, the proposed regulations establish new qualification standards, as per Chapter 525 of the Laws of 2006, for newly hired child protective services supervisors. They will be required to have a baccalaureate degree and a minimum of two years of relevant work experience in child welfare services.

Other proposed changes in the regulations are technical in nature and require no new requirements or changes in current practices.

These regulations add no requirements for additional professional services in rural areas.

3. Costs:

All changes included in these proposed regulations are already fully implemented in existing practice by OCFS and local social services districts. These practices are currently supported by existing funding levels. As a result, it is anticipated that these proposed regulations will carry no additional state or local fiscal impact.

4. Minimizing adverse impact:

The proposed regulations are not expected to result in any adverse impacts on rural areas. The implementation of family assessment response by any rural county is optional and voluntary. Rural social services districts that implement family assessment response will have increased flexibility in how they address reports alleging child maltreatment; districts will be able to tailor their response to the individual circumstances of each family, providing the response that is most likely to help the family, provide safety for their children, and minimize the likelihood of future reports of alleged abuse or maltreatment for those families.

It is possible, but not likely, that the increase in qualifications for child protective services supervisors promulgated in these regulations could make it slightly more difficult to find qualified individuals for these positions in rural areas, although most rural areas already use standards equal to or more rigorous than those in the proposed regulations. The regulations allow a district that encounters difficulty in filling a CPS supervisor position because of the new standard to request a waiver from OCFS exempting it from the standards, which will mitigate any possible adverse consequences from this new rule for rural counties. Children in rural areas will benefit from the new qualifications requirements. The provisions in the proposed regulations requiring increased training for child protective services workers and supervisors are consistent with and reflect existing law; they should improve the overall quality of casework practice and increase the support that caseworkers receive from their supervisors.

All training required by these regulations is paid for by OCFS and is provided online, on-site, or as close as possible to the agency whose staff is receiving the training, in an effort to reduce travel by staff in rural counties.

5. Rural area participation:

All county departments of social services, including those in all rural areas, were consulted regarding the proposed rules for implementing family assessment response, the changes in qualifications for child protective supervisors, and all other changes proposed. OCFS twice provided drafts of the proposed regulations to all social services districts for their review, and revised the proposed regulations after each review in response to comments received. OCFS also surveyed every social services district regarding their own minimum qualifications for persons hired as child protective services supervisors and what they believed should be the new minimum qualifications statewide.

Changes made to the last published rule do not necessitate revision to the previously published job impact statement (JIS), because the changes do not affect the information in the previously published JIS.

As a rule that requires a RFA, RAFA or JIS, this rule will be initially reviewed in the calendar year 2017, which is no later than the 3rd year after the year in which this rule is being adopted.

The New York State Office of Children and Family Services (OCFS) received comments from seven persons, each addressing several issues. The following are the consolidated comments and the OCFS response to each issue raised.

COMMENTS ON RULES FOR FAMILY ASSESSMENT RESPONSE (New 18 NYCRR § 432.13)

1. Issue: Description of family assessment response. OCFS should change the general description of Family Assessment Response (FAR) in paragraph 432.13(a)(1), substituting alternative language. The first sentence of the description - “In family assessment response, there is no investigation of whether abuse or maltreatment has occurred and no determination of whether the report of abuse or maltreatment should be indicated or unfounded” - could be construed to infer that safety is not central in the FAR approach. Specific suggestions for substitute language include stating that FAR provides ongoing safety assessments and that FAR practice includes determining whether past actions met the definition of abuse or maltreatment.

Response: OCFS agrees that emphasizing child safety will provide a more accurate description of the FAR approach. We reject the suggestion that FAR practice includes determining whether past actions met the definition of abuse or maltreatment, but agree with removing the phrase “no investigation.” The sentence noted above will be changed to, “In family assessment response, there is ongoing assessment of the safety of children without a determination of whether the report of alleged abuse or maltreatment should be indicated or unfounded.”

2. Issue: Costs of FAR / FAR as an unfunded mandate. Implementation of FAR increases costs for local social services districts (districts), with no additional funds provided to meet those costs. FAR may require more staff time and resources than traditional investigations, and provides no additional benefit. The additional costs of FAR stem from information dissemination, family engagement, assessment of family strengths and challenges, documentation, and the provision of wraparound goods and services “that may affect the safety of children.”

Response: No changes will be made in response to these comments. The cost of FAR is not appropriately addressed in regulations, which only implement law. Nevertheless, we have the following responses regarding these concerns:

First, implementation of FAR is not a mandate; it is completely voluntary for districts.

Second, we have no evidence, from FAR districts or elsewhere, that FAR costs districts more than providing an investigative response. Additional training for FAR is paid for by OCFS. Furthermore, we believe that all good CPS and child welfare practice, not just FAR, includes the elements cited above – information dissemination, family engagement, etc.

Third, there is evidence, in New York and elsewhere, that FAR may reduce long-term costs by reducing the number of out-of-home placements of children and possibly reducing the number of repeated reports. For some families, the FAR approach - engaging the family to identify problems and develop solutions - is more effective than an investigation in reducing future risk.

Fourth, FAR positively affects the well-being of both clients and caseworkers. FAR families are generally happier with their CPS interactions than families receiving investigations and there is a reduction in the trauma that adults and children experience compared to investigations. Research has also documented that FAR caseworkers are generally more satisfied with their work than other CPS caseworkers, potentially improving staff retention.

3. Issue: Wraparound goods and services. OCFS should remove the following sentence in subparagraph 432.13(e)(2)(viii): “Districts must offer to provide wraparound goods and services to families, as appropriate, to meet those needs of the family that may affect the safety and well-being of children.” There are three concerns: first, the sentence is confusing because it contains both an imperative (must provide) and a subjective measure (as appropriate); second, this requirement might result in liability or public disparagement if goods or services were not provided and there was a later safety concern, and third, it creates another unfunded mandate.

Response: OCFS is deleting the above sentence. The requirement to provide goods and services needed to address safety concerns is adequately addressed in subparagraph 432.13(e)(2)(vii). Other information regarding wraparound expenditures will be moved to subparagraph 432.13(e)(2)(vii).

Note – OCFS disagrees that requiring an action “only where appropriate” creates a contradiction. All CPS workers must consider each case’s unique circumstances to determine what actions are needed, desirable, possible, and acceptable to the family. The solution-focused nature of FAR especially requires addressing needs on a case-by-case basis.

4. Issue: Requirement that OCFS approve modifications to the scope of FAR. OCFS should remove the requirement in paragraph 432.13(b)(4) for districts to obtain OCFS prior approval to modify the scope of FAR. This would provide districts flexibility to adjust their programs to meet the needs of their individual communities.

Response: SSL § 427-a requires prior OCFS approval of each district’s FAR application/plan and specifies information it must contain, including the factors used to determine which cases are FAR-eligible, and a description of staff resources to be used. It follows that a district wishing to change its plan would need OCFS approval. Operationally, OCFS provides the caseworker training necessary for FAR implementation and must manage expansions to plan for needed training.

5. Issue: There is no option for limited participation in FAR. Clause 432.13(b)(4)(ii)(a) requires that FAR “…include a broad spectrum of cases representing a significant percentage of its child protective services reports,” leaving districts no option for limited participation in FAR.

Response: OCFS believes that the regulation leaves room for flexibility; it uses the word “should” and does not preclude the option of limiting the types of cases assigned to FAR. That said, in reviewing FAR applications, OCFS considers the categories of allegations as well as the number and percentage of reports projected to be addressed with FAR, and discusses the district’s choices with them. Because FAR implementation requires the investment of both state and local resources, OCFS wants each new program to have the best chance of succeeding. Assigning a significant proportion of all reports to FAR has proved to contribute to a successful program.

6. Issue: Requirement to screen all reports for possible FAR assignment. The requirement in paragraph 432.13(c)(2)that FAR districts screen all SCR reports for FAR eligibility is overly bureaucratic; it would require screening even if the district has reached its FAR capacity.

Response: OCFS believes that this requirement is neither burdensome nor unreasonable. There is no regulatory requirement to check all items on a FAR eligibility checklist when it is clear that an SCR report cannot be assigned to FAR. A district’s protocol could reflect this. However, a district providing FAR must choose a track assignment for every report, even if the thought process is as elemental as “we currently have no FAR caseworkers available so the report will be assigned to investigation.” A CONNECTIONS FAR build that recently went into effect requires districts providing FAR to assign every report to either FAR or investigation.

7. Issue: Lack of clarity about changing from FAR track upon receipt of a new report. Subparagraphs 432.13(c)(5)(ii) and (iii) lack clarity about when an open FAR case must be changed to the investigation track. Specifically, there is confusion about whether receiving a subsequent report from the SCR requires converting a FAR case to an investigation case in every instance.

Response: The regulations do not permit re-tracking of a FAR case after seven days except in two circumstances, which are described in the cited section. In order to make the cited regulation as clear as possible, OCFS has made some minor language and formatting changes to paragraph 432.13(c)(5).

8. Issue: FAR assignment when parents disagree about using it. Outside the public comment process, OCFS was asked to clarify whether a report can be assigned to FAR where one parent chooses it and another parent does not.

Response: OCFS provided clarification for this circumstance in sub-clause 432.13(c)(4)(iii)(d)(1). This rule permits the use of FAR in instances in which one parent who is a subject of a CPS report wants to accept the offer to address the report through FAR while another parent does not want to participate in FAR, but only when the CPS believes that the family will benefit from FAR despite the refusal of a parent to cooperate.

9. Issue: Provision of public information about FAR. The regulations should assign OCFS the responsibility of conducting a FAR public information campaign, either entirely or as a partner, because lack of understanding about the program by the public impacts its effectiveness.

Response: Again, while this is an interesting topic, OCFS does not believe it is an appropriate subject for regulations.

COMMENTS ON AMENDMENTS TO CHILD PROTECTIVE SERVICES RULES

10. Issue: CPS Supervisor Qualifications. New qualification standards for CPS supervisors established in subparagraph 432.2(e)(5)(iii), requiring a baccalaureate or equivalent degree and two years of work in child welfare services, should be changed. Small districts that do not have a large pool of candidates to choose from may face obstacles in promoting candidates, with possible negative impacts especially on rural counties. The regulations create different standards for supervisors in CPS than in other child welfare areas.

Response: Legislation enacted in 2006 aimed to increase the level of expertise in CPS. It required OCFS to consult with districts in determining new qualifications for CPS supervisors, but mandated that the standards require, at a minimum, a baccalaureate or equivalent degree or three years of relevant experience in a human services field. OCFS surveyed all districts in an effort to determine their local standards and their preferred regulatory standards, and based the new qualifications on the 31 responses received:

• 28 districts already required a bachelor’s degree; the remaining 3 required up to 7 years of experience.

• 28 districts required 3 or more years of experience.

• 1 district preferred the minimum standard allowed by the new legislation.

• 21 districts preferred requiring a bachelor’s degree plus 3 years of relevant experience.

• 9 districts preferred requiring a BSW (or other related degree) or master's degree plus 3 years relevant experience.

Having well-qualified supervisory staff is important for maintaining high standards in CPS work. However, understanding the importance of flexibility if instances arise where the new standards create obstacles for small districts, OCFS has added a waiver provision to the regulations, which will enable OCFS to grant exceptions if the regulatory standard creates a barrier to hiring or promoting valued qualified staff.

11. Issue: New training requirements. New training requirements established in subparagraph 432.2(e)(5)(ii) are too specific regarding training topics. Adhering to these requirements will limit districts in providing the training that is needed by their staffs. It will be difficult to develop the training needed to fulfill these requirements; OCFS should design training to meet the new requirements.

Response: The new training regulations reflect legislative changes enacted in 2006. OCFS developed commensurate training shortly thereafter, and has provided that training since 2007. OCFS policy 07-OCFS-LCM-09, Guidelines for Compliance with CPS Training Requirements, lists OCFS-provided training that fulfills the requirements. Categories of required topics for in-service training are specified in the 2006 statute, but are sufficiently broad that a variety of training relevant to CPS will fulfill the requirements. OCFS will continue to be flexible regarding these requirements. The required subjects for the mandated CPS supervisory training to be completed within three months of hire are already incorporated into this OCFS-provided training. It is unlikely that districts will have to change current training practices because of these training regulations.

12. Issue: Additional concerns about OCFS responsibility for training. OCFS should provide online training. The regulations should require regularly scheduled performance assessments of OCFS training courses.

Response: While these are interesting ideas, OCFS does not believe that they are appropriate subjects for regulations.