Department for Community Based Services

Standards of Practice Online Manual

1.8 Prevention Planning

Cabinet for Health and Family Services

Department for Community Based Services
Division of Protection and Permanency
Standards of Practice Online Manual
Chapter 1-Fundamentals of Practice
1.8 Prevention Planning

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Legal Authority/Introduction



Use During Investigations

The SSW: 

  1. Utilizes the Prevention Plan when safety concerns and high risk patterns of behavior are identified during an investigation and:
    1. When the SSW believes the child(ren)’s safety may be compromised and the child remains in the home/setting;
    2. When the child(ren) has been temporarily placed with a relative or other person chosen by the parent/caretaker due to risk or safety issues;1
    3. An investigation indicates a family needs services or substantiates abuse or neglect;
    4. When a child has been identified as being at serious or imminent risk of removal (472)(i)(2) of the Social Security Act); or  
    5. When there are significant changes in the family including but not limited to; removal, household member change, change of residence, supervision specifications, etc.
  2. Negotiates the prevention plan with the family and other relevant individuals involved, and informs the family that the plan will be renegotiated or discontinued within 30 days;
  3. Ensures the prevention plan:
    1. Includes services that can assist the family to prevent abuse or neglect and maintain the child(ren) in the home; 
    2. Includes clear and concise tasks with beginning and end times;
    3. Is signed by persons who have tasks; and

    4. Does not substitute for a petition being filed with the juvenile/family court when there are long term protection needs;

  4. Includes monitoring by those who participated in the planning process;

  5. Does not include monitoring of any portion of a prevention plan without all participants' explicit knowledge and written consent;

  6. Provides a copy to the following:

    1. Family members, including children of appropriate age;

    2. Alleged perpetrators (when safe to do so);

    3. Relatives; and

    4. Community partners involved;

  7. Negotiates immediate safety concerns with the family including but not limited to:

    1. Specific threats to a child's health and/or safety;

    2. The caregiver's high risk behaviors which may include:

      1. Substance misuse;

      2. Violence

      3. Mental health issues; and/or

      4. Cognitive disabilities.  

    3. Dangerous family situations and maltreatment.

  8. Incorporates agreed upon tasks the family will follow to address immediate dangerous family situations and high risk behaviors into the:2

    1. Case plan for an investigation that is transferred for ongoing services; or

    2. Aftercare plan, as appropriate, when the investigation is not substantiated and closed;

  9. Files a hard copy of the prevention plan or aftercare plan in the case record.
  10. Renegotiates the prevention plan every thirty (30) business days or whenever a significant change occurs; and
  11. Consults with FSOS immediately to discontinue the prevention plan when there are no remaining safety threats that require the provisions of the prevention plan, and:
    1. Conducts an immediate phone call with the parent/caregiver; and
    2. Sends a letter to parent/caregiver discontinuing the prevention plan if all safety threats and risks are eliminated.
  12. Completes a face to face interview with the parent/caregiver within forty eight (48) hours if the prevention plan needs to be renegotiated based on safety threats or risks to the child(ren). 3

Use During Investigations with Risks Associated with Domestic Violence 


The SSW:

  1. Utilizes safety planning as the strategy for protecting the non-offending parent/caregiver and/or minor child(ren) from the abuse;
  2. Develops safety planning with the non-offending parent/caregiver including but not limited to the following strategies;
    1. Increase the non-offending parent/caregiver's ability to protect self and /or minor children, particularly when a crisis exists and the potential risk is high;
    2. Continually assess the degree of danger to the non-offending parent/caregiver and /or minor child(ren); and
    3. Address the minimization and denial regarding the presence and extent of violence;
  3. Develops the plan by utilizing the following parameter:
    1. Driven by the non-offending parent/caregiver;
    2. Specific;
    3. Detailed;
    4. Practical; and
    5. Revised as necessary;
  4. Ensures non-offending parent/caregiver's cooperation if safety planning is completed;
  5. May use the prevention plan form for the development of a safety plan, but the plan is only effective if the non-offending parent/caregiver participates in the process; and
  6. Develops the safety plan either verbally or in written form.  If a written safety plan is developed and the alleged victim agrees that a copy may be retained by the department, the SSW documents the safety planning using the prevention plan form and files it in the case record. 


Use During Ongoing Cases

The SSW:

  1. Uses the Prevention Plan: 4

    1. As a worksheet to negotiate the primary FLO, ILO and tasks related to maltreatment, presenting problem or need for which the case is opened; and

    2. To negotiate the secondary FLO and tasks as appropriate, which address family and child well-being issues, secondary risk factors, and service objectives the family is willing to work toward;

    3. To outline provisions of a planned placement move based on the re-leveling of a child in out of home care (this is not always included in the case plan); and

    4. To document service provision designed to avoid removal from the home by including a statement that “absent effective preventive services, placement in foster care is the planned arrangement for the child,” when a prevention plan is being written to identify and provide services designed to prevent removal of the child(ren) (472)(i)(2) of the Social Security Act-IV-E Candidate Claiming)

  2. Leaves the prevention plan with the family to use as reference until they receive a hard copy of the TWIST printout of the DPP-1281 Family Case Plan;

  3. Enters the information verbatim in the DPP-1281 Family Case Plan (TWIST) when the blank signature page of the case plan is signed based on the negotiated objectives and tasks stated on the Prevention Plan;

  4. Reviews changes with the family and obtains a new signature page if the information captured on the Prevention Plan is not entered into the case plan exactly as written;

  5. Indicates if a community partner is assisting the family in developing the prevention plan by circling “Yes” on the appropriate box on the Prevention Plan;

  6. Updates the assigned tasks, based on the input from the family and/or community partner no later than the next revised case plan or due date;

  7. Enters primary and secondary FLO, ILO and tasks in the Family section of the case plan;

  8. Documents information about each objective into the contact running record screens in TWIST monthly at minimum, which include:

    1. Addressing progress or lack thereof for every objective with specific tasks towards improvement;

    2. Selecting only the objective(s) being addressed each time a contact is entered;

    3. Renegotiating the tasks with the family using the Prevention Plan, if progress is not being made, (e.g., “Case plan tasks were updated with the family on this date, see Prevention Plan, hard copy in the case record”); and

    4. Communicating with community partners and documenting feedback in the contact running record no less than quarterly;

  9. Ensures that the following tasks are negotiated with the family which will enable them to achieve their objectives:

    1. At least one task for each objective documenting how the SSW is to assist in meeting the objective; and

    2. Timeframes when the task will begin and end;

  10. Considers the view of team members and the family’s circumstances when an objective’s and task’s timeframe is being established;

  11. Renegotiates the case plan with the family on or before the six (6) month date of the previous case plan at minimum and within every six (6) months thereafter until the case is closed; and

  12. Files hard copies of the Prevention Plan in the case record, when used. 

Contingencies and Clarifications

  1. For cases involving a substance affected infant, ensures that prevention plan content includes the requirements specified iSOP 1.15 Working with Families Affected by Substance Misuse (Capta 106(b)(2)(B)(ii) and (iii)). 
  2. If it is determined that tasks on the prevention plan will be monitored those that may agree to participate in the monitoring include the following: 5
    1. Child;
    2. Parent(s);
    3. Investigating SSW;
    4. R&C SSW;
    5. Superintendent, facility or program director, administrator or designee;
    6. Treatment provider;  
    7. Teachers or child care staff;
    8. Private agency staff who serve the child or foster/adoptive resource home;
    9. Child’s SSW; 
    10. Resource parent’s SSW;
    11. Alleged perpetrator; or
    12. SRA or designee if:
      1. The child is at a significant level of risk;
      2. There is a risk of removal of the child from the setting; or
      3. The parties are unable to agree upon or sign the prevention plan’s contents.
  3. The SSW:
    1. May utilize the Prevention Plan (hardcopy) to make revisions in the case plan tasks throughout the duration of the case plan period;
    2. May have the blank signature page of the case plan signed at the time of negotiating the objectives and tasks on the Prevention Plan. 

Related Information 

  • High risk behaviors may cause harm to a child, create safety issues and risk factors related to:
      • Substance misuse;
      • Violence;
      • Mental health issues; and/or
      • Cognitive disabilities. 




  1. Follow procedures in SOP 4.5 regarding requirements for placements with a relative. 
  2. The prevention plan remains intact and effective as negotiated, until it has been incorporated into the case plan or aftercare plan.
  3. The phone call, face to face renegotiation (if applicable), and written notification (if applicable) are documented in the ADT, and the written notification (if applicable) is filled in the case file.
  4. Except when the case plan is negotiated with access to a computer.
  5. The Office of Inspector General (OIG) will not provide monitoring on prevention plans or aftercare plans.


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