CABINET FOR HEALTH AND FAMILY SERVICES

Department for Community Based Services

Division of Protection and Permanency

(Amended After Comments)

 

††††† 922 KAR 1:330. Child protective services.

 

††††† RELATES TO: KRS 13B.050, 13B.120, 13B.140, 13B.150, 159.140, 194A.005(1), 202A.011, 211.684, 214.036, 431.600(1), (8), 503.110(1), 529.010(5), (13), 600.010, 600.020, 605.090(3), 605.130, 610.010(2)(d), (9), 620.010-620.050, 620.070, 620.072, 620.350, 620.990, 42 U.S.C. 5106a

††††† STATUTORY AUTHORITY: KRS 194A.050(1), 605.150(1), 620.029(2)(a), 620.180(1)

††††† NECESSITY, FUNCTION, AND CONFORMITY: KRS 194A.050(1) requires the Secretary for the Cabinet for Health and Family Services to promulgate administrative regulations necessary to implement programs mandated by federal law or to qualify for the receipt of federal funds and necessary to cooperate with other state and federal agencies for the proper administration of the cabinet and its programs. KRS 605.150(1) authorizes the cabinet to promulgate administrative regulations to implement the provisions of KRS Chapter 605 - Administrative Matters. KRS 620.180(1) authorizes the cabinet to promulgate administrative regulations to implement the provisions of KRS Chapter 620 - Dependency, Neglect, and Abuse. KRS 620.029(2)(a) requires the cabinet, in consultation with agencies serving victims of human trafficking, to promulgate administrative regulations for the treatment of children who are reported to be victims of human trafficking as dependent, neglected, or abused children, including providing for appropriate screening, assessment, treatment, and services. In addition, 42 U.S.C. 5106a(b) establishes eligibility requirements for a state to receive a grant for a child abuse and neglect prevention and treatment program. This administrative regulation establishes cabinet procedures, congruent with eligibility requirements under 42 U.S.C. 5106a(b), for a child protection investigation or[family-in-need-of-services] assessment of abuse, neglect, or dependency.

 

††††† Section 1. Definitions. (1) "Assessment" means the collection and analysis of information to inform decision-making about or service provision to a child or a family, including:

††††† (a) An observable threat or threatening condition to the childís safety;

††††† (b) A factor present that increases the likelihood of child abuse, neglect, or dependency; and

††††† (c) Child or family strengths and protective capacities.

††††† (2) "Cabinet" is defined by KRS 194A.005(1) and 600.020(7)[(6)].

††††† (3)[(2)] "Caretaker" means a parent, guardian, or other person exercising custodial control or supervision of a child.

††††† (4)[(3)] "Child fatality" is defined by KRS 211.684.

††††† (5)[(4)] "Child protective services" means preventive and corrective services directed toward:

††††† (a) Safeguarding the rights and welfare of an abused, neglected, or dependent child;

††††† (b) Assuring for each child a safe and nurturing home;

††††† (c) Improving the abilities of parents to carry out parental responsibilities;

††††† (d) Strengthening family life; and

††††† (e) Assisting a parent or other person responsible for the care of a child in recognizing and remedying conditions detrimental to the welfare of the child.

††††† (6) "Dependent child" is defined by KRS 600.020(20).[(4) "Family-in-need-of-services assessment" or "FINSA" is a process of collecting information and evaluating risk factors to determine if a family is in need of child protective services.]

††††† (7)[(5)] "Human trafficking" is defined by KRS 529.010(5).

††††† (8)[(6)] "Initial determination" means an evaluation of risk factors to determine immediate safety and risk of harm resulting in a decision whether to proceed with an:

††††† (a)[An] Investigation; or

††††† (b) Assessment[A FINSA].

††††† (9)[(7)] "Investigation" means a process of collecting information and evaluating risk factors to determine if a child:

††††† (a) Has been abused or neglected;[or]

††††† (b) Is dependent; or

††††† (c) Is a victim of human trafficking.

††††† (10)[(8)]"Near fatality" is defined by KRS 600.020(40) and 42 U.S.C. 5106a(b)(4)(A).

††††† (11)[(9)] "Preponderance of evidence" means that evidence is sufficient to conclude that it is more likely than not that an alleged perpetrator committed an act of child abuse or neglect as defined by[in] KRS 600.020(1).

††††† (12)[(10)] "Prior involvement" means any assessment or investigation, of which the cabinet has record, with a child or family in the area of protection and permanency prior to the childís fatality or near fatality investigation.

††††† (13)[(11)] "Services needed" means a low risk finding with no perpetrator that indicates a family needs to be linked to community services.

††††† (14)[(12)][(9)] "Sexual abuse" is defined by KRS 600.020(61)[(56)].

††††† (15)[(13)][(10)] "Sexual exploitation" is defined by KRS 600.020(62)[(57)].

††††† (16)[(14)][(11) "Social service worker" is defined by KRS 600.020(58).

(12)] "Substantiated" means:

††††† (a) An admission of abuse or[,] neglect[, or dependency] by the person responsible;

††††† (b) A judicial finding of child abuse or[,] neglect[, or dependency]; or

††††† (c) A preponderance of evidence exists that abuse or[,] neglect[, or dependency] was committed by the caretaker.

††††† (17)[(15)][(13)] "Unable to locate" means that:

††††† (a) Identifying information about the family is insufficient for locating them; or

††††† (b) The family has moved and their new location is not known.

††††† (18)[(16)][(14)] "Unsubstantiated" means there is insufficient evidence, indicators, or justification present for substantiation of abuse or[,] neglect[, or dependency].

††††† (19)[(17)][(15)] "Victim of human trafficking" is defined by KRS 529.010(13).

 

††††† Section 2. A Report of Child Abuse, Neglect, or Dependency. (1) In accordance with 42 U.S.C. 5106a(b)(2)(B)(i), the cabinet shall accept reports of alleged child abuse, neglect, or dependency made pursuant to KRS 620.030.

††††† (a) A twenty-four (24) hour on-call response system and the child abuse hotline, for the receipt of emergency reports after normal office hours, shall be made available to those in a community who may have information regarding:

††††† 1. Child abuse, neglect, or dependency; or

††††† 2. Human trafficking of a child.

††††† (b) Cabinet staff or designee shall attempt to elicit from the person reporting suspected child abuse, neglect, dependency, or human trafficking as much information about the child's circumstances[,] as possible, including:

††††† 1. Specific information as to the nature and extent of:

††††† a. Abuse, neglect, or dependency; or

††††† b. Human trafficking;

††††† 2. The cause of the abuse, neglect, or dependency;

††††† 3. The location of the child and family;

††††† 4. Knowledge or suspicion of a previous incident;

††††† 5. Identifying information regarding a witness to the alleged incident that resulted in the child's condition;

††††† 6. An action taken by the reporting person, if applicable;

††††† 7. Present danger or threat of danger to the child or cabinet staff; and

††††† 8. Information in accordance with KRS 620.030(2) and (3).

††††† (c) The reporting person's identity shall remain confidential, unless ordered to be divulged by a court of competent jurisdiction.

††††† (d) The cabinet shall investigate or accept as an[investigation or]assessment[a FINSA] an anonymous report that provides sufficient information regarding an incident involving a child:

††††† 1. Who is alleged to be dependent; or

††††† 2. And alleged:

††††† a.[1.] Abuse or[,] neglect[, or dependency] perpetrated by a caretaker; or

††††† b.[2.] Human trafficking of the child.

††††† (e) Immunity from liability shall be in accordance with 42 U.S.C. 5106a(b)(2)(B)(vii) and KRS 620.050(1) and (2).

††††† (2) The cabinet shall not undertake an investigation or assessment[FINSA] for a report of abuse or neglect allegedly perpetrated by a non-caretaker, with the exception of a report of human trafficking, but shall refer the matter in compliance with KRS 620.030(1).

††††† (3) Pursuant to KRS 620.040(1)(b) and (2)(b), if a report does not meet an acceptance criterion for an investigation or assessment[FINSA], the cabinet shall:

††††† (a) Not accept the report for investigation or assessment[FINSA];

††††† (b) Refer the caller to a community resource that may meet family needs if available; and

††††† (c) Keep a record of the report[,] in accordance with 42 U.S.C. 5106a(b)(2)(B)(xii).

††††† (4) Acceptance criteria for an investigation or assessment[FINSA]. The cabinet shall:

††††† (a) Investigate or conduct an assessment[a FINSA] upon the receipt of a report of physical abuse, if the report alleges:

††††† 1. An injury that is, or has been, observed on a child that was allegedly inflicted non-accidentally[nonaccidentally] by a caretaker;

††††† 2. Physical abuse if no current observable injury is seen;

††††† 3. A child being hit in a critical area of the body, such as the head, neck, genitals, abdomen, or[and] back; or

††††† 4.[a.] Physical injury to a child, as defined by KRS 600.020(46), that is the result of an altercation between the child and the caretaker.[b.] The cabinet shall explore the following:

††††† a.[(i)] Age of the child;

††††† b.[(ii)] Precipitating factors;

††††† c.[(iii)] Degree of appropriateness of force used by the caretaker; and

††††† d.[(iv)] Need for further services to assist in eliminating violent behavior in the home;

††††† (b) Investigate or conduct an assessment[a FINSA] upon receipt of a report that alleges neglect of a child perpetrated by a caretaker that may result in harm to the health and safety of a child in the following areas:

††††† 1. Hygiene neglect if:

††††† a. A child has physical symptoms that require treatment due to poor care; or

††††† b. The child's physical health and safety are negatively affected due to an act or omission by the caretaker;

††††† 2. Supervision neglect if the individual reporting has reason to believe that the physical health and safety of the child may be negatively affected by lack of necessary and appropriate supervision;

††††† 3. Food neglect if a child shows symptoms of:

††††† a. Malnutrition;

††††† b. Dehydration; or

††††† c. Not having been provided adequate food for a period of time that interferes with the health needs of the child, based on height or weight norms for the childís age;

††††† 4. Clothing neglect if a child suffers from:

††††† a. Illness;

††††† b. Exposure; or

††††† c. Frostbite due to inadequate clothing provided to the child or the clothing provided is insufficient to protect the child from the elements;

††††† 5. Environmental neglect, if a serious health and safety hazard is present and the caretaker is not taking appropriate action to eliminate the problem;

††††† 6. Educational neglect if the:

††††† a. School system has exhausted its resources to correct the problem and complied with its duties pursuant to KRS 159.140; and

††††† b. Caretaker's neglect prevents the child from attending school or receiving appropriate education;

††††† 7. Medical neglect, in accordance with 42 U.S.C. 5106a(b)(2)(C), if a child has not received a medical assessment or is not receiving treatment for an injury, illness, or disability that if left untreated may:

††††† a. Be life-threatening;

††††† b. Result in permanent impairment;

††††† c. Interfere with normal functioning and worsen; or

††††† d. Be a serious threat to the child's health due to the outbreak of a vaccine preventable disease, unless the child is granted an exception to immunization pursuant to KRS 214.036;

††††† 8. At risk of harm due to an act described at KRS 600.020(1), if a child is:

††††† a. Born exposed to drugs or alcohol, as documented by a health care provider pursuant to:

††††† (i) 42 U.S.C. 5106a(b)(2)(B)(ii); and

††††† (ii) KRS 620.030(2);

††††† b. Involved in an incident of domestic violence;

††††† c. Permitted to use drugs or alcohol under circumstances that create a risk to the emotional or physical health of the child;

††††† d. In a situation if the factors provided in a report indicate that:

††††† (i) An act of sexual abuse, sexual exploitation, or prostitution involving a child may occur; or

††††† (ii) The child exhibits physical or behavioral indicators of sexual abuse; or

††††† e. In a situation where the circumstances are such that a child is likely to be physically abused; or

††††† 9. Exploitation neglect if the:

††††† a. Caretaker has used a child or childís financial resources for personal gain;

††††† b. Caretaker has enticed a child to become involved in criminal activities; or

††††† c. Child is a victim of human trafficking;

††††† (c)[1.] Receive and investigate a report that alleges sexual abuse of a child committed or allowed to be committed by a caretaker.[2.] An investigation may be conducted without a specific allegation if a child has a sexually transmitted disease;

††††† (d) Receive and investigate or complete an assessment[a FINSA] upon the receipt of a report that alleges a child is dependent, pursuant to KRS 600.020(19); and

††††† (e) Investigate or complete an assessment[a FINSA] upon the receipt of a report that alleges emotional injury or risk of emotional injury to a child by a caretaker pursuant to KRS 600.020(25).

††††† (5) The following criteria shall be used in identifying a report of abuse, neglect, or dependency not requiring a child protective services investigation or assessment[FINSA]:

††††† (a) The victim of the report of abuse, neglect, or dependency is age eighteen (18) or over at the time of the report;

††††† (b) There is insufficient information to locate the child or to explore leads to locate;

††††† (c) The problem described does not meet the statutory definitions of abuse, neglect, or dependency;

††††† (d) The reporter notifies the cabinet that a child is injured, but the reporter does not allege injuries were the result of abuse or neglect;

††††† (e) The report concerns custody changes, custody related issues, or lifestyle issues, without allegations of abuse, neglect, or dependency;

††††† (f) Pursuant to KRS 503.110(1), corporal punishment appropriate to the age of the child, without an injury, mark, bruise, or substantial risk of harm;

††††† (g) The report concerns a newborn infant abandoned pursuant to KRS 620.350; or

††††† (h) An allegation of spouse abuse to a married youth under the age eighteen (18).

††††† (6)[A report of spouse abuse to a married youth under the age of eighteen (18) shall be forwarded to cabinet staff for action pursuant to 922 KAR 5:102.

††††† (7)] A report of corporal punishment described in subsection (5)(f) of this section shall be reported to and assessed by the cabinet, if alleged to be committed by a caretaker parent who:

††††† (a) Provides foster, pre-adoptive, or respite care services for a child in the custody of the cabinet; and

††††† (b) Is approved pursuant to 922 KAR 1:310 or 922 KAR 1:350.

 

††††† Section 3. Initial Investigation or Assessment[FINSA]. (1) Based upon an accepted report of child abuse, neglect, or dependency, the cabinet shall, in accordance with KRS 620.040(1)(b) or (2)(b), and 42 U.S.C. 5106a(b)(2)(B)(iv), make an initial determination as to the immediate safety and risk of harm to a child.

††††† (2) The cabinet shall have face-to-face contact with the child or, in the case of a child fatality, initiate the investigation within four (4) hours after acceptance of the report if a report of child abuse, neglect, or dependency:

††††† (a) Includes a child who is:

††††† 1. The alleged victim of a fatality or near fatality; or

††††† 2. A surviving child in the care of the alleged perpetrator of a child fatality or near fatality; or

††††† (b)1. Involves a child who is:

††††† a. Under four (4) years of age; or

††††† b. Unable to verbally or nonverbally communicate the childís needs as provided by the reporting source; and

††††† 2. Indicates a high risk of harm to the child due to:

††††† a. Physical abuse in accordance with Section 2(4)(a) of this administrative regulation;

††††† b. Supervision neglect in accordance with Section 2(4)(b)2. of this administrative regulation;

††††† c. Sexual abuse in accordance with Section 2(4)(c) of this administrative regulation, and the alleged:

††††† (i) Perpetrator has access to the child; or

††††† (ii) Perpetratorís access to the child is unknown by the reporting source.

††††† (3) The cabinet shall have face-to-face contact with the child within twenty-four (24) hours after acceptance of the report, if a report of child abuse, neglect, or dependency:

††††† (a)1. Indicates a high risk of harm to the child; or

††††† 2. Alleges the child is the victim of human trafficking; and

††††† (b) Criteria of subsection (2) of this section are not met.

††††† (4) If the report of child abuse, neglect, or dependency indicates a moderate risk of harm to a child, the cabinet shall have face-to-face contact with the child within forty-eight (48) hours after acceptance of the report.

††††† (5) If the report of child abuse, neglect, or dependency indicates a low risk of harm to a child, the cabinet shall have face-to-face contact with the child within seventy-two (72) hours after acceptance of the report.[An investigation shall be initiated within one (1) hour of the report if the report indicates:

††††† (a) Child abuse, neglect, or dependency that places a child in imminent danger;

††††† (b) Human trafficking of a child; or

††††† (c) Sexual abuse of a child.

††††† (3) If the report of child abuse, neglect, or dependency indicates nonimminent danger of physical abuse, efforts shall be made to have face-to-face contact with the child and family within twenty-four (24) hours.

††††† (4) If the report of child abuse, neglect, or dependency indicates nonimminent danger, not involving physical abuse, efforts shall be made to have face-to-face contact with the child and family within forty-eight (48) hours.

††††† (5) An investigation or a FINSA shall be initiated within forty-eight (48) hours of receipt of the report of dependency, if a child is not in imminent danger.]

††††† (6) Cabinet staff shall be permitted to interview an alleged victim of child abuse or neglect without obtaining the consent of the childís parent, guardian, or person exercising custodial control in accordance with KRS 620.072[Unable to locate shall be documented in the investigative or family-in-need-of-services narrative].

††††† (7) Cabinet staff shall incorporate an unannounced home visit in accordance with provisions in KRS 620.072.

††††† (8) Cabinet staff[The social service worker] shall advise the individual under investigation of the complaints or allegations in accordance with 42 U.S.C. 5106a(b)(2)(B)(xviii).

††††† (9)[(8)] A written assessment shall:

††††† (a) Be completed by the cabinet on every investigation[or assessment][and FINSA]; and

††††† (b) Document efforts if the cabinet is unable to locate the family.

††††† (10)[(9)] The cabinet shall provide or make a referral to any community-based[community based] service:

††††† (a) Available to a child, caretaker, or a childís family:

††††† 1. In accordance with 42 U.S.C. 5106a(b)(2)(B)(v),(vi),(ix),(xi), or (xxi); or

††††† 2. Pursuant to KRS 620.029 or 620.040(1)(b) or (2)(b); and

††††† (b) Necessary to:

††††† 1. Reduce risk to a child; and

††††† 2. Provide family support.

††††† (11)[(10)] The cabinet shall make a referral for early intervention services pursuant to 42 U.S.C. 5106a(b)(2)(B)(xxi) for a child under the age of three (3) who is involved in a substantiated case of abuse or neglect.

††††† (12)[(11)](a) The cabinet may develop a Prevention Plan at any point during an investigation or assessment[a FINSA] to protect the health and safety of a child.

††††† (b) The Prevention Plan shall be:

††††† 1. Completed in hardcopy;

††††† 2. Developed in conjunction with a family and the familyís identified support system;

††††† 3. Agreed upon by the participants; and

††††† 4. Signed by all parties identified to participate in the Prevention Plan[prevention plan], unless a party is unwilling or unable to sign.

††††† (13)[(12)] If an investigation or assessment[a FINSA] is conducted as a result of a child being referred pursuant to Section 2(4)(b)8. of this administrative regulation, the cabinet shall develop a Prevention Plan in accordance with 42 U.S.C. 5106a(b)(2)(B)(iii).

††††† (14)[(13)] Collateral contact shall be made pursuant to KRS 620.030, 620.040, and 620.050.

††††† (15)[(14)](a) A medical or psychological examination may be required if a report of child abuse, neglect, or dependency alleges that a child has suffered physical or sexual harm or emotional injury.

††††† (b) A medical examination shall be conducted in accordance with KRS 620.050(14).

††††† (16)[(15)] Cabinet staff shall coordinate an investigation with a childrenís advocacy center governed by 920 KAR 2:040, in accordance with KRS 620.040(6) and (7).

††††† (17)[(16)] Pursuant to KRS 620.030(5), an agency, institution, or facility serving the child or family shall provide cooperation, assistance, and information necessary for the cabinet to conduct an investigation or assessment[FINSA].

††††† (18)[(17)] Photographs may be taken of a child or a childís environment during a protective services investigation or assessment[FINSA] in accordance with KRS 620.050(14).

††††† (19)[(18)] An interview with a child shall be conducted pursuant to KRS 620.040(6).

††††† (20)[(19)](a) A child sexual abuse or human trafficking investigation shall be conducted jointly with law enforcement and other multidisciplinary team members pursuant to KRS 431.600(1) and (8), 620.040(3), and 42 U.S.C. 5106a(b)(2)(B)(xi).

††††† (b) The cabinetís primary responsibility shall be the protection of the child.

††††† (21)[(20)] If there is reason to believe a child is in imminent danger, or if a parent or caretaker of a child refuses the cabinet entry to a childís home or refuses to allow a child to be interviewed, the cabinet may request assistance:

††††† (a) From law enforcement; or

††††† (b) Through a request for a court order pursuant to KRS 620.040(5)(a).

††††† (22)[(21)](a) If the court issues a search warrant for execution by law enforcement, cabinet staff may accompany law enforcement officers.

††††† (b) Except as provided in KRS 605.090(3), the cabinet shall not remove a committed child from the child's home without a court order.

††††† (23)[(22)] At the request of law enforcement, the cabinet shall, pursuant to KRS 620.040(3):

††††† (a) Provide assistance in interviewing an alleged child abuse victim in a noncaretaker report; and

††††† (b) Not be the lead investigator in a noncaretaker investigation.[(23) In accordance with 42 U.S.C. 5106a(b)(2)(B)(v), the cabinet may refer a child or a childís family to a state or community resource according to the identified need of the child and family.]

 

††††† Section 4. Alleged Perpetrators of Abuse, Neglect, or Dependency Age Twelve (12) to Eighteen (18). (1) A report of child abuse, neglect, or dependency involving alleged perpetrators in a care-taking role age twelve (12) to eighteen (18)[,] shall be subject to investigation or assessment[a FINSA].

††††† (2) If substantiated, a child age twelve (12) to eighteen (18) shall be identified as the alleged perpetrator.

 

††††† Section 5. Child Fatality or Near Fatality Investigations. (1) The cabinet shall investigate a report of child fatality or near fatality alleged to be the result of abuse or neglect in accordance with KRS 620.040.

††††† (2) If there is a surviving child in the care of the alleged perpetrator, the cabinet shall determine the safety of the surviving child through immediate assessment in accordance with this administrative regulation.

††††† (3) If a child fatality or near fatality allegedly due to abuse or neglect occurs, cabinet staff shall immediately notify the Office of the Director of the Division of Protection and Permanency.

††††† (4) If a fatality or near fatality occurs to a child in the custody of the cabinet in an out-of-home placement, the cabinet shall make an immediate effort to notify:

††††† (a) The biological or legal parents; and

††††† (b) The Office of the Director of the Division of Protection and Permanency.

††††† (5) If parental rights have been terminated, and there are special circumstances including ongoing contact with the child, the cabinet shall notify a childís biological or legal parents of the childís fatality or near fatality.

††††† (6) The cabinet shall notify the Department of Public Advocacy, Protection and Advocacy Division, in the Justice and Public Safety Cabinet if:

††††† (a)1. A child identified as a protection and advocacy client dies as a result of alleged abuse or neglect; and

††††† 2. The alleged perpetrator is a person exercising custodial control or supervision; or

††††† (b) A child fatality has occurred as a result of:

††††† 1. Placement in a seclusion room pursuant to 922 KAR 1:390; or

††††† 2. Therapeutic hold applied pursuant to 922 KAR 1:300.

††††† (7) The cabinet shall notify the following persons, in writing, of a fatality of a child in the custody of the cabinet:

††††† (a) Judge of the committing court; and

††††† (b) Guardian ad litem for the deceased child.

††††† (8) The cabinet may make public disclosure of a fatality or near fatality in accordance with:

††††† (a) KRS 620.050(5) and (12); and

††††† (b) 42 U.S.C. 5106a(b)(2)(A)(x).

††††† (9) If the alleged perpetrator was not a parent, guardian, or person exercising custodial control or supervision, notification of the child fatality or near fatality shall be in accordance with KRS 620.030(1).

††††† (10) The cabinet shall:

††††† (a) Be in compliance with KRS 620.050(12) in cases where the cabinet has had prior involvement; and

††††† (b) Provide annual reporting in accordance with 42 U.S.C. 5106a(d)(4)(5)(6)(11).

††††† (11) If a child fatality or near fatality occurs in a licensed facility, the cabinet shall notify the licensing authority in accordance with 42 U.S.C. 5106a(b)(2)(A)(ix).

 

††††† Section 6. Reports of Child Abuse, Neglect, or Dependency in Cabinet-approved Homes or Licensed Facilities. (1) Pursuant to KRS 620.030(5), the cabinet shall have the authority to obtain necessary information to complete an investigation in a report of child abuse, neglect, or dependency in a:

††††† (a) Child-caring facility licensed in accordance with 922 KAR 1:300 or its subcontractor;

††††† (b) Child-placing agency licensed in accordance with 922 KAR 1:310 or its subcontractor;

††††† (c) Child-care center licensed in accordance with 922 KAR 2:090;

††††† (d) Family child-care home certified in accordance with 922 KAR 2:100;

††††† (e) Child care provider registered in accordance with 922 KAR 2:180; or

††††† (f) Foster, adoptive, or respite care provider[Resource] home approved pursuant to 922 KAR 1:350.

††††† (2) If a report of alleged child abuse, neglect, or dependency in a home approved pursuant to 922 KAR 1:310 or 922 KAR 1:350 is accepted[received], the designated cabinet staff shall:

††††† (a) Immediately contact the service region administrator or designee; and

††††† (b) Assign staff to conduct the investigation.

††††† (3) If a report of alleged child abuse or neglect in a licensed child-care center, a certified family child-care home, or a registered child care provider is accepted[received], cabinet staff shall:

††††† (a) Notify the cabinetís Division of Child Care to share information and request assistance in locating alternate care if needed; and

††††† (b) Conduct an investigation.

††††† (4) If a report of alleged child abuse or neglect in a licensed child-caring facility, child-placing agency placement, certified family child-care home, or licensed child-care center is accepted[received], cabinet staff shall:

††††† (a) Notify the Office of the Inspector General, Division of Regulated Child Care; and

††††† (b) Conduct an investigation.

††††† 1. If possible, an investigation shall be coordinated and conducted jointly with the Division of Regulated Child Care. However, if not possible, the cabinet shall proceed with an investigation.

††††† 2.[In a joint investigation:]a. An entrance interview with the facility administrator or designee shall be conducted; and

††††† b. The nature of the report shall be outlined without disclosing the name of the reporting source.

††††† 3. If the cabinet substantiates the report of child abuse or neglect and the alleged perpetrator is an employee of the facility, the cabinet shall notify the provider or program director within thirty (30) working days, unless a necessary extension is granted by the designated cabinet staff in a supervisory role.

††††† (5) The cabinet shall share written findings of an investigation with the Division of Child Care for a:

††††† (a) Licensed child-care center;

††††† (b) Certified family child-care home; or

††††† (c) Registered child care provider.

††††† (6) The cabinet shall share written findings of an investigation with the Office of Inspector General[Division of Regulated Child Care] for a:

††††† (a) Licensed child-care center;

††††† (b) Certified family child-care home;

††††† (c) Registered child care provider;

††††† (d) Licensed child-caring facility; or

††††† (e)[(d)] Licensed child-placing agency.

††††† (7) As soon as practical after a determination has been made that a child is in imminent danger or that a child needs to be removed, verbal or written notification shall be provided to the Division of Child Care or to the Office of the Inspector General.

 

††††† Section 7[6]. Interviewing a Child in a School Setting. (1) Pursuant to KRS 620.030(5), the cabinet may, upon receipt of a report of child abuse or neglect, initiate an investigation or assessment[a FINSA] at a school, which may include the review and copying of relevant school records pertaining to the child.

††††† (2) If initiating an investigation or assessment[a FINSA] at a school, the cabinet shall:

††††† (a) Inform appropriate school personnel of the need to interview a child regarding the report; and

††††† (b) Give necessary information concerning the allegation and investigation only to school personnel with a legitimate interest in the case.

 

††††† Section 8[7]. Investigation of an Employee of the School System. If a report of child abuse or neglect involving school personnel is accepted[received], the following shall apply:

††††† (1) An investigation shall be conducted;

††††† (2) If the allegation is made about a school employee in a caretaker role of a child, the cabinet shall, if possible, conduct an interview away from the school grounds, with each of the following persons:

††††† (a) The child;

††††† (b) The parent or legal guardian;

††††† (c) The alleged perpetrator; and

††††† (d) Other collateral source, if any, in accordance with Section 3(14)[(13)] of this administrative regulation;

††††† (3) The findings shall be shared with the custodial parent and the alleged perpetrator;

††††† (4) The cabinet shall notify the appropriate supervisor of the alleged perpetrator, in writing, of the following:

††††† (a) That an investigation has been conducted;

††††† (b) The results of the investigation; and

††††† (c) That the alleged perpetrator has the right to appeal pursuant to 922 KAR 1:480; and

††††† (5) A person desiring other information shall employ the open records procedure, as described in 922 KAR 1:510.

 

††††† Section 9[8]. Written Notice of Findings of Investigation. The cabinet shall provide notification to specified government officials in accordance with KRS 620.040(1) or (2) and 42 U.S.C. 5106a(b)(2)(B)(ix).

 

††††† Section 10[9]. Substantiation Criteria and Submission of Findings. (1) The cabinet shall use the definitions of "abused or neglected child" in KRS 600.020(1)[and "dependent child" in KRS 600.020(20)][(19)] in determining if an allegation is substantiated.

††††† (2) A finding of an investigation or assessment[a FINSA] shall be based upon the:

††††† (a) Information and evidence collected by the cabinet during the reportís investigation or assessment[FINSA]; and

††††† (b) Condition that is present, rather than an action taken to remediate an issue or concern pertaining to a childís health, safety, or welfare.

††††† (3) Cabinet staff[A social service worker] may find and substantiate abuse or[,] neglect, or make a services needed finding,[dependency] at any point during an investigation or assessment[, FINSA,] or prior to case closure and aftercare planning in accordance with Section 12[11] of this administrative regulation, if preponderance of the evidence exists.

††††† (4)(a) At the completion of an investigation or assessment involving a caretaker, the cabinet shall make a finding of:

††††† 1. Unsubstantiated child abuse or neglect;

††††† 2. Substantiated child abuse or neglect;

††††† 3. Child fatality or near fatality related to abuse or neglect;

††††† 4. Unable to locate the child;[or]

††††† 5. Services needed for the child or childís family, which may include a dependent child; or

††††† 6. Closed, which may include completed service provision.

††††† (b) At the completion of an investigation[or assessment] involving human trafficking of a child by a non-caretaker, the cabinet shall make a finding of:

††††† 1. Confirmed human trafficking;

††††† 2. Not confirmed human trafficking; or

††††† 3. Unable to locate the child.

††††† (5)[(4)] A cabinet finding shall not be a judicial finding.

††††† (6)[(5)] The cabinet staffís[social service workerís] supervisor or designee shall review and approve the final finding of the investigation or assessment[FINSA].

††††† (7)[(6)] Upon approval of the finding by designated cabinet staff in a supervisory role, the cabinet shall send a notice of finding[DPP-152, Child Protective Service (CPS) Substantiated Investigation Notification Letter,] and notice of the perpetratorís right to appeal in accordance with 922 KAR 1:480, Section 3,[shall be][:

††††† (a)][sent] to the alleged or substantiated perpetrator by certified mail to the last known address of the perpetrator[; or

††††† (b) Given to the perpetrator, in person, with a witness signature to document that the perpetrator received the notice].

††††† (8)[(7)] Upon approval of the finding by designated cabinet staff in a supervisory role, the cabinet[A notice of finding][DPP-152] shall[be]:

††††† (a) Send a notice of finding[Sent] to the childís parent or guardian by certified mail; or

††††† (b) Give a notice of finding[Given] to the parent or guardian, in person, with the parent or guardian and a witness signature to document receipt of the notice.

††††† (9) The cabinetís notice of a substantiated finding of child abuse or neglect shall include:

††††† (a) The factual basis for the finding of child abuse or neglect;

††††† (b) The results of the investigation;

††††† (c) Information about the perpetratorís right to appeal the substantiated finding in accordance with 922 KAR 1:480; and

††††† (d) A statement informing the perpetrator that the perpetratorís name shall be added to the central registry in accordance with 922 KAR 1:470.

 

††††† Section 11[10]. Appeals. (1) The perpetrator of a substantiated finding of child abuse or neglect may request a hearing in accordance with 922 KAR 1:480.

††††† (2)[If an administrative hearing is held, the secretary of the Cabinet for Health and Family Services or designee shall issue the final order.

(3) A further appeal may be requested through circuit court in accordance with KRS 13B.140 and 13B.150.

(4)] A person may have additional hearing rights as specified in 922 KAR 1:320.

 

††††† Section 12[11]. Closure and Aftercare Planning. (1)(a) A decision to close a child protective services case shall be based on[: (a)] evidence that the factors resulting in the child abuse, neglect, or dependency have been resolved to the extent that the family is able to:

††††† 1.[(a)][1.] Protect the child; and

††††† 2.[(b)][2.] Meet the needs of the child[; or

††††† (b) A lack of legal authority to obtain court ordered cooperation from the family].

††††† (b) Prior to a caseís closure in accordance with paragraph (a) of this subsection, designated cabinet staff in a supervisory role shall review and agree to the decision to close the child protective services case.

††††† (2) If the cabinet does not have the authority to obtain court-ordered cooperation from a family, the cabinet shall close the child protective services investigation or assessment.

††††† (3) Unless court-ordered cooperation from the family cannot be obtained in accordance in subsection (2) of this section, a child protective services case shall not be closed if withdrawal of services places a child at risk of abuse, neglect, or dependency.

††††† (4)[(3)] A family shall be:

††††† (a) Notified in writing of the decision to close the protective services case; and

††††† (b) Advised of the right to a fair hearing in compliance with 922 KAR 1:320, Section 2.

††††† (5)[(4)] Aftercare planning shall link a family to community resources for the purpose of continuing preventive measures if the cabinet discontinues services in accordance with this section.

††††† (6)[(5)] The Aftercare Plan shall be developed upon the completion of an investigation or[family-in-need of services] assessment, if an issue or concern identified by the cabinet falls below the level that triggers a protection services case being opened.

††††† (7)[(6)](a) When it is determined that a protective services case is appropriate for closure, the cabinet shall work with the family to develop the Aftercare Plan.

††††† (b) The focus of the Aftercare Plan shall be to prevent a recurrence of abuse, neglect, or dependency to the child in the home.

††††† (8)[(7)] The cabinet may open a child protective services case in accordance with 922 KAR 1:140, 1:400, 1:410, or 1:430.

††††† (9)[(8)] The cabinet may request the assistance of a court of competent jurisdiction to protect the child in accordance with KRS 620.070.

 

††††† Section 13[12]. Incorporation by Reference. (1) The following material is incorporated by reference:

††††† (a)["DPP-152, Child Protective Service (CPS) Substantiated Investigation Notification Letter", 6/04;

(b)] "Aftercare Plan", 2/04; and

††††† (b)[(c)] "Prevention Plan", 6/04.

††††† (2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Department for Community Based Services, 275 East Main Street, Frankfort, Kentucky 40621, Monday through Friday, 8 a.m. to 4:30 p.m.

 

ADRIA JOHNSON, Commissioner

VICKIE YATES BROWN GLISSON, Secretary

††††† APPROVED BY AGENCY: October 12, 2017

††††† FILED WITH LRC: October 13, 2017 at 11 a.m.

††††† CONTACT PERSON: Laura Begin, Legislative and Regula-tory Analyst, Office of Legislative and Regulatory Affairs, phone (502) 564-6746, fax 502-564-7573, email Laura.Begin@ky.gov

 

REGULATORY IMPACT ANALYSIS AND TIERING STATEMENT

 

Contact Persons: Elizabeth Caywood, phone (502) 564-3703, email Elizabeth.Caywood@ky.gov.; and Laura Begin

††††† (1) Provide a brief summary of:

††††† (a) What this administrative regulation does: This administrative regulation establishes cabinet procedures, congruent with eligibility requirements under 42 U.S.C. 5106a(b), for a child protection investigation or assessment of abuse, neglect, or dependency.

††††† (b) The necessity of this administrative regulation: This administrative regulation is necessary in order to establish child protective services procedures.

††††† (c) How this administrative regulation conforms to the content of the authorizing statutes: This administrative regulation conforms to the content of the authorizing statutes by establishing procedures for child protective services.

††††† (d) How this administrative regulation currently assists or will assist in the effective administration of the statutes: This administrative regulation assists with the effective administration of the statutes by establishing cabinet procedures for a child protection investigation or assessment of abuse, neglect, or dependency.

††††† (2) If this is an amendment to an existing administrative regulation, provide a brief summary of:

††††† (a) How the amendment will change this existing administrative regulation: The amendment changes this administrative regulation by making initiation timeframes for a cabinet child protective services investigation more consistent with timeframes of other states or recognized national practice, thereby improving worker safety and the service provision to the child and the childís family. The amendment also incorporates recently enacted legislation, namely Tuckerís Law (2017 Ky. Acts ch. 188) regarding the use of unannounced visits and updates consistent with 2017 Ky. Acts ch. 191. The amendment removes the term "family-in-need-of-services assessment" or "FINSA", which is no longer a track for an accepted referral for services. The amendment incorporates current provisions of 922 KAR 1:420, governing the investigation of child fatalities or near fatalities, a subset of child protective services investigations. The amendment clarifies and lists the cabinetís findings following an investigation. In addition, the amendment makes substantiation notice requirements for child protective services investigations more consistent with adult protective services practices for perpetrators eligible for the caregiver misconduct registry. Lastly, the amendment makes technical corrections in accordance with KRS Chapter 13A.

††††† (b) The necessity of the amendment to this administrative regulation: The majority of changes resulting from the amendment to this administrative regulation ensure congruency and compliance with recently enacted legislation, the Red Tape Reduction initiative, business processes embedded in the stateís information technology system or already employed within the agency, and other administrative regulations governing the provision of child welfare services. The more substantive change entails the proposed revision of initiation timeframes for child protective services investigations.

Currently, Kentucky has some of the most stringent initiation timeframes in the nation, particularly for children at high risk (i.e., one-hour initiation timeframe upon acceptance of the report). A one-hour initiation timeframe is not logistically feasible in many areas of the state due to traffic, limited infrastructure, county size, and geographical features. A one-hour initiation timeframe also inhibits adequate preparations prior to the cabinet workerís initial engagement of the child and family, such as conducting background checks, reviewing prior history with the agency, and securing law enforcement assistance, thereby enhancing worker and child risks and compromising the quality of service provision. A one-hour timeframe also compromises a cabinet worker or teamís ability to manage multiple accepted intakes simultaneously. The cabinetís federal funding is further threatened by the more stringent timeframes of present day due to the cabinetís inability to often times comply with the timeframes. A child requiring such immediacy should result in notification to law enforcement and perhaps emergency medical services.

The proposed new initiation timeframes resulted from the cabinetís efforts in 2009, including a literature review, technical assistance provided through federal funders, data analysis, child fatality reviews, and comments solicited from child advocacy groups. The work in 2009 was more recently revisited as a part of the cabinetís child welfare reform efforts and included additional inputs made possible through Kentuckyís participation in the Three Branch Institute to Improve Child Safety and Prevent Child Fatalities, a unique technical assistance opportunity supported through the National Governors Association, the National Conference of State Legislatures, Casey Family Programs, the National Council of Juvenile and Family Court Judges, and the National Center for State Courts.

††††† (c) How the amendment conforms to the content of the authorizing statutes: This amendment conforms to the content of the authorizing statutes through its enhancement of cabinet procedures pertaining to the investigation and assessment of child abuse, neglect, and dependency.

††††† (d) How the amendment will assist in the effective administration of the statutes: The administrative regulation will assist in the effective administration of the statutes through higher quality service provision to vulnerable children and families.

††††† (3) List the type and number of individuals, businesses, organizations, or state and local governments affected by this administrative regulation: According to the cabinetís Statewide Child Protective Services Intake Fact Sheet (June 1, 2016, through May 31, 2017), the cabinet received 131,098 intakes with nearly 55,589 meeting acceptance criteria. Of those, 14,514 resulted in a finding of substantiated child abuse or neglect involving 27,296 unique children. Approximately 1,600 resulted in a services needed finding.

††††† (4) Provide an analysis of how the entities identified in question (3) will be impacted by either the implementation of this administrative regulation, if new, or by the change, if it is an amendment, including:

††††† (a) List the actions that each of the regulated entities identified in question (3) will have to take to comply with this administrative regulation or amendment: There is no new action required on the part of regulated entities above and beyond those that are statutorily prescribed or originally prescribed through this administrative regulation.

††††† (b) In complying with this administrative regulation or amendment, how much will it cost each of the entities identified in question (3): Regulated entities will experience no new or additional cost as a result of this amendment.

††††† (c) As a result of compliance, what benefits will accrue to the entities identified in question (3): Regulated entities will benefit from the amendmentís enhancements to the cabinetís provision of services, namely quality initial engagement of the child, the family, and the use of unannounced visits. The amendment may also indirectly benefit staff retention due to the applicable of more realistically feasible and manageable initiation timeframes benefiting the safety of the child being served, the cabinet worker(s) involved, and worker performance and outcomes.

††††† (5) Provide an estimate of how much it will cost the administrative body to implement this administrative regulation:

††††† (a) Initially: The amendment to this administrative regulation is not projected to have a fiscal impact on the administrative body.

††††† (b) On a continuing basis: The amendment to this administrative regulation is not projected to have a fiscal impact on the administrative body.

††††† (6) What is the source of the funding to be used for the implementation and enforcement of this administrative regulation: The cabinet staffís provision of child protective services is funded by the federal Social Services Block Grant, General Funds, and Agency Restricted Funds derived from Medicaid. Child protective and other child welfare services are further enhanced and supported by funding made available through federal grants authorized through Title IV of the Social Security Act, including Child Abuse Prevention and Treatment Act as amended.

††††† (7) Provide an assessment of whether an increase in fees or funding will be necessary to implement this administrative regulation, if new, or by the change if it is an amendment: An increase in fees or funding is not necessary to implement this administrative regulation.

††††† (8) State whether or not this administrative regulation established any fees or directly or indirectly increased any fees: This administrative regulation does not establish any fees or directly or indirectly increase any fees.

††††† (9) TIERING: Is tiering applied? Tiering is not applied, because this administrative regulation will be applied in a like manner statewide.

 


FEDERAL MANDATE ANALYSIS COMPARISON

 

††††† 1. Federal statute or regulation constituting the federal mandate.

42 U.S.C. 5106a

††††† 2. State compliance standards. KRS 194A.050(1), 605.150(1), 620.029(2)(a), 620.180(1)

††††† 3. Minimum or uniform standards contained in the federal mandate. 42 U.S.C. 5106a

††††† 4. Will this administrative regulation impose stricter requirements, or additional or different responsibilities or requirements, than those required by the federal mandate? This administrative regulation does not impose stricter requirements, or additional or different responsibilities or requirements, than those required by the federal mandate.

††††† 5. Justification for the imposition of the stricter standard, or additional or different responsibilities or requirements. This administrative regulation does not impose a stricter standards, or additional or different responsibilities or requirements.

 

FISCAL NOTE ON STATE OR LOCAL GOVERNMENT

 

††††† (1) What units, parts, or divisions of state or local government (including cities, counties, fire departments, or school districts) will be impacted by this administrative regulation? The Cabinet for Health and Family Services will be impacted by the amendment to this administrative regulation.

††††† (2) Identify each state or federal statute or federal regulation that requires or authorizes the action taken by the administrative regulation. 42 U.S.C. 5106a, KRS 194A.050(1), 605.150(1), 620.029(2)(a), 620.180(1)

††††† (3) Estimate the effect of this administrative regulation on the expenditures and revenues of a state or local government agency (including cities, counties, fire departments, or school districts) for the first full year the administrative regulation is to be in effect.

††††† (a) How much revenue will this administrative regulation generate for the state or local government (including cities, counties, fire departments, or school districts) for the first year? The amendment to this administrative regulation will not generate any revenue for state or local government.

††††† (b) How much revenue will this administrative regulation generate for the state or local government (including cities, counties, fire departments, or school districts) for subsequent years? The amendment to this administrative regulation will not generate any revenue for state or local government in subsequent years.

††††† (c) How much will it cost to administer this program for the first year? The amendment to this administrative regulation is not projected to have a new fiscal impact on the administrative body.

††††† (d) How much will it cost to administer this program for subsequent years? The amendment to this administrative regulation is not projected to have a new fiscal impact on the administrative body.

††††† Note: If specific dollar estimates cannot be determined, provide a brief narrative to explain the fiscal impact of the administrative regulation.

††††† Revenues (+/-):

††††† Expenditures (+/-):

††††† Other Explanation: