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, [61.870-61.884,] 159.140, 194A.005(1), 202A.011, 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) [610.010(1)(e), (8)], 620.010-620.050, 620.070, 620.350, 620.990, 42 U.S.C. 5106a [, EO 2003-064]

      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 620.180(1) authorizes the cabinet to promulgate administrative regulations to implement the provisions of KRS Chapter 620 - Dependency, Neglect, and Abuse.] 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.[EO 2003-064 reorganizes the executive branch of government and establishes the Cabinet for Health and Family Services.] 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) "Cabinet" is defined by KRS 194A.005(1) and 600.020(6).

      (2) "Caretaker" means a parent, guardian, or other person exercising custodial control or supervision[is a person who is responsible for the supervision and well-being] of a child.

      (3) "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.

      (4) "Family-in-need-of-services assessment" or "FINSA" is a process of collecting information and evaluating risk factors[in order] to determine if a family is in need of child protective services[:

      (a) If a child:

      1. Has been abused or neglected; or

      2. Is dependent; and

      (b) The strengths and needs of the child’s][a][family].

      (5) "Human trafficking" is defined by KRS 529.010(5).

      (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:

      (a) An investigation; or

      (b) A FINSA[family-in-need-of-services assessment].

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

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

      (b) Is dependent[; and

      (b) Based upon the initial determination that moderate to high risk factors exist].

      (8)[(7)] "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 in KRS 600.020(1).

      (9) "Sexual abuse" is defined by KRS 600.020(56).

      (10) "Sexual exploitation" is defined by KRS 600.020(57).

      (11)[(8)] "Social service worker" is defined by KRS 600.020(58)[KRS 600.020(57)].

      (12)[(9)] "Substantiated" means:

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

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

      (c) A preponderance of evidence exists that abuse, neglect, or dependency was committed by the caretaker[person alleged to be responsible].

      (13)[(10)] "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.

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

      (15) "Victim of human trafficking" is defined by KRS 529.010(13).

 

      Section 2.[Receiving] A Report of Child Abuse, Neglect, or Dependency. (1) In accordance with 42 U.S.C. 5106a(b)(2)(B)(i) [5106a(b)(2)(A)(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,[or] 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)[(a) through (e)].

      (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 a FINSA an anonymous report that provides sufficient information regarding an incident involving a child and alleged:

      1.[, and a report of child] Abuse, neglect, or dependency perpetrated by a caretaker; or

      2. Human trafficking of the child[, shall be investigated or accepted as a family-in-need-of-services assessment].

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

      (2) The cabinet shall not undertake an investigation or FINSA[family-in-need services assessment] for a report of abuse or neglect allegedly perpetrated by a non-caretaker, with the exception of a report of human trafficking,[noncaretaker] 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[criteria] for an investigation or FINSA,[family-in-need-of services assessment] the cabinet shall:

      (a) Not accept the report for investigation or FINSA[family-in-need-of-services assessment];

      (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)[5106a(b)(2)(A)(viii)].

      (4) Acceptance Criteria for an Investigation or FINSA[criteria for investigation or family-in-need-of-services assessment]. The cabinet shall:

      (a) Investigate or conduct a FINSA[Undertake an investigation or family-in-need-of-services assessment] upon the receipt of a report of physical abuse, if the report alleges:

      1. An injury that is, or has[Marks that are or have] been, observed on a child that was[were] allegedly inflicted nonaccidentally by a caretaker;

      2. Physical abuse if no current observable injury is[marks are] seen;

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

      4.a. Physical injury to a child, as defined by[at] KRS 600.020(46)[600.020(45)], that is the result of an altercation between the child and the caretaker.

      b. The cabinet shall explore the following:

      (i) Age of the child;

      (ii) Precipitating factors;

      (iii) Degree of appropriateness of force used by the caretaker; and

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

      (b) Investigate or conduct a FINSA[family-in-need-of-services assessment] 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[is] 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.[Food poisoning; or

      d.] 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 child’s 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[exhausts] 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)[5106a(b)(2)(B)], 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)[5106a(b)(2)(A)(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[or]

      9.[A report that alleges][Emotional injury or risk of emotional injury to a child by a caretaker, pursuant to KRS 600.020(25); or

      10.] Exploitation neglect if the:

      a. Caretaker has used a child or child’s 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;[KRS 600.020(24)][.]

      (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 a FINSA [family-in-need-of-services assessment] upon the receipt of a report that alleges a child is dependent, pursuant to KRS 600.020(19); and

      (e) Investigate or complete 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 FINSA[family-in-need-of-services assessment]:

      (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[and]

      (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[5:070].

      (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[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 FINSA[Family-in-Need-of-Services Assessment]. (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),[5106a(b)(2)(A)(iv)] make an initial determination as to the immediate safety and risk of harm to a child.

      (2) 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[and imminent danger for the child];

      (b) Human trafficking of a child; or

      (c) Sexual abuse of a child[If the report of child abuse, neglect, or dependency indicates imminent danger, the investigation shall be initiated within one (1) hour].

      (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)[Unable to locate shall be documented in the investigative or family-in-need-of-services narrative.

      (6)] An investigation or a FINSA[family-in-need-of-services assessment] shall be initiated within forty-eight (48) hours of receipt of the[a] report of dependency, if a child is not in imminent danger.

      (6) Unable to locate shall be documented in the investigative or family-in-need-of-services narrative.

      (7) 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)[5106a(b)(2)(A)(xviii)].

      (8) A written assessment shall:

      (a) Be completed by the cabinet on every investigation and FINSA; and

      (b) Document efforts if the cabinet is unable to locate the family[family-in-need-of-services assessment].

      (9) The cabinet shall provide or make a referral to any community based service:

      (a) Available to a child, caretaker, or a child’s 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[42 U.S.C. 5106a(b)(2)(A)(v)(vi)(ix)(xi)(xxi),] Necessary to:

      1.[(a)] Reduce risk to a child; and

      2.[(b)] Provide family support.

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

      (11)(a) The cabinet may develop a Prevention Plan at any point during an investigation or 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 family’s identified support system;

      3. Agreed upon by the participants; and

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

      (12) If an investigation or a FINSA[family-in-need-of-services assessment] 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[safe plan of care] in accordance with 42 U.S.C. 5106a(b)(2)(B)(iii)[5106a(b)(2)(A)(iii)].

      [(12) The Prevention Plan shall be:

      (a) Completed, in hard copy, for a family-in-need-of-services assessment or an investigation, if the cabinet determines that abuse or neglect is substantiated or a family-in-need-of-services assessment determines a family needs service if:

      1. A child remains in the home; and

      2. A protection case is to be opened due to risk in the home;

      (b) Developed in conjunction with a family and the family’s identified support system;

      (c) Agreed upon by the participants; and

      (d) Signed by all parties identified to participate in the prevention plan, if possible.]

      (13) Collateral contact shall be made pursuant to KRS 620.030, 620.040, and 620.050[, and 42 U.S.C. 5106a(b)(2)(A)(viii)(ix)].

      (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).

      (15) Cabinet staff shall coordinate an investigation with a children’s advocacy center governed by 920 KAR 2:040[922 KAR 1:440], in accordance with KRS 620.040(6) and (7).

      (16) Pursuant to KRS 620.030(5)[620.030(3)], 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 FINSA[family-in-need-of-services assessment].

      (17) Photographs may be taken of a child or a child’s environment during a protective services investigation or FINSA[family-in-need-of-services assessment,] in accordance with KRS 620.050(14).

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

      (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)[5106a(b)(2)(B)(A)(vii)].

      (b) The cabinet’s primary responsibility shall be the protection of the child.

      (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 child’s 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).

      (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.

      (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)[5106a(b)(2)(A)(v)], the cabinet may refer a child or a child’s family to a state or[and] community resource[resources,] according to the identified need of the child and family[, a report of abuse, neglect, or dependency that does not require a mandatory child protection services investigation or family-in-need-of-services assessment].

 

      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 a FINSA[family-in-need-or-services assessment].

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

 

      Section 5. Reports of Child Abuse, Neglect, or Dependency in Cabinet-approved Homes or Licensed Facilities. (1) Pursuant to KRS 620.030(5) [620.030(3)], 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)[Licensed] Child-caring facility licensed in accordance with 922 KAR 1:300 or its subcontractor;

      (b)[Licensed] 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)[Licensed or certified day care facility; or (d)] 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 received, the designated cabinet staff shall:

      (a)[Supervisor shall] Immediately contact the service region administrator or designee; and

      (b)[Designated regional cabinet staff shall] 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[child care home or a licensed child day care facility] is received, cabinet staff shall:

      (a) Notify the cabinet’s 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[day care] center is received, cabinet staff shall:

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

      (b) Conduct an investigation.

      1. If possible, an investigation shall be coordinated and conducted jointly with the Division of Regulated[Licensed] 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[operator of the facility] within thirty (30) working days, unless a necessary extension is granted by the designated[regional] cabinet staff in a supervisory role.

      (5) The cabinet shall share written findings of an investigation[shall be shared] 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 Division of Regulated Child Care for a:

      (a) Licensed child-care center;

      (b) Certified family child-care home;

      (c) Licensed child-caring facility; or

      (d) Licensed child-placing agency.

      (7)[child day care facility. (6)] 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 6. Interviewing a Child in a School Setting. (1) Pursuant to KRS 620.030(5)[620.030(3)], the cabinet may, upon receipt of a report of child abuse or neglect, initiate an investigation or a FINSA[family-in-need-of-services assessment] at a school, which may include the review and copying of relevant school records pertaining to the child.

      (2)[The cabinet shall,] If initiating an investigation or a FINSA[family-in-need-of-services assessment] 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 7. Investigation of an Employee of the School System. If a report of child abuse or neglect involving school personnel is 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[exercising custody and control of a child, with the incident occurring during school time or other school-related activity], 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(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[KRS 61.870 to 61.884].

 

      Section 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)[, as required by:

      (1) KRS 620.040(1)(c); and

      (2) 42 U.S.C. 5106a(b)(2)(A)(ix)].

 

      Section 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(19)[600.020(1)] in determining if an allegation is substantiated.

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

      (a) Information and evidence collected by the cabinet during the report’s investigation or FINSA; and

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

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

      (4) A cabinet finding[(3) A social service worker’s determination] shall not be a judicial finding.

      (5)[(4)] The social service worker’s[cabinet's] supervisor or designee shall review and approve the final finding of the investigation or FINSA[family-in-need-of-services assessment].

      (6)[(5)] A DPP-152, Child Protective Service (CPS) Substantiated Investigation Notification Letter, and notice of the perpetrator’s right to appeal in accordance with 922 KAR 1:480, Section 3[2], shall be:

      (a) Sent to the perpetrator by certified mail; or

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

      (7)[(6)] A DPP-152[, Child Protective Service (CPS) Substantiated Investigation Notification Letter] shall be:

      (a) Sent to the child’s[victim’s] parent or guardian by certified mail; or

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

 

      Section 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[Commissioner of the Department for Community Based Services] 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 11.[Case] Closure and Aftercare Planning. (1) 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. Protect the child; and

      2. Meet the needs of the child; or

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

      (2) A child protective services case shall not be closed if withdrawal of services places a child at risk of abuse, neglect, or dependency.

      (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.

      (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.

      (5) The[P&P] 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.

      (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[P&P] Aftercare Plan.

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

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

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

 

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

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

      (b) "Aftercare Plan", 2/04; and

      (c) "Prevention Plan",[edition] 6/04[; and

      (c) " P&P Aftercare Plan", edition 2/04].

      (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.

 

TERESA C. JAMES, Commissioner

AUDREY TAYSE HAYNES, Secretary

      APPROVED BY AGENCY: February 7, 2014

      FILED WITH LRC: February 7, 2014 at 1 p.m.

      CONTACT PERSON: Tricia Orme, Office of Legal Services, 275 East Main Street 5 W-B, Frankfort, Kentucky 40601, phone 502-564-7905, fax 502-564-7573.

 

REGULATORY IMPACT ANALYSIS AND TIERING STATEMENT

 

Contact Person: Elizabeth Caywood

      (1) Provide a brief summary of:

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

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

      (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 the cabinet’s procedures for the intake, acceptance or referral, investigation or FINSA, and interventions involving reports alleging child abuse, neglect, and dependency.

      (d) How this administrative regulation currently assists or will assist in the effective administration of the statutes: This administrative regulation assists in the effective administration of the statutes by establishing services for the protection of children.

      (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 to this administrative regulation incorporates child victims of human trafficking within child protective services criteria in accordance with the Human Trafficking Victims Rights Act of the 2013 Regular Session of the Kentucky General Assembly. In addition, the amendment updates terminology used in the administrative regulation to improve congruency with applicable statutes and makes technical corrections, clarifications, and formatting changes in accordance with KRS Chapter 13A. Public comments from the Children’s Alliance resulted in additional changes to regulatory language to more clearly define "family-in-need-of-services assessment"; reflect the role of non-Cabinet staff that may be contracted to receive child protective services reports (e.g., hotline services); provide clarity to regulatory language re: notice and initiation; and more clearly delineate the agency’s policy related to emotional injury reports. Additionally, the Cabinet recently engaged in a comprehensive review of administrative hearings processes to improve objectivity, timeliness, and congruency with KRS Chapter 13B, and a final change to this regulation necessitated by this review includes the reassignment of the final order process from the DCBS Commissioner to the Secretary of the Cabinet for Health and Family Services or designee.

      (b) The necessity of the amendment to this administrative regulation: The amendment to this administrative regulation is necessary to implement requirements related to child protective services reporting and response for child victims of human trafficking as established in the Human Trafficking Victims Rights Act of the 2013 Regular Session of the General Assembly. In addition, the amendment is consistent with federal funding guidance regarding services to child victims of human trafficking and multi-agency collaboration. The amendment is also necessary for conformity with applicable statutes and drafting requirements of KRS Chapter 13A.

      (c) How the amendment conforms to the content of the authorizing statutes: The amendment conforms to the content of the authorizing statutes through its incorporation of reporting and response requirements for child victims of human trafficking in compliance with the Human Trafficking Victims Rights Act from the 2013 Regular Session of the General Assembly.

      (d) How the amendment will assist in the effective administration of the statutes: The amendment will assist in the effective administration of the statutes through its alignment with recently enacted legislation and congruency with applicable statutes.

      (3) List the type and number of individuals, businesses, organizations, or state and local governments affected by this administrative regulation: From October 1, 2012, through September 30, 2013, the cabinet received nearly 95,000 child protective services calls. Of those, nearly 58,000 reports met acceptance criteria for an investigation or FINSA. The cabinet made nearly 14,000 substantiated findings or findings of families needing services. As of October 2013, DCBS has received twenty (20) reports concerning twenty-five (25) child victims of suspected human trafficking since the enactment of the Human Trafficking Victims Rights Act on June 26, 2013.

      (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: Individuals who suspect that a child is a victim of human trafficking will be able to make a report to the cabinet, and the cabinet will be authorized to proceed in the case regardless of whether the person believed to have caused the human trafficking is the child’s caretaker.

      (b) In complying with this administrative regulation or amendment, how much will it cost each of the entities identified in question (3): The regulated entities will not incur a new or additional cost.

      (c) As a result of compliance, what benefits will accrue to the entities identified in question (3): The amendment to this administrative regulation improves and clarifies cabinet procedures for the intake and investigation or FINSA of reports alleging child abuse, neglect, and dependency. Through this amendment, child victims of human trafficking will avoid prosecution and benefit from interventions specific to their treatment and service needs. The cabinet continues to regularly engage with the Kentucky Association of Sexual Assault Programs, Children’s Advocacy Centers, Catholic Charities, law enforcements organizations, and others to improve the quality of service delivery to child victims of human trafficking.

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

      (a) Initially: The administrative body anticipates any cost associated with the implementation of this regulatory amendment to be absorbable or offset by the human trafficking victims fund created within the Human Trafficking Victims Rights Act.

      (b) On a continuing basis: The administrative body anticipates any cost associated with the implementation of this regulatory amendment to be absorbable or offset by the human trafficking victims fund created within the Human Trafficking Victims Rights Act.

      (6) What is the source of the funding to be used for the implementation and enforcement of this administrative regulation: The cabinet staff’s 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 the amendment to 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, as this administrative regulation is 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), 620.029(2)(a), 620.180(1), 605.150(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 will not impose stricter requirements, or additional or different responsibilities, than those required by 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 standard, 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 Department for Community Based Services will be impacted by 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), 620.029(2)(a), 620.180 (1), 605.150(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? This administrative regulation will generate no new revenues.

      (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? This administrative regulation will generate no new revenues.

      (c) How much will it cost to administer this program for the first year? The administrative body anticipates any cost associated with the implementation of this regulatory amendment to be absorbable or offset by the human trafficking victims fund created within the Human Trafficking Victims Rights Act.

      (d) How much will it cost to administer this program for subsequent years? The administrative body anticipates any cost associated with the implementation of this regulatory amendment to be absorbable or offset by the human trafficking victims fund created within the Human Trafficking Victims Rights Act.

      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: