N.Y. Comp. Codes R. & Regs. tit. 18, § 428.6 – Family assessments and service plans (content).

(a) The purpose of family assessments and service plans is to record information gathered about family members in receipt of child welfare services, including preventive services, child protective services, foster care and/or adoption services; assist with evaluations and assessments of the family; assist with determining the family's need for services necessary to achieve the child(ren)'s permanency planning goal; assist with ascertaining family progress in meeting desired outcomes and assist with on-going planning with the family.
1. (1) Each family assessment and service plan must include but is not limited to the following:
  1. (i) a program choice or choices for each child receiving services;
  2. (ii) a goal and plan for child permanency;
  3. (iii) a description of legal activities and their impact on the case;
  4. (iv) a thorough and comprehensive assessment or reassessment and analysis of the family members' strengths, needs and problems;
  5. (v) immediate actions or controlling interventions, as defined in section 428.2(j) of this Part, which must be taken or have been provided;
  6. (vi) the family's view of its needs and concerns;
  7. (vii) a plan of services and assistance made in consultation with the family and each child over 10 years old, whenever possible, which utilizes the family's strengths and addresses the family members' needs and concerns;
  8. (viii) the status of the service plan including service availability and a description of the manner of service provision;
  9. (ix) the family's progress toward plan achievement;
  10. (x) essential data relating to the identification and history of the child and family members and a summary which documents the involvement of the parent(s) or guardian, child(ren) and any others in the development of the service plan including their input into the service plan;
  11. (xi) safety assessments in all cases, as defined in section 428.2(i) and section 428.3(g) of this Part;
  12. (xii) risk assessments in child protective services cases, as defined in section 428.2(h) of this Part; and
  13. (xiii) assessments of family functioning.
2. (2) Family assessment and service plans prepared at the time a child enters foster care or is moved from one foster care placement to another, as applicable, must also include but are not limited to the following:
  1. (i) a description of the reasonable efforts made to prevent or eliminate the need for placement or the justification for the determination that reasonable efforts were not necessary;
  2. (ii) identification of all available placement alternatives and the specific reasons why they were rejected;
  3. (iii) the efforts made to locate any absent parents;
  4. (iv) the type and level of placement; documentation that the placement has been assessed to be one that can safely provide for the individual needs of the foster child; and the reasons for selecting the placement if it is not the least restrictive environment;
  5. (v) documentation that continuity in the child's environment has been maintained in accordance with the standards in section 430.11(c) of this Title, or the reasons why this is not practicable or in the best interests of the child;
  6. (vi) information about whether the child will be placed with the child's siblings and half-siblings and, if not, the reasons which preclude the placement and the arrangements made for contact between the siblings and half-siblings;
  7. (vii) an estimate of the anticipated duration of the placement and the circumstances and conditions that must be met to safely discharge the child from placement;
  8. (viii) a visiting plan for the child with his or her parent(s), guardian, siblings, half- siblings and other significant family members, potential permanency resources and/or any other persons of significance to the child;
  9. (ix) a description of the compelling or other reasons identified for not filing a petition to terminate parental rights for any child in foster care for at least 15 of the most recent 22 months, if such petition has not been filed or the child is not already free for adoption;
  10. (x) where concurrent planning is determined through assessment to be warranted in the case, a description of the alternate plan to achieve permanency for the child if the child cannot be safely returned home.
3. (3) For a child in foster care, in a manner consistent with article 27-F of the Public Health Law regarding HIV confidentiality, within ten days of the preparation of the complete initial family assessment and service plan, a copy of the following components of that document must be given to the child's parent(s) or guardian, counsel for such parent(s) or guardian, and the child's law guardian: the family and children's service plan as described in subparagraphs (1)(vii) and (viii) of this subdivision, the visiting plan and those parts of the uniform case record where the information described in paragraph (2) of this subdivision are contained.
4. (4) Family assessment and service plans prepared at the time a child is placed by the court in the direct custody of a relative or other suitable person pursuant to article 10 of the Family Court Act or is moved from one such placement to another, as applicable, must also include but are not limited to the following:
  1. (i) a description of the appropriateness of the living arrangement, including documentation that the placement has been assessed to be one that can safely provide for the individual needs of the child, and the caretaker's name and relationship to the child;
  2. (ii) a description of the child's functioning, including the child's adjustment to the placement, and how the setting meets the child's needs;
  3. (iii) a visiting plan for the child with his or her parent(s), guardian, siblings, half-siblings and other significant family members, potential permanency resources and/or any other persons of significance to the child;
  4. (iv) a description of the permanency plan for the child; and
  5. (v) where concurrent planning is determined through assessment to be warranted in the case, a description of the alternate plan to achieve permanency for the child if the child cannot be safely returned home.
5. (5) In addition to the requirements set forth in paragraph (1) of this subdivision, each family reassessment and service plan must also include but is not limited to:
  1. (i) a review of the prior assessments and analysis including necessary revisions to the prior assessment and analysis; and
  2. (ii) an evaluation of the efficacy of the service plan and necessary modifications, additions or other revisions needed to the service plan.
6. (6) In addition to the requirements set forth in paragraphs (1) and (2) of this subdivision, family reassessment and service plans where a child is in foster care must also include but are not limited to the following:
  1. (i) a description of the progress toward achievement of the permanency goal, including the compelling or other reasons identified for not filing a petition to terminate parental rights for any child in foster care for at least 15 of the most recent 22 months, if such petition has not been filed or the child is not already free for adoption;
  2. (ii) where concurrent planning is determined through assessment to be warranted in the case, a description of the alternate plan to achieve permanency for the child, including identification of appropriate in-State and out-of-state placements, if the child cannot be safely returned home; and
  3. (iii) an evaluation of the visiting plan.
7. (7) In addition to the requirements set forth in paragraphs (1) and (2) of this subdivision, family reassessment and service plans where a child is placed by a court in the direct custody of a relative or other suitable person pursuant to article 10 of the Family Court Act must also include but are not limited to the following:
  1. (i) a description of the progress toward achievement of the permanency goal;
  2. (ii) where concurrent planning is determined through assessment to be warranted in the case, a description of the alternate plan to achieve permanency for the child if the child cannot be safely returned home; and
  3. (iii) an evaluation of the visiting plan.
8. (8) In addition to the requirements set forth in paragraphs (1), (2) and (5) of this subdivision, for children freed for adoption, individual reassessments and service plans must be maintained in a child case record and such record must also include but is not limited to:
  1. (i) a description of activities related to the exploration of alternative permanency resources, including the child's foster parent(s), if any;
  2. (ii) a description of activities undertaken to prepare the child for adoption or other permanency plan;
  3. (iii) actions taken to place the child in an adoptive home or other permanent living arrangement, including barriers to such placement and activities undertaken to overcome the barriers;
  4. (iv) for children placed in an adoptive home or in an other permanent living arrangement, a description of efforts to finalize the adoption or other permanency living arrangement; and
  5. (v) except that the requirements of paragraphs (1), (2) and (5) of this subdivision do not apply where they relate to the child's parents(s) or to a foster child who is not free for adoption.
(b) All family assessment and service plans, including the initial and comprehensive family assessment and service plans, and all family reassessments and services plans, must include the signature(s) or electronic equivalent(s) of the case planner, the case planner's supervisor and the case manager, and, where required pursuant to section 432.2(b)(5) of this Title, the signature of the child protective services monitor.
(c) The family assessment and service plan for a child in foster care who has attained 14 years of age must include a document, as prescribed by the Office of Children and Family Services, that describes the rights of the child with respect to education, health, visitation and court participation, the right to be provided with consumer reports in accordance with section 430.12(k) of this Title and the right to stay safe and avoid exploitation. The child’s uniform case record must contain the signed acknowledgement by the child that the child has been provided with a copy of the document described in this subdivision and that the rights described in such document have been explained to the child in an age-appropriate manner. The family assessment and services plan for a child in foster care who has attained 14 years of age must also include a written description of the programs and services which will help such child prepare for transition from foster care to successful adulthood.
(d) With respect to a child in foster care who has attained the age of 14 years, the family assessment and service plan and any amendments thereto must be developed in consultation with the child, and, at the option of the child, up to two members of the child’s case planning team who are chosen by the child and who are neither the child’s foster parent(s) nor the child’s case manager, case planner or case worker. The agency with case management responsibility may reject an individual selected by the child to be a member of the child’s case planning team if the agency has good cause to believe that the individual would not act in the child’s best interests. One individual selected by the child to be a member of the child’s case planning team may be designated to be the child’s advisor and, as necessary, advocate with respect to the application of the reasonable and prudent parent standard for the child.