7B CPS Investigation by dandanhuanghuang

VIEWS: 3 PAGES: 58

									                    Cabinet for Health and Family Services
                  Department for Community Based Services
                    Division of Protection and Permanency
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7B CPS INVESTIGATION OR FINSA
 7B.1 PROCESS OVERVIEW: INVESTIGATION/FINSA
       7B.1.1 ACCESSING VIOLATIONS      OF   THE KENTUCKY      CONTROLLED
              SUBSTANCE ACT AS THEY PERTAIN TO AN INDIVIDUAL IDENTIFIED
              IN A DCBS INVESTIGATION
 7B.2 INTERVIEWS AT SCHOOL
 7B.3 CHILD SEXUAL ABUSE INVESTIGATIONS
 7B.4 CHILD PHYSICAL ABUSE INVESTIGATIONS
 7B.5 CHILD NEGLECT INVESTIGATIONS/FINSAS
     7B.5.1 CHILD(REN) EXPOSED TO METHAMPHETAMINE PRODUCTION ( METH
            LAB ) INVESTIGATIONS
 7B.6 EMOTIONAL ABUSE INVESTIGATIONS AND EMOTIONAL INJURY
       EVALUATIONS
     7B.6.1 CHILD EMOTIONAL INJURY INVESTIGATIONS/FINSA
 7B.7 INVESTGATION OF CHILD FATALITY OR NEAR-FATALITY
 7B.8 SPECIALIZED INVESTIGATIONS PROCESS OVERVIEW
     7B.8.1 INVESTIGATIONS OF FOSTER OR ADOPTIVE HOMES DCBS or PCP
              AGENCIES
             7B.8.1(A) INVESTIGATION OF PRIVATE CHILD PLACING (PCP) FOSTER
                       OR ADOPTIVE RESOURCE HOME
     7B.8.2 INVESTIGATIONS OF PRIVATE CHILD CARING FACILITIES (PCC) AND
             CRISIS STABILIZATION UNITS
     7B.8.3 INVESTIGATIONS OF CERTIFIED FAMILY CHILD CARE HOMES OR
             LICENSED CHILD CARE FACILITIES
     7B.8.4 INVESTIGATIONS OF REGISTERED (SUBSIDIZED) FAMILY CHILD CARE
             PROVIDERS
     7B.8.5 INVESTIGATIONS INVOLVING DCBS EMPLOYEES
     7B.8.6 INVESTIGATIONS OF SCHOOL EMPLOYEES
     7B.8.7 INVESTIGATIONS OF SUPPORTS FOR COMMUNITY LIVING (SCL) AND
             COMMUNITY MENTAL HEALTH/MENTAL RETARDATION CENTER (CMHC)
     7B.8.8 INVESTIGATIONS OF PSYCHIATRIC RESIDENTIAL TREATMENT
             FACILITIES (PRTF) AND PSYCHIATRIC HOSPITALS
     7B.8.9 ALLEGATIONS AT DJJ FACILITIES
     7B.8.10 ALLEGATIONS AT HOSPITALS
7B.9 DETERMINATION OF FINDINGS OF INVESTIGATION OR FINSA




                    Division of Protection and Permanency
                                                Page 1 of 58
                                                                       SOP 7B.1
                                                                       R. 1/1/07
                PROCESS OVERVIEW: INVESTIGATION/FINSA

COA STANDARDS:
 S10.2 Service Elements – Response to Reports.
 S10.3 Service Elements – Assessment.
 S10.6 Service Elements – Community Responsibility.

LEGAL AUTHORITY:
 KRS 620.030, Duty to report dependency, neglect or abuse
 KRS 620.040, Duties of prosecutor, police and cabinet; prohibition as to school
  personnel; multidisciplinary teams
 KRS 620.050, Immunity for good faith actions or reports; investigations;
  confidentiality of reports; parent’s access to records; sharing of information by
  children’s advocacy centers; confidentiality of interview with child; exceptions
 922 KAR 1:330, Child protective services
 922 KAR 1:480. Appeal of child abuse and neglect investigative findings
 45 CFR Part 1355.34(b)(1)42 U.S.C. 5106a

PROCEDURE:
1. The FSOS, or designee, determines the initial level of risk, based on the:
   (a) Information received;
   (b) History of the family and the existence of prior reports; and the
   (c) CPS Multiple Response Matrix.
2. The investigation track is followed for reports that meet acceptance criteria and
   are assessed as high risk or moderate risk, this includes matters in which there
   are additional risk factors, such as when a protection case is already active; the
   Family In Need of Services (FINSA) track is followed for reports that are
   assessed as low risk. In some circumstances, low risk reports are accepted as
   investigations.
3. The following time frames established in administrative regulation 922 KAR
   1:330 are used by the assigned SSW to initiate the Investigation or FINSA by
   making face to face contact with the:
   (a) Alleged victim(s) within one (1) hour if the report indicates imminent risk
       exists;
   (b) Alleged victim(s) and family within twenty-four (24) hours if the report
       indicates non-imminent risk of physical abuse exists; or
   (c) Alleged victim(s) and family within forty-eight (48) hours if the report
       indicates non-imminent risk not involving physical abuse exists.
4. The SSW notifies the alleged perpetrator subject to an Investigation/FINSA of
   the allegations during the initial face-to-face contact pursuant to 42 U.S.C.
   5106a by:
   (a) Verbally informing the alleged perpetrator of the basic allegations, void of
       any specifics that may compromise the Investigation/FINSA;
   (b) Verbally informing the alleged perpetrator that they will be provided
       notification of the findings upon completion of the investigation;
   (c) Providing the alleged perpetrator a copy of the DPP-155, Request for Appeal

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       of Child Abuse or Neglect Investigative Finding explaining the alleged
       perpetrators rights to appeal a substantiated finding; and
   (d) Documenting the verbal notification of the allegations in the service recording
       of TWIST.
   If the identity of the alleged perpetrator is unknown at the outset of an
   Investigation/FINSA the aforementioned procedures are conducted during the
   initial face-to-face contact in the child’s home with the:
   (a) Parent(s);
   (b) Guardian(s); or
   (c) Adult caretaker(s).
5. The SSW maintains the confidentiality of the referral source/reporting
   individual’s identity at all times during the Investigation/FINSA, unless ordered
   to report such by a court of competent jurisdiction.
6. Pursuant to administrative regulation 922 KAR 1:440 the SSW coordinates
   Investigations/FINSA with the local Children’s Advocacy Center:
   (a) To provide medical examinations for child(ren) during a sexual abuse
       investigations;
   (b) To utilize a forensic interviewer as needed (when available); and
   (c) As a neutral interview location when appropriate.
7. When initiating a Child Protective Services (CPS) Investigation/FINSA the
   required procedure is face-to-face contact with the reported victim(s). Only after
   attempts at face-to-face contact to locate the alleged victim(s) within the
   required time frames have failed does the SSW document what legitimate
   attempts have been made to locate the alleged victim(s), such as:
   (a) Date and time any visit is made to the home or school to see the child(ren);
       and
   (b) Contacts with collateral sources, such as:
       (1) Family Support, utility companies, etc. for verification of address;
       (2) The child’s placement if in out-of-home care; and
       (3) The referral source, when possible, to obtain additional information on
            locating the child(ren).
8. If all efforts by the SSW to locate the alleged victim(s) have failed, the FSOS
   must be contacted as soon as possible for consultation, including weekends. The
   date, time, location of the initiation of a referral, and FSOS consultations are
   documented in the ―Referral Results Summary/Conclusions‖ of the CQA.
9. The SSW has contact with the child and adult(s) to assess safety of all children
   and vulnerable adults in the home. In assessing safety, the SSW considers:
   (a) The age of the child(ren);
   (b) Harm or threats of harm, and severity;
   (c) Vulnerability and protective capacities of the child(ren);
   (d) Capacity of the parent/caretaker to protect the child(ren);
   (e) The perpetrators access to the children; and
   (f) Any other information necessary to determine the validity of the report.
   (Link to Mental Health/Illness Indicators Tip Sheet)
10.If domestic violence (spouse/partner abuse) is concurrently alleged with the
   child abuse or neglect report, the SSW generates an Adult Protective Services
   report and includes all allegations as part of the assessment. (Link: Tip Sheet for
   Concurrent Child Maltreatment and Domestic Violence)
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11.The SSW determines whether the child(ren) or the parent or caretaker is
   interviewed first, giving consideration to the:
   (a) Nature of the referral;
   (b) Current location of child(ren);
   (c) Indicated risk to the child(ren); and
   (d) Known violence by the parent or caretaker.
12.The SSW checks for prior reports and records, as soon as possible, via:
   (a) TWIST;
   (b) Mainframe databases including CA/N and LINK; and
   (c) AOC Court Net.
13.The SSW conducts face-to-face interviews with the:
   (a) Alleged victim(s);
   (b) All children of appropriate age in the home;
   (c) Alleged perpetrator/caretaker;
   (d) Non-offending parent/caretaker; and
   (e) Other adults.
14.The SSW conducts interviews, as appropriate, with:
   (a) Collateral sources (persons in the community such as teachers, medical
       personnel, childcare providers, etc.);
   (b) Extended family members; and
   (c) Referral source when contact information is available for that individual.
       (NOTE: Do NOT identify the individual as the referral source, identify them as
       a collateral source in CQA or services recording to maintain confidentiality.)
15.If a family or individual fails to cooperate with an investigation or FINSA, the
   SSW may seek the assistance of law enforcement. Law enforcement may seek a
   search warrant or other judicial relief.
16.The SSW obtains supportive documentation, such as photos or written
   statements from the alleged victim or other family members.
17.The SSW obtains other supportive documentation from mental health, medical,
   or other related organizations as applicable.
18.The SSW has access to all records to complete an investigation regarding a child
   alleged to have been abused or neglected and the alleged perpetrator (922 KAR
   1:330). KRS 620.030(3) requires agencies to cooperate such that the Cabinet is
   able to conduct CPS investigations. If an agency does not cooperate with the
   investigation the SSW, upon consultation with the FSOS, may complete and
   provide a letter from CHFS General Counsel requesting the records.
19.Within seventy-two (72) hours (exclusive of weekends and holidays), SSW
   makes a preliminary report on the DPP-115 concerning the action that has been
   taken on any investigation or FINSA. The report is forwarded to:
   (a) The Commonwealth Attorney or county attorney; and
   (b) The local law enforcement agency or Kentucky State Police.
20.The SSW negotiates a Prevention Plan with the family at any time during a
   FINSA or an Investigation when the SSW believes the child(ren)’s safety may be
   compromised to address immediate safety concerns.
21.The SSW negotiates a Prevention Plan with the family when a FINSA indicates a
   family needs services or an Investigation substantiates abuse or neglect if:
   (a) The SSW believes the child(ren)’s safety may be compromised to address
       immediate safety concerns; and

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   (b) The child remains in the home or in the temporary care of a relative.
22.Within thirty (30) working days of the report, the SSW completes the
   Investigation/FINSA CQA and makes a determination of findings. An extension
   may be granted by the FSOS, and is documented. (In Specialized Investigations,
   the SRA or their designee must provide the approval). (Link to CPS CQA Tip
   Sheet) (Link to CPS CQA Anchors)
23.The SSW follows additional guidelines for Specialized Investigations Process
   Overview, as well as, Foster or Adoptive Resource Homes, Private Child Caring
   Facilities (PCCs), Licensed Day Care Providers, Subsidized or Certified Child Care
   Providers, School Employees, Cabinet Employees, DJJ Facilities, SCL/CMHC
   Facilities and Hospitals.
24.The SSW seeks supervisory consultation prior to seeking involvement of the
   court, if appropriate.
25.Upon FSOS approval of the CQA, the SSW sends, within ten (10) working days:
   (a) Notification of a substantiated finding using the DPP-152, Substantiated
       Investigation Notification Letter to the:
       (1) Perpetrator, along with the DPP-155, Request for Appeal of Child Abuse or
           Neglect Investigative Finding by;
            Certified, Restricted Mail; or
            Hand delivery, with a witness signing a written confirmation that the
               perpetrator received the notice; and
       (2) Victim’s parent or guardian by;
            Certified Mail; or
            Hand delivery, with the parent or guardian and a witness signing a
               written confirmation that the parent or guardian received the notice;
   (b) All other notification of the findings to the alleged perpetrator and the
       victim’s parent(s) or guardian via the:
       (1) DPP-152A, Unsubstantiated Investigation Notification Letter;
       (2) DPP-153, Family In Need of Services Notification Letter; or
       (3) DPP-153A, Family Not In Need of Services Notification Letter; and
   (c) Notification of the finding, to all involved other parties, via the:
       (1) DPP-152, Substantiated Investigation Notification Letter;
       (2) DPP-152A, Unsubstantiated Investigation Notification Letter;
       (3) DPP-153, Family In Need of Services Notification Letter; or
       (4) DPP-153A, Family Not In Need of Services Notification Letter.
       (Link to Distribution Chart for reference when sending notifications.)
24.The SSW only notifies parent(s) or caregiver of substantiated findings (do not
   notify of unsubstantiated findings) involving specialized investigations as
   outlined in procedures in SOP 7B.8-Overview of Specialized Investigations
25.Each Service Region may establish a centralized point of distribution of
   information to other staff, resource family, agencies or license holder, as
   appropriate.
26.Requests for information regarding the final report by those outside the Cabinet
   are to be handled through Open Records Procedures.
27.If the report is unsubstantiated, but there are issues of general concern (i.e. not
   abuse/neglect), an Aftercare Plan may be developed.
28.If the SSW determines an investigation to be substantiated, but the case will be
   closed, an Aftercare Plan is completed and the case is closed. (Used for both

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   Substantiated and, Found and Substantiated).
29.If the SSW determines an investigation to be substantiated, and the case will be
   opened, a Prevention Plan is completed as outlined in Case Planning SOP 7C.4.4.
30.If a new report of suspected child maltreatment is received after a case has
   been opened for ongoing services, the SSW enters the new referral and follows
   guidelines for CPS Intake and Investigation.
31.The SSW may refer to the Distribution Chart for reference when sending
   notifications and courtesy copies during specialized investigations.
32.The SSW follows procedures outlined in SOP 1A.7(A) Investigation / FINSA
   Onsite when assistance is requested from one county or region to another
   county or region to provide needed services for investigation or FINSA.



                                                                      SOP 7B.1.1
                                                                      R. 12/01/07

ACCESSING VIOLATIONS OF THE KENTUCKY CONTROLLED SUBSTANCE ACT
     AS THEY PERTAIN TO AN INDIVIDUAL IDENTIFIED IN A DCBS
                         INVESTIGATION

COA STANDARDS:
 N/A

LEGAL AUTHORITY:
 KRS 218A.202 Electronic system for monitoring controlled substances -- Penalty
  for illegal use of system -- Pilot project -- Continuing education programs.

PROCEDURE:
1. The SSW follows procedures for accessing KASPER analysis data located in SOP
   1B.6 - Accessing Violations of the Kentucky Controlled Substance Act As They
   Pertain To an Individual Identified In a DCBS Investigation.




                                                                      SOP 7B.2
                                                                      R. 6/25/04
                           INTERVIEWS AT SCHOOL

COA STANDARDS:
● NA

LEGAL AUTHORITY:
● KRS 600.020(50)
● KRS 620.040(4)
● 922 KAR 1:330

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PROCEDURE:
1. Upon receipt of a report of abuse or neglect of a child the assigned SSW may:
   (a) Initiate an Investigation or FINSA at the child’s school; and
   (b) Review and copy relevant school records pertaining to the child.
2. When a SSW intends to interview a child at school, the SSW:
   (a) Informs the appropriate school personnel of their need to interview the child
        regarding a report;
   (b) Indicates which child(ren) and collaterals (as appropriate) need to be
        interviewed;
   (c) Gives necessary information concerning the allegation and investigation only
        to school personnel with a legitimate interest in the case; and
   (d) Shows their identification card.
3. A private interview of the child is desirable; however, there may be occasions
   when the child may request the presence of a teacher, counselor or other school
   personnel. School personnel are allowed to be present at the SSW’s discretion if
   it is determined that it is in the best interest of the child. If such a determination
   is made, the SSW:
        (a) Makes the school personnel aware that they are subject to subpoena to
            court for any disclosure statements that the child may make; and
        (b) Instructs the school personnel to remain:
            (1) Silent during the interview; and
            (2) Out of the line of sight of the child.




                                                                           SOP 7B.3
                                                                           R. 8/1/03
                    CHILD SEXUAL ABUSE INVESTIGATIONS

COA STANDARDS:
● S10—Child Protective Services

LEGAL AUTHORITY:
● KRS 431.600
● KRS 600.020
● KRS 620.040
● KRS 620.050
● 922 KAR 1:330

PROCEDURE:
1. A SSW and a law enforcement officer conduct investigations of reports of
   suspected sexual abuse of a child. Additional multi-disciplinary team members
   may be involved in the investigation per local protocol. If other members are
   unavailable, however, the SSW proceeds with the initiation of the investigation
   to assess safety (but does not complete the investigation without law
   enforcement).

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2. The SSW is the lead investigator when the alleged perpetrator of sexual abuse is
   a parent or other person acting in a caretaking role.
3. When possible, interviews are conducted at the local Children’s Advocacy
   Center.
4. Types of documentation sought may include:
   (a) The child’s verbal account;
   (b) Hearsay statements made to a physician, psychiatrist or psychologist;
   (c) Photographs or other medical documentation;
   (d) Child’s journals, letters, or other written accounts or drawings;
   (e) Corroborating evidence; and
   (f) History of the alleged perpetrator
5. When requested, the SSW assists law enforcement in investigations of non-
   caretaker sexual abuse.


                                                                        SOP 7B.4
                                                                        R. 8/1/03
                  CHILD PHYSICAL ABUSE INVESTIGATIONS

COA STANDARDS:
 S10—Child Protective Services
LEGAL AUTHORITY:
 KRS 600.020
PROCEDURE:
Types of documentation sought during physical abuse investigations may include:
1. The child’s verbal account;
2. Photographs of the child (or drawing and detailed written description of injury, if
   no camera is available);
3. Eyewitness accounts;
4. History of alleged perpetrator; and
5. Evidence of domestic violence severe enough that the child is at risk of physical
   injury (e.g. thrown objects, broken glass, being held, or use of weapons). (Link:
   Tip Sheet for Concurrent Child Maltreatment and Domestic Violence)


                                                                            SOP 7B.5
                                                                            R. 8/1/03
                  CHILD NEGLECT INVESTIGATIONS/FINSAS

COA STANDARDS:
 S10—Child Protective Services
LEGAL AUTHORITY:
● 45 CFR Part 1355.34(b)(1)
● 922 KAR 1:330

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PROCEDURE:
  1. For medical neglect Investigations/FINSAs, documentation (written
     preferably or verbal) is sought from a medical witness, such as a physician,
     physician’s assistant, or a nurse as to:
     (a) Whether the caretaker is providing necessary medical care;
     (b) How any action or inaction of the caretaker has placed the child’s health
         or welfare at risk; and
     (c) What are the likely consequences of further action or inaction (e.g.
         missed appointments, shots, failure to medicate) on the child’s health?
  2. Allegations of the withholding of medically indicated treatment of disabled
     infants with life-threatening conditions in hospitals or health care facilities are
     referred to the Medical Support Section at Central Office at (502) 564-6852.
  3. For educational neglect Investigations/FINSAs, the SSW seeks from the
     school system a record of unexcused absences and documentation (written
     or verbal) of prior attempts to intervene in an effort to stop unexcused
     absences.
  4. For physical neglect (abandonment or lack of care, supervision, food, clothing
     or shelter) Investigations/FINSAs, the SSW seeks documentation (written or
     verbal) which may include:
     (a) Photographs of the home which show substandard conditions;
     (b) Testimony of witnesses as to the condition of the home, appearance or
         condition of the child(ren), food supply or supervision;
     (c) The presence of domestic violence interfering with child care; and
     (d) Documentation of parents repeatedly leaving child alone or failing to
         provide essential care.


                                                                            SOP 7B.5.1
                                                                           R. 11/15/07

CHILD(REN) EXPOSED TO METHAMPHETAMINE PRODUCTION ( METH LAB )
                        INVESTIGATIONS

COA STANDARDS:
  S10—Child Protective Services

LEGAL AUTHORITY:
  45 CFR Part 1355.34(b)(1)
  922 KAR 1:330

PROCEDURE:
1. The SSW, in addition to following the procedures outlined in this Standard of
   Practice (SOP), follows applicable procedures in:
   (a) SOP 7B.1 Process Overview: Investigation/FINSA; and
   (b) SOP 7B.5 Child Neglect Investigation/FINSA.
2. Reports of child(ren) exposed to the actual chemicals that are used to make
   methamphetamine, and reports of children who were exposed to an area where

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   methamphetamine was made in the past or present are accepted as an
   imminent risk investigation and:
   (a) All attempts are made by the assigned investigative SSW to have face to face
       contact with the child(ren) within one (1) hour. The SSW, when possible,
       interviews the child(ren) at school or away from the home, however if this is
       not possible the SSW does not respond to the home without law
       enforcement;
   (b) When there are allegations of a Meth Lab, law enforcement should take the
       lead on home visits. This may be the Kentucky State Police (KSP), local law
       enforcement or the Sheriff’s Department;
   (c) During the investigation the SSW determines if other children live in the
       home, including children who may not be present at the time of the
       investigation, and includes them in the current safety assessment; and
   (d) When the SSW is already in a home and suspects a Meth Lab, the SSW is to
       leave immediately and call law enforcement.
3. If an active Meth Lab is found:
   (a) A Site Safety Officer should arrive on the scene and direct law enforcement
       as to best practice regarding the safety of all parties. The Site Safety Officer
       should also determine the manner in which the child is decontaminated.
   (b) The SSW cleanses the child if decontamination procedures are not available
       at the scene. This is for the protection of the SSW who may need to touch
       the child. Cleansing the child consists of the SSW wearing gloves, if possible,
       and cleaning the child’s face, hands and hair with water. A protective
       covering (paper suit), if available, may be placed over the child’s clothing for
       protection. The child’s shoes are removed and left at the scene. The SSW
       may use a blanket, if available, to cover the car seat prior to placing the child
       in a car for transporting. The child will still need to be decontaminated by
       the hospital or law enforcement. Only trained experts can decontaminate
       children.
   (c) Staff DOES NOT TAKE ANY OF THE CHILD’S PERSONAL BELONGINGS
       (including shoes, blankets, toys, etc.) from the home due to possible
       contamination by dangerous toxins.
   (d) The SSW requests that law enforcement take pictures of the overall
       conditions in the home, as well as, the chemicals used in the production of
       methamphetamine for court prosecution and documentation purposes.
4. All children that have been exposed to methamphetamine, or the chemicals
   used to produce methamphetamine, shall be taken to an emergency room or
   appropriate medical facility for a complete medical assessment.
   (a) If the child(ren) is in physical distress or is exhibiting symptoms such as
       difficulty breathing, injuries or burns, EMS should transport the child to the
       Emergency Room (ER) for treatment. The SSW will need to determine how
       to proceed with custody. If necessary, law enforcement can take protective
       custody until the SSW is able to obtain an ECO.
   (b) If the child(ren) does not need emergency treatment, the SSW, law
       enforcement or an appropriate relative may transport the child(ren). The
       SSW should be extremely cautious in allowing a relative to take the child
       without a thorough assessment. The SSW must obtain an ECO, however, law
       enforcement may take protective custody of a child in imminent danger for

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        twelve (12) hours without a court order, in accordance with KRS
        620.040(5)(c). Law enforcement can then turn the child over to the SSW.
        An ECO must be obtained prior to the expiration of the twelve (12) hours if
        the child needs to remain in custody.
5. The SSW utilizes the DPP-106I, Methamphetamine Exposure Medical Evaluation
    and Follow-Up Form to document the physical health and care of an exposed
    child. (Link to the Methamphetamine Lab Medical Handout)
6. The SSW is responsible for assessing risk to the child and making placement
    decisions.
7. If law enforcement or a relative transports the child the SSW should arrive at
    the medical facility to explain the current situation to medical staff and requests
    the necessary lab tests. The SSW requests from the medical facility the following
    diagnostic testing:
    (a) Toxicology screening-including methamphetamine testing at a detection
        level; and
    (b) Diagnostic lab work to include CBC with differential, Chemistry Panel
        including BUN/Creatinine, and Liver Functions. Additional tests should
        include Vital signs, X-ray, EKG, and Pulmonary Function Testing if clinically
        indicated. A thorough lung examination, including respiratory rate and
        oxygen saturation on room air, should be completed.
8. The SSW notifies the Central Office Child Safety Branch at (502) 564-2136 of all
    substantiated investigations involving children exposed to methamphetamine
    production or the chemicals/area to produce methamphetamine.
 (Link to Methamphetamine Lab Medical Handout)
                                                                            SOP 7B.6
                                                                            R. 2/15/05
        EMOTIONAL ABUSE INVESTIGATIONS AND EMOTIONAL INJURY
                                     EVALUATIONS

COA STANDARDS:
 NA

LEGAL AUTHORITY:
 KRS 600.020(24)

INTRODUCTION
Emotional abuse can be a repeated pattern of caregiver behavior or an extreme
incident that conveys to a child that he or she is worthless, flawed, unloved,
unwanted, endangered or only of value in meeting another’s needs. (American
Professional Society on the Abuse of Children, 1995). The emotionally abusive
act(s) can be grouped into the categories of spurning, terrorizing,
exploiting/corrupting, isolating and denying emotional responsiveness.

Kentucky defines an emotionally abused or emotionally neglected child as one
whose health or welfare is harmed or threatened with harm, when his parent,
guardian or other person exercising custodial control or supervision inflicts or allows
to be inflicted an emotional injury or creates or allows to be created a risk of
emotional injury upon the child (KRS 600.020 (1)(a)(b)).

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The statutory definition of emotional injury was modified by the 1998 General
Assembly. Kentucky now defines an emotional injury as ―an injury to the mental or
psychological capacity or emotional stability of a child as evidenced by a substantial
impairment in the child’s ability to function within a normal range of performance
and behavior with due regard to his age, development, culture and environment as
testified to by a qualified mental health professional‖ (KRS 600.020 (24)).

In order for a report of emotional abuse to be substantiated in Kentucky, the
Department for Community Based Services and Regional Mental Health/Mental
Retardation Boards must work collaboratively by:
 DCBS investigating the allegations of emotional injury; and
 Obtaining information to share with the QMHP to determine whether an
   emotional injury has occurred.

It is the role of:
 DCBS to investigate the report of emotional injury and determine a perpetrator ;
    and
 Qualified Mental Health Professional (QMHP) to determine whether or not:
     The child has an emotional injury; or
     There is a risk of emotional injury to the child.

Outlined in the Partnership for Services: A Manual of Collaboration for Kentucky’s
Social Service and Mental Health Agencies are procedure for both agencies to use in
addressing emotional injury assessments to include;
 Designating individuals as gatekeepers in each region by the Community Mental
    Health Center and DCBS respectively to review a SSW’s request for an
    Emotional Injury Assessment;
 Determining if in fact an assessment is warranted by the designated
    gatekeepers; and
Utilizing the Emotional Abuse Assessment Referral form and Emotional Injury
Checklist as determined by how each region will implement the assessment
protocol, which are located in the appendix of the Partnership for Services: A
Manual of Collaboration for Kentucky’s Social Service and Mental Health Agencies.


                                                       SOP 7B.6.1
                                                       R. 2/15/05
            CHILD EMOTIONAL INJURY INVESTIGATIONS/FINSA

COA STANDARDS:
 S10—Child Protective Services
LEGAL AUTHORITY:
● KRS 600.020(24)

PROCEDURE:

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1. When an individual has ―reasonable cause‖ to suspect that a individual is or has
   been emotionally abused and/or injured as the result of the action or inaction of
   another person he/she shall cause a report to be filed with the Department for
   Community Based Services (DCBS), Division of Protection and Permanency
   (DPP). The SSW follows procedures outlined in SOP 7A.2.2 Neglect: Emotional
   Injury after such a report has been filed.
2. If the report meets acceptance criteria the SSW makes a determination, in
   consultation with their FSOS, as to whether or not emotionally abusive
   behaviors have occurred utilizing the Emotional Abuse Criteria, which outlines
   specific behaviors that are likely to result in emotional injury.
3. If the SSW determines upon consultation with their FSOS, that the
   investigation/FINSA found that:
   (a) No abusive behaviors have occurred, services may be offered to the family
       if;
       (1) Any other concerns exist; or
       (2) An aftercare plan is negotiated as deemed appropriate; or
   (b) Emotionally abusive behaviors have occurred, the referral is staffed with the
       regional DCBS Emotional Injury gatekeeper.
4. The DCBS Emotional Injury gatekeeper contacts the Community Mental Health
   Center (CMHC) gatekeeper. The DCBS Emotional Injury gatekeeper shares
   verbally the specific collaterals that have been contacted as a part of the
   investigation/FINSA with the CMHC gatekeeper.
5. If both gatekeepers determine an assessment is warranted, DCBS gatekeeper
   sends the Emotional Injury Assessment Referral Form (the one provided or
   CMHC agency referral form), along with a copy of the DPP-115 to the CMHC
   gatekeeper.
6. The CMHC gatekeeper assigns the Emotional Injury Assessment to a Qualified
   Mental Health Professional (QMHP) with experience in emotional abuse
   assessments for a determination as to whether or not the individual has suffered
   an emotional injury as a result of the abusive behaviors.
7. The QMHP performs an assessment that includes, but may not be limited to:
   (a) Demographic information;
   (b) Statement of chief complaint/allegation;
   (c) Background information /review of available records/phone consultation with
       the investigation SSW for information found during collateral contacts;
   (d) Clinical interview with alleged victim (including mental status exam);
   (e) Interview with alleged victims, family/caregiver(s) when possible;
   (f) Objective measures – such measures as are deemed appropriate by
       examiner and are consistent with the practitioner’s field of study;
   (g) Review of Emotional Injury Criteria for Emotionally Abusive Behaviors
       acceptance criteria; and
   (h) Consideration of recommendations for treatment.
8. The QMHP will make one of the following findings:
   (a) No emotional injury exists;
   (b) No emotional injury exists but the victim is at risk of an emotional injury if
       the abuse continues;
   (c) Emotional injury exists, but unable to determine the act/acts that resulted in
       the identified injury; or

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    (d) Emotional injury exists as a result of the reported/alleged abusive behaviors.
9. The QMHP submits the Emotional Injury Assessment Report in writing to SSW
    within thirty (30) days of receiving the referral from SSW along with
    recommendations for services for the child and family if needed.
10.SSW makes a determination of findings if:
    (a) No emotional injury is found by the QMHP, however the SSW can offer
        services to the family if other concerns remain. If there are no other risk
        issues that would lead to a case being opened, the SSW and family develops
        an aftercare plan as needed.
    (b) No injury is found, but the QMHP finds the victim is at risk of emotional injury
        if the abuse continues, the SSW can substantiate risk of harm or find the
        family in need of services due to neglect. If the family is resistant to services,
        a petition is filed to ensure that recommendations made by the QMHP and
        DCBS are followed by the family.
    (c) Injury is present or the child is found to be at risk of harm, the SSW, in
        consultation with their FSOS, makes a determination as to whom the
        perpetrator is, based on the information they collected during their
        investigation including, but not limited to the information obtained in the
        Emotional Injury Assessment Report.
11.SSW sends a Notification Letter to the perpetrator and the parent/guardian of
    the victim indicating a substantiated finding of emotional injury or if the family is
    found to be in need of services. This letter includes information supporting the
    determination of perpetration as well as results from the Emotional Injury
    Assessment Report conducted by the QMHP. The letter should reflect that the
    Cabinet made the determination regarding the perpetrator and that the QMHP
    made the finding of emotional injury to the child.
12.In the event that a QMHP makes a report of suspected emotional abuse/
    emotional injury, a report that meets criteria for an investigation/FINSA is
    completed by DCBS, as well as, a CQA. If the reporting QMHP has already
    completed an Emotional Injury Assessment, no additional assessment is
    required, but a written report must be sent to the SSW within thirty (30) days of
    the report being made to DCBS.
(Link to Mental Health/Illness Indicators Tip Sheet)
(Link to Tip Sheet for Substance Use/Abuse)
(Link to Flow Chart regarding Emotional Injury Assessment)
(Link to Tip Sheet for Emotional Injury)


                                                                               SOP 7B.7
                                                                               R. 8/1/03
           INVESTIGATION OF CHILD FATALITY OR NEAR FATALITY

COA STANDARDS:
● NA

LEGAL AUTHORITY:
 KRS 211.680-211.686 Review of Child Fatalities
 KRS 600.020 Definitions for KRS Chapters 600 to 645
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   922 KAR 1:420, Child fatality or near fatality investigations

PROCEDURE:
The SSW follows the procedures outlined in chapter 7H Child Fatality or Near
Fatality.


                                                                         SOP 7B.8
                                                                          R. 7/1/06
                                                                           R. 6/1/08
                           SPECIALIZED INVESTIGATIONS
                               PROCESS OVERVIEW



COA STANDARDS:
● S10—Child Protective Services
• S21.4.01—Service Elements—Discipline Techniques

LEGAL AUTHORITY:
● KRS 620.030
● KRS 620.040
● 922 KAR 1:330
● 922 KAR 1:310
• 922 KAR 2:100
• 922 KAR 2:180

INTRODUCTION:
Specialized Investigations are traditionally more complex, as they typically involve
multiple victims and agencies, centers or facilities rather than families. As a result,
additional investigative considerations need to be addressed when handling these
types of reports. It is strongly recommended that experienced CPS investigative
workers be assigned to handle Specialized Investigations. Having prior experiences
in handling these types of investigations, as well as, having the necessary training
is also suggested.

The procedures in this SOP are organized as the foundation for Specialized
Investigations involving the following individual(s) or setting(s):
 DCBS or Private Child Placing (PCP) Foster and Adoptive Homes;
 Private Child Caring Facilities;
 Crisis Stabilization Units;
 Registered Family Child Care Homes or Licensed Child Care Facilities;
 Registered (Subsidized) or Family Child Care Providers;
 Department for Community Based Services (DCBS) Employees
 School Employees;
 Supports for Community Living (SCL);
 Community Mental Health and Mental Retardation Center (CMHC);
 Psychiatric Residential Treatment Facilities (PRTF);
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   Psychiatric Hospitals;
   Camps; and
   Day Treatment Facilities.

Standards of Practice are also provided for additional guidance for the specific
investigation as follows:
 SOP 7B.8.1 Investigations of Foster or Adoptive Homes (DCBS or Private Child
   Placing Agencies);
 SOP 7B.8.2 Investigations of Licensed Private Child Caring Facilities;
 SOP 7B.8.3 Investigations of Licensed Child Care Centers;
 SOP 7B.8.4 Investigations of Registered (Subsidized) Family Child Care
   Providers;
 SOP 1A.11 Investigations Involving DCBS Employees;
 SOP 7B.8.6 Investigations of School Personnel;
 SOP 7B.8.7 Investigations of Supports for Community Living (SCL) or
   Community Mental Health and Mental Retardation Centers (CMHC)}
 SOP 7B.8.8 Investigations of Psychiatric Residential Treatment Facilities, Crisis
   Stabilization Units or Psychiatric Hospitals;

The following procedures in this SOP do not apply to allegations involving
maltreatment at Hospitals (other than psychiatric) or Department for Juvenile
Justice (DJJ) facilities/DJJ-operated or contracted detention centers. The Office of
Inspector General investigates allegations of maltreatment in hospitals and the
Internal Investigations Unit of the Justice Cabinet investigates allegations of
maltreatment in DJJ facilities. DCBS does investigate youth committed to DJJ who
are placed in PCC facilities or PCP and DCBS foster homes. SOP is provided for the
handling of reports in hospitals and DJJ facilities as follows:
 SOP 7B.8.9 Allegations of Maltreatment at DJJ Facilities; and
 SOP 7B.8.10 Allegations of Maltreatment at Hospitals.

GENERAL PROCEDURE:
1. Receiving the Specialized Investigation Report:
   (a) The SSW contacts the Service Region Administrator (SRA) or designee, who
       assigns staff to conduct the investigation. It may be advisable that staff who
       have direct knowledge of the case not be assigned to conduct the
       investigation.
   (b) The SSW uses the CPS Multiple Response Matrix to determine whether to
       conduct an investigation or FINSA when a report has been accepted
       regarding a Foster or Adoptive Resource Home (DCBS or Private Child Placing
       Agency). For all other types of specialized reports, the SSW conducts an
       investigation. (Link to SOP 7B.8.1 Investigations of Foster or Adoptive
       Homes)
   (c) The SSW follows procedures outlined in SOP 1A.7(A) Investigation /FINSA
       Onsite when assistance is requested from one county or region to another
       county or region to provide needed services for specialized investigations.
   (d) Reports are entered in TWIST under the alleged perpetrator’s name and
       referenced back to the facility or other setting.
       (Link to Entering a Referral on a Facility in TWIST)

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2. Assessment of Risk:
   (a) The SSW assesses the risk to all children in the setting, and determines if
       children in the legal custody of the Cabinet are to be removed during the
       investigation. The decision of whether or not to move children who were not
       named in the allegations is to be made in conjunction with the SRA and
       Regional Staff, ongoing staff, and in consultation with Central Office
       Specialists as needed, based on the assessed level of risk.
   (b) When it is determined by the SSW in consultation with the SRA or designee
       that a child in the legal custody of the Cabinet is at risk or is in imminent
       danger and it is necessary to remove the child or take other action regarding
       a home, facility or program, the investigative worker immediately notifies
       (via fax or email) the appropriate agencies as described in the Distribution
       Chart and documents this information in the Continuous Quality Assessment
       (CQA).
   (c) A DCBS employee investigation/FINSA and DCBS resource homes /PCP
       foster/adoptive homes will require a Familial CQA. All other Specialized
       Investigations will require a Non-Familial CQA which includes only the
       Maltreatment, Underlying Causes, Adult Patterns of Behavior and Summary
       screen of the CQA. The SSW Documents the verbal notification of the
       allegations in the CQA.
   (d) The SSW negotiates a Prevention Plan to address immediate safety concerns
       when the SSW believes the child(ren)’s safety may be compromised and the
       child remains in the setting. The Prevention Plan is monitored by those who
       participated in the planning process. The SSW does not include monitoring
       of any portion of a prevention plan without the provider’s explicit knowledge
       and written consent. Those that may agree to participate in the monitoring
       include the:
       (1) Child;
       (2) Parent(s);
       (3) Investigating SSW;
       (4) R&C SSW;
       (5) Superintendent, Facility or Program director, administrator or designee;
       (6) Teachers or Child Care staff
       (7) Private Agency staff who serve the child or foster/adoptive resource
           home;
       (8) Child’s SSW;
       (9) Resource parent’s SSW;
     (10) Alleged perpetrator;
     (11) Child Safety Branch; or
     (12) SRA or designee if:
           (A) The child is at a significant level of risk;
           (B) There is a risk of removal of the child from the setting; or
           (C)The parties are unable to agree upon or sign the Prevention Plan’s
               contents.
   Note: The Office of Inspector General (OIG) will not provide monitoring on
   prevention plans or aftercare plans.
   (LINK to SOP 7C.4.4 Prevention Plan and SOP 7C.4.4(A) Utilizing the Prevention
   Plan During an Investigation or FINSA for further information)

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3. Distribution of the DPP-115:
   Each Service Region may establish a centralized point of distribution of
   information to other staff, resource family, agencies or license holder, as
   appropriate.
   (a) The SSW distributes a copy of the DPP-115, Confidential Suspected Abuse,
       Neglect, Dependency or Exploitation Reporting Form, using the Specialized
       Investigation Fax Coversheet, as applicable, to the:
         (1) Division of Protection and Permanency Child Safety Branch via fax at
             (502) 564-3096 for:
              DCBS and Private Child Placing Agency Foster/Adoptive Resource
               Homes;
              Private Child Caring Facilities;
              Crisis Stabilization Units;
              SCL/CMHC Facilities;
              Psychiatric Residential Treatment Facilities;
              Psychiatric Hospitals;
              Registered Family Child Care Homes or Licensed Child Care Centers;
              Registered (Subsidized) Family Child Care Providers;
              Cabinet Employees;
              School Employees;
              DJJ Facilities;
              Camps; and
              Day Treatment Facilities.
       (2) Other appropriate parties, per the Distribution Chart.
   (b) The DPP-115 form is not shared with the individual(s) or agency under
       investigation.
4. Partnering with the Office of Inspector General (OIG):
   When OIG is involved in an investigation, DCBS staff and OIG staff share
   information regarding the agency or facility history and the investigation.
   Whenever possible, the investigation is coordinated and conducted jointly.
   (a) In joint investigations, the SSW and OIG staff may prepare a final report.
       The SSW may comment and make recommendations that may be
       incorporated into the joint investigation report. If the OIG staff and the SSW
       do not agree on issues of concern, collaboration between the two is
       encouraged. Findings are justified in the CQA documentation and service
       recordings connected to the investigation.
   (b) The SSW includes any citations made by OIG as a result of an investigation
       in the CQA.
       (Link to Division of Regulated Child Care and Division of Health Care Facilities
       and Services.         For additional information, refer to Role of OIG in
       Investigations)
5. Interviewing Guidelines:
   (a) The SSW conducts an unannounced visit to the setting.
   (b) Upon arrival at the agency, facility or hospital setting, the SSW (and OIG
       staff, when applicable/available) conducts an entrance interview with the
       agency/facility administrator or designee:
       (1) Outlining the nature of the report of child abuse or neglect without
           disclosing the name of the reporting source;
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       (2) Determining if the alleged perpetrator is to be reassigned until the
           investigation is complete; and
       (3) Providing only enough information to the administrator or designee to
           indicate that there has been a report and which children are to be
           interviewed.
   (c) The SSW determines whether to interview the child in a neutral location or at
       the placement setting based upon the allegations and the required response
       time. (See Procedure #7 for additional information.)
   (d) The SSW conducts the interview with the child in private. While a private
       interview of the child is desirable, there may be occasions when the child
       requests the presence of a teacher, counselor or other school personnel.
       Such personnel are allowed to be present at the SSW’s discretion if it is
       determined that it is in the best interest of the child. If such a determination
       is made, the SSW:
       (1) Makes the personnel aware that they are subject to subpoena to court for
           any disclosure statements that the child may make; and
       (2) Instructs the personnel to remain:
           (1) Silent during the interview; and
           (2) Out of the line of sight of the child.
   (e) Consideration should be given to conducting random interviews with children
       who are presently in the setting or who have previously been in the setting.
       The SSW may conduct interviews with a random sample of children of
       appropriate age who have previously been in the setting. If other children are
       interviewed as collaterals, the worker may first obtain the parents’
       permission. If the parent is not contacted prior to the interview, the SSW
       informs the parent as soon as possible after the interview. The SSW explains
       to the parent that his/her child is not the alleged victim. The SSW and FSOS
       in conjunction with the parent(s) determine an appropriate place to interview
       the child.
   (f) The SSW conducts an unannounced visit and interview with the alleged
       perpetrator in private. The SSW determines the location of the interview
       with the alleged perpetrator based upon the allegations, the required
       response time and the alleged incident location. The SSW notifies the
       alleged perpetrator subject to an investigation of the allegations during the
       initial face-to-face contact with the alleged perpetrator by:
       (1) Verbally informing the alleged perpetrator of the basic allegations, void of
           any specifics that may compromise the investigation; and
       (2) Verbally informing the alleged perpetrator that they will be provided
           notification of the findings upon completion of the investigation.
   (g) If the identity of the alleged perpetrator is unknown at the outset of an
       investigation the aforementioned procedures are conducted during the initial
       face-to-face contact with the adult caretaker(s) or appropriate supervisor,
       Director or designee during the entrance interview.
6. Review of Records and other Information:
   (a) The SSW has access to all records and documentation to complete an
       investigation regarding the child alleged to have been abused or neglected
       and the alleged perpetrator. Records that the SSW may wish to review
       and/or copy may include:

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    (1) Incident reports for the child and staff;
    (2) Shift or communication logs;
    (3) Previous citations from Office of Inspector General (OIG)/Division of
        Regulated Child Care or Division of Heath Care Facilities Services;
    (4) Staff training manuals and records;
    (5) Internal directives (such as policy, procedure, requirements or
        recommendations);
    (6) Previous allegations;
    (7) Personnel records (including criminal records);
    (8) Child’s file; and
    (9) Child assessment information.
Note: The SSW may consult with the Child Safety Branch when seeking to
access additional information such as Children’s Review Program reviews or exit
interviews.
(b) KRS 620.030(3) requires agencies to cooperate with the Cabinet while
    conducting CPS investigations. If an agency does not cooperate with the
    investigation the SSW, upon consultation with the FSOS, may contact Central
    Office Child Safety Branch at (502)564-2136 or the Director of Protection &
    Permanency’s Office at (502)564-6852 to address the issue and seek
    resolution.
(c) The SSW considers who in the line of supervision may have had a role in the
    incident that resulted in abuse or neglect to a child. As such, the SSW may
    request an organizational chart of the facility to determine lines of authority
    over each program area.
(d) If alleged physical abuse is a part of the investigation, the SSW assesses
    restraint techniques used by staff in the setting by reviewing and obtaining
    documentation on all reports involving restraint and the following
    information:
    (1) Events leading to the use of restraint, including whether de-escalation
        techniques were used to avoid restraint;
    (2) Specific reasons for the use of restraint;
    (3) The type of restraint that was chosen and whether it is the least
        restrictive, based on the size of the child and adult;
    (4) How the child’s behaviors were addressed in their treatment plan;
    (5) Use of restraint with regard to this child prior to the incident;
    (6) Whether there is agency monitoring of the use of child restraint;
    (7) The child’s description (or physical demonstration) of the restraint;
    (8) Therapist/treatment notes and individual crisis plans for the child;
    (9) The child’s medical condition; and
  (10) The type and number of hours of training and/or re-certifications the
        facility staff have completed, as well as applicable procedures, training
        material, incident reports, and any other written information on child
        restraint that applies to the home, facility or program.
(e) The investigating SSW reviews prior reports on a facility, DCBS or PCP
    foster/adoptive home to determine any systematic patterns of behavior or
    issues that may need to be addressed. Particular attention should be given
    to previous aftercare plans developed at the end of an investigation or FINSA
    to consider any ongoing issues or concerns.

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7. Consultation:
   (a) Consultation with the Central Office Child Safety Branch (502-564-2136) is
       highly recommended during an investigation that involves systemic issues in
       a specialized setting, or if an allegation involves a Director, Program Director,
       Administrator or other designated management staff.
   (b) The SSW provides an update to the SRA or designee on the status of the
       Investigation/FINSA no less than once per week, and when completed,
       submits the Investigation/FINSA to the SRA or designee for review.
   (c) The SRA or designee may request assistance from a Child Protection
       Specialist in the Child Safety Branch when consultation is needed during the
       course of the investigations. For example, when:
       (1) A home, facility, or program is not cooperative;
       (2) There is difficulty in obtaining information; or
       (3) There are concerns involving other agencies’ participation in the FINSA or
           investigation.
   (d) Upon staffing the investigation with the SSW, the SRA or designee requests
       approval from the Director of Protection & Permanency if the following are
       recommended:
       (1) Suspending DCBS referrals; or
       (2) Terminating an agreement or contract.
8. Completing the investigation:
   (a) To make a determination of a finding in a specialized investigation, the SSW
       utilizes procedures in 7B.9 Determination Of Findings Of Investigation Or
       FINSA.
   (b) If there is a well-documented systemic pattern of child abuse or neglect, the
       SSW may consider substantiation of maltreatment of an individual
       responsible for the management of the program. In determining which
       management individual(s) is responsible for the systemic abuse or neglect,
       the SSW considers who in management knew or reasonably should have
       known about the systemic issues that lead to the abuse or neglect. Factors
       or conditions that may indicate that there are systemic conditions could
       include a lack of supervision by management over a period of time or a lack
       of training that creates a risk of harm to children. Prior to a finding of
       substantiation due to systemic issues against a Director, Program Director,
       Administrator or other designated management staff, the SSW:
       (1) Consults with the FSOS;
       (2) If the FSOS agrees with the SSW’s recommendation, consults with the
           regional attorney and documents the consultation in TWIST; and
       (3) If the regional attorney agrees with the recommendation, the SSW
           notifies the Director of Protection & Permanency’s Office at (502)564-
           6852 that a consultation needs to occur for a determination of the finding
           against management staff. Final approval on a substantiation must be
           approved by the Director’s Office. The SSW makes the determination for
           a finding on the current alleged incident that occurred and does not base
           the finding on whether or not the facility has taken any corrective actions.
           The substantiation must name an individual and cannot be made against
           an agency or facility.
   (c) A request may be submitted in writing to the SRA or designee for an

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    extension of ten (10) additional working days if the investigative SSW is
    unable to complete the FINSA or investigation within thirty (30) working
    days. The justification for the extension is documented in the CQA.
(d) Upon FSOS approval of the CQA, the SSW sends, within ten (10) working
    days:
    (1) Notification of a substantiated finding via the DPP-152, Substantiated
        Investigation Notification Letter to the:
        (A) Perpetrator, along with the DPP-155, Request for Appeal of Child
            Abuse or Neglect Investigative Finding by;
            • Certified, Restricted Mail; or
            • Hand delivery, with a witness signing a written confirmation that the
              perpetrator received the notice; and
        (B) Victim’s parent or guardian by;
            • Certified Mail; or
            • Hand delivery, with the parent or guardian and a witness signing a
              written confirmation that the parent or guardian received the notice;
    (2) The appropriate notification of the finding to the alleged perpetrator using
        the:
        (A) DPP-152A, Unsubstantiated Investigation Notification Letter;
        (B) DPP-153, Family In Need of Services Notification Letter; or
        (C)DPP-153A, Family Not In Need of Services Notification Letter.
    (3) The appropriate notification of the finding to the alleged victim’s parents
        or guardian when the investigation involves a Registered Family Child
        Care Home or Licensed Child Care Facility, Registered (Subsidized) Family
        Child Care Providers, School Employees, DJJ Facilities; Camps and Day
        Treatment Facilities using the:
        (A) DPP-152A, Unsubstantiated Investigation Notification Letter;
        (B) DPP-153, Family In Need of Services Notification Letter; or
        (C) DPP-153A, Family Not In Need of Services Notification Letter.
    (4) Notification of the finding, to all involved other parties, via the:
        (A) DPP-152, Substantiated Investigation Notification Letter;
        (B) DPP-152A, Unsubstantiated Investigation Notification Letter;
        (C) DPP-153, Family In Need of Services Notification Letter; or
        (D) DPP-153A, Family Not In Need of Services Notification Letter.
    (5) Notification of the finding to the victim’s parents or guardian only when an
        investigation has been substantiated and involves a:
        (A) DCBS and Private Child Placing Agency Foster/Adoptive Resource
              Homes;
        (B) Private Child Caring Facilities;
        (C) Crisis Stabilization Units;
        (D) SCL/CMHC Facilities;
        (E) Psychiatric Residential Treatment Facilities; or
        (F) Psychiatric Hospitals.
        Note:      If the investigation or FINSA (for DCBS and PCP Agency
        Foster/Adoptive Resource Homes only) in one of the aforementioned
        settings is unsubstantiated, the SSW does not send a notification of
        findings to the victim’s parents or guardian.
    (6) A notification of the findings of an investigation or FINSA involving a

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           DCBS Foster or Adoptive Resource Home to the Regional Recruitment and
           Certification (R&C) Supervisor.
       (7) A notification of the findings to the operator of the facility if there is a
           substantiated finding and the alleged perpetrator is an employee of a
           licensed child-caring facility, child-placing agency, or licensed child care
           center.
   (e) Exit Interview:
       (1) Prior to conducting an exit interview with the administrator or designee,
           the SSW and OIG staff (as applicable) discuss their findings, any needed
           follow-up actions and which agency is assigned to the follow-up privately
           prior to conducting an exit interview with the administrator or designee.
       (2) No later than ten (10) working days after the CQA has been completed
           and approved, the investigative SSW (and OIG when applicable) convenes
           an exit conference with the agency/facility or hospital program director
           and license holder, regardless of the finding. During the exit conference,
           the SSW facilitates development of an Aftercare Plan (if appropriate), and
           all participants are asked to participate and sign. For investigations
           involving a DCBS Resource Home, the investigative SSW discusses
           concerns with the R&C FSOS/worker for the family to consider whether a
           Resource Home review is recommended and to include them in aftercare
           planning, when applicable.
   (f) Aftercare Planning: If an Aftercare Plan is needed, the plan can include non-
       protective issues such as licensing regulations as well as protective issues
       that are either child-specific concerns or general concerns that affect the
       home or entire facility or program. The Aftercare Plan is monitored by those
       who participated in the aftercare planning process. The SSW does not include
       monitoring of any portion of an aftercare plan without the provider’s explicit
       knowledge and written consent. Those that may agree to participate in the
       monitoring include:
       (1) The R&C SSW, for a DCBS resource home;
       (2) The DCBS Division of Child Care, for registered family child care homes or
           licensed child care facilities;
       (3) The DMHMR Division of Mental Retardation for Supports for Community
           Living (SCL) programs or facilities and
       (4) The program or agency director and license holder or school
           superintendent or board, for unlicensed facilities (e.g. YMCA day camps,
           summer camps and schools);
       (5) The person identified on the plan, if the issue is child-specific; and
       (6) Identified DPP staff, when appropriate. The SSW may consult with the
           Child Safety Branch to assist in identifying appropriate DPP staff.
        (Link to SOP 7G Aftercare Planning for further information)
   (g) Requests for information regarding the final report by those outside the
       Cabinet are to be handled through Open Records Procedures. (Link to
       1B.11(A) Open Records Request)


SOP 7B.8
R. 7/1/06

                       Division of Protection and Permanency
                                                    Page 23 of 58
SPECIALIZED INVESTIGATIONS
PROCESS OVERVIEW

COA STANDARDS:
●    S10—Child Protective Services

LEGAL AUTHORITY:
●    922 KAR 1:330

PROCEDURE:
1.     Specialized investigations or FINSAs pertain to Foster or Adoptive Resource
Homes (DCBS or Private Child Placing Agency):
2.     Specialized investigations pertain to:
(a)    Private Child Caring Facilities;
(b)    Certified Family Child Care Homes or Licensed Child Care Facilities;
(c)    Registered (Subsidized) or Family Child Care Providers;
(d)    Cabinet Employees;
(e)    School Employees;
(f)    DJJ Facilities;
(g)    Crisis Stabilization Units;
(h)    SCL/CMHC Facilities;
(i)    Psychiatric Hospitals;
(j)    Camps; and
(k)    Day Treatment Facilities.
3.     Referrals for specialized investigations are entered under the alleged
perpetrator name and referenced back to the facility.
(Link to Process for Completing Investigations Involving Facilities in TWIST)
4.     When an allegation of abuse or neglect is made with regard to a Foster or
Adoptive Resource Home (DCBS or Private Child Placing Agency), the SSW uses the
CPS Multiple Response Matrix to determine whether to conduct an investigation or
FINSA; for all other types of specialized settings, the SSW conducts an
investigation.
5.     A DCBS resource home or PCP foster home will require a Familial CQA. All
other Specialized Investigations will require a Non-Familial CQA which includes only
the Maltreatment, Underlying Causes, Adult Patterns of Behavior and Summary
screen of the CQA

6.     The SRA or designee may request assistance from an identified DPP staff
member at Central Office when consultation is needed, including when:
(a)    A home, facility, or program is not cooperative;
(b)    There is difficulty in obtaining information;
(c)    There are concerns involving other agencies’ participation in the FINSA or
investigation; or
(d)    Consideration is being given to:
(1)    Closing a home, facility, or program;
(2)    Suspending DCBS referrals; or
(3)    Terminating an agreement or contract.
7.     When there is an allegation of abuse or neglect that involves one of the

                      Division of Protection and Permanency
                                                   Page 24 of 58
above settings, the SSW distributes a copy of the DPP-115, Confidential Suspected
Abuse, Neglect, Dependency or Exploitation Reporting Form, to the:
(Link to Specialized Investigation Fax Coversheet)
(a)    Out-of-Home Care branch, Division of Protection and Permanency, 275 East
Main Street, 3C-E, Frankfort, KY 40621 via fax at (502) 564-5995 for:
(1)    DCBS and Private Child Placing Agency Foster/Adoptive Resource Homes;
(2)    Private Child Caring Facilities;
(3)    Crisis Stabilization Units;
(4)    SCL/CMHC Facilities;
(5)    Psychiatric Residential Treatment Facilities;
(6)    Psychiatric Hospitals; or
(b)    Child Safety branch, Division of Protection and Permanency, 275 East Main
Street, 3E-B, Frankfort, KY 40621 via fax at (502) 564-3096 for:
(1)    Certified Family Child Care Homes or Licensed Child Care Facilities;
(2)    Registered (Subsidized) Family Child Care Providers;
(3)    Cabinet Employees;
(4)    School Employees;
(5)    DJJ Facilities;
(6)    Camps;
(7)    Day Treatment Facilities; and
(c)    Other appropriate parties, per the Distribution Chart.
8.     The SSW assigned an Investigation or FINSA involving a DCBS Foster or
Adoptive Resource Home distributes a copy of the DPP-115, Confidential Suspected
Abuse, Neglect, Dependency or Exploitation Reporting Form to the Regional
Recruitment and Certification (R&C) Supervisor.
9.     Each Service Region may establish a centralized point of distribution of
information to other staff, resource family, agencies or license holder, as
appropriate.
10.    Requests for information regarding the final report by those outside the
Cabinet are to be handled through Open Records Procedures.
11.    The SSW provides an update to the SRA or designee on the status of the
Investigation/FINSA no less than once per week, and when completed, submits the
Investigation/FINSA to the SRA or designee for review.
12.    At the beginning of the Investigation/FINSA, the SSW conducts an
unannounced visit to the site of the abuse or neglect.
13.    The SSW notifies the alleged perpetrator subject to an investigation of the
allegations during the initial face-to-face contact with the alleged perpetrator by:
(a)    Verbally informing the alleged perpetrator of the basic allegations, void of
any specifics that may compromise the investigation;
(b)    Verbally informing the alleged perpetrator that they will be provided
notification of the findings upon completion of the investigation;
(c)    Providing the alleged perpetrator a copy of the DPP-155, Request for Appeal
of Child Abuse or Neglect Investigative Finding explaining the alleged perpetrators
rights to appeal a substantiated finding; and
(d)    Documenting the verbal notification of the allegations in the service recording
of TWIST.
If the identity of the alleged perpetrator is unknown at the outset of an
investigation the aforementioned procedures are conducted during the initial face-

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to-face contact with the adult caretaker(s) or facility Director.
14.    The SSW negotiates a Prevention Plan with the family to address immediate
safety concerns when the SSW believes the child(ren)’s safety may be
compromised and the child remains in the home or in the temporary care of a
relative. Those who may be involved in the preparation of the plan may include:
(a)    The Child;
(b)    Parent(s);
(c)    The Investigating SSW;
(d)    The R&C SSW;
(e)    Facility or program administrator;
(f)    Private Agency staff who serve the child or foster/adoptive resource home;
(g)    The child’s SSW;
(h)    The resource parent’s SSW;
(i)    The alleged perpetrator; and
(j)    The SRA or designee and identified DPP staff at Central Office if:
(1)    The child is at a significant level of risk;
(2)    There is a risk of removal of the child from the setting; or
(3)    The parties are unable to agree upon the Prevention Plan’s contents.
15.    If the child and his parents have not participated in the Prevention Plan’s
preparation, the investigating SSW or the family’s SSW explain the plan’s contents
to them, and document the explanation and the family’s response.
16.    When it is determined that a child in the legal custody of the Cabinet is at
risk or is in imminent danger and it is necessary to remove the child or take other
action regarding a home, facility or program, the investigative worker immediately
verbally notifies the appropriate agencies as described in the specific type of facility
SOP.
17.    If the investigative SSW is unable to complete the FINSA or investigation
within thirty (30) working days, a request may be submitted in writing to the SRA
or designee for an extension of ten (10) additional working days. The justification
for the extension is documented in TWIST.
18.    When the alleged abuse involves the use of child restraint, the investigative
SSW:
(a)    Reviews applicable procedure, training material, incident reports, and any
other written information on child restraint that applies to the home, facility or
program; and
(b)    Considers:
(1)    Events leading to the use of restraint, including whether de-escalation
techniques were used to avoid restraint;
(2)    Specific reasons for the use of restraint;
(3)    The type of restraint that was chosen and whether it is the least restrictive,
based on the size of the child and adult;
(4)    How the child’s behaviors were addressed in his treatment plan;
(5)    Use of restraint with regard to this child prior to the incident;
(6)    Whether there is agency monitoring of the use of child restraint;
(7)    The child’s medical condition; and
(8)    The type and number of hours of training and/or re-certifications the facility
employees have completed.
19.    Substantiations are made against an individual as a rule, however on rare

                       Division of Protection and Permanency
                                                     Page 26 of 58
occasions, the SSW may substantiate maltreatment by the license holder of the
facility or Director, if there is a systemic pattern of child abuse or neglect. Some
factors or conditions which may show that there is a systemic pattern include
conditions that show that there is a lack of supervision by management over a
period of time or lack of training which creates a risk of harm to children in care.
When the SSW has a question as to whether there is a systemic problem, the SSW:
(a)     Consults with their FSOS; and
(b)     Contacts the regional attorney for advice prior to substantiating the
investigation against a facility.
When consensus cannot be reached on how to proceed, direction may be requested
from DPP Central Office specialists and the Office of Legal Services.
20.     No later than ten (10) working days after the CQA has been completed and
approved, the investigative SSW convenes an exit conference with the home,
facility or program director and license holder, and others, regardless of the finding.
During the exit conference, the SSW facilitates development of an Aftercare Plan (if
appropriate), and all participants are asked to participate and sign. If an Aftercare
Plan is needed, the plan can include non-protective issues such as licensing
regulations as well as protective issues that are either child-specific concerns or
general concerns that affect the home or entire facility or program.
21.     Upon FSOS approval of the CQA, the SSW sends, within ten (10) working
days:
(a)     Notification of a substantiated finding via the DPP-152, Substantiated
Investigation Notification Letter to the:
(1)     Perpetrator, along with the DPP-155, Request for Appeal of Child Abuse or
Neglect Investigative Finding by;
•       Certified, Restricted Mail; or
•       Hand delivery, with a witness signing a written confirmation that the
perpetrator received the notice; and
(2)     Victim’s parent or guardian by;
•       Certified Mail; or
•       Hand delivery, with the parent or guardian and a witness signing a written
confirmation that the parent or guardian received the notice;
(b)     All other notification of the finding to the alleged perpetrator via the:
(1)     DPP-152A, Unsubstantiated Investigation Notification Letter;
(2)     DPP-153, Family In Need of Services Notification Letter; or
(3)     DPP-153A, Family Not In Need of Services Notification Letter;
(c)     All other notification of the finding to the alleged victims parents or guardian
when the investigation involves a:
(1)     Certified Family Child Care Home or Licensed Child Care Facility;
(2)     Registered (Subsidized) Family Child Care Providers;
(3)     School Employees;
(4)     DJJ Facilities;
(5)     Camps; or
(6)     Day Treatment Facilities;
Via the:
•       DPP-152A, Unsubstantiated Investigation Notification Letter;
•       DPP-153, Family In Need of Services Notification Letter; or
•       DPP-153A, Family Not In Need of Services Notification Letter

                       Division of Protection and Permanency
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(d)    Notification of the finding, to all involved other parties, via the:
(1)    DPP-152, Substantiated Investigation Notification Letter;
(2)    DPP-152A, Unsubstantiated Investigation Notification Letter;
(3)    DPP-153, Family In Need of Services Notification Letter; or
(4)    DPP-153A, Family Not In Need of Services Notification Letter.
Note: The SSW sends a notification to the victim’s parents or guardian only when
an investigation has been substantiated involving:
•      DCBS and Private Child Placing Agency Foster/Adoptive Resource Homes;
•      Private Child Caring Facilities;
•      Crisis Stabilization Units;
•      SCL/CMHC Facilities;
•      Psychiatric Residential Treatment Facilities; or
•      Psychiatric Hospitals.
If the investigation or FINSA (for DCBS and PCP Agency Foster/Adoptive Resource
Homes only) in one of the aforementioned settings is unsubstantiated the SSW
sends no notification of findings to the victim’s parents or guardian.
22.    Upon FSOS approval of the CQA, the SSW sends, within ten (10) working
days notification of the findings of an investigation or FINSA involving a DCBS
Foster or Adoptive Resource Home to the Regional Recruitment and Certification
(R&C) Supervisor.
23.    The Aftercare Plan is monitored by those who participated in the aftercare
planning process. The SSW does not include monitoring of any portion of an
aftercare plan without the provider’s explicit knowledge and consent. Monitoring
usually consists of the following:
(a)    The R&C SSW, for a DCBS resource home;
(b)    The Children’s Review Program and the Office of Inspector General’s Division
of Regulated Child Care, for Private Child Placing agency foster homes or Private
Child Caring facilities;
(c)    The Office of Inspector General, Division of Health Care Facilities and
Services (DHCFS);
(d)    The DCBS Division of Child Care, for certified family child care homes or
licensed child care facilities;
(e)    The DMHMR Division of Mental Retardation for Supports for Community
Living (SCL)/ facilities and
(f)    The program or agency director and license holder or school superintendent
or board, for unlicensed facilities (e.g. YMCA day camps, summer camps and
schools);
(g)    The person identified on the plan, if the issue is child-specific;
(h)    Identified DPP staff, as a contract performance indicator, when appropriate;
and
(i)    The Children’s Review Program, when conducting annual agency reviews,
and through program-specific monitoring when requested by a DPP specialist in
Central Office.
24.    The SSW follows procedures outlined in SOP 1.4.12(A) Investigation / FINSA
Onsite when assistance is requested from one county or region to another county or
region to provide needed services for specialized investigations.
25.    Understanding the role of CHFS OIG Division of Regulated Child Care, click
here.

                      Division of Protection and Permanency
                                                  Page 28 of 58
                                                                         SOP 7B.8.1
                                                                         R. 12/1/04
                                                                            R. 6/1/08

  INVESTIGATIONS OF FOSTER OR ADOPTIVE RESOURCE HOMES (DCBS AND OR
                 PRIVATE CHILD PLACING (PCP) AGENCIES)

COA STANDARDS:
• S10—Child Protective Services
• S21.4.01—Service Elements—Discipline Techniques

LEGAL AUTHORITY:
● 922 KAR 1:310
● 922 KAR 1:330

PROCEDURE:
In addition to the guidelines specified in SOP 7B.8 Specialized
Investigations, the SSW uses the following procedures in conducting
investigations involving DCBS or Private Child-Placing (PCP) Foster
Adoptive Homes (Note: Specialized Investigation procedures may not be
applicable for homes in which the adoption has been finalized and the
home is no longer active for additional foster placements):
1. Upon accepting a report, the SSW provides copies of the DPP-115 to the parties
   listed on the Distribution Chart, documents these contacts in the Continuous
   Quality Assessment (CQA), and:
   (a) For DCBS Resource homes: Provides a copy of the DPP-115 to the
       Recruitment and Certification (R&C) FSOS; or
   (b) For PCP foster/adoptive homes:
       (1) Notifies the Cabinet for Health and Family Services, Office of the Inspector
           General, Division of Regulated Child Care (DRCC), Central Office Child
           Caring/Child Placing Branch, via telephone (502-564-9350); and
       (2) Faxes a copy of the DPP-115 to the Central Office Branch Manager for the
           Child Caring/Child Placing (CC/CP) Branch Manager at (502) 564-9350
           using the Specialized Investigation Fax Coversheet.             (For further
           information regarding the role of OIG, also refer to SOP 7B.8 Procedure
           #7);
       (3) Notifies the PCP program director of the impending investigation. Note:
           The DPP-115 is not provided to the PCP agency.
4.The SRA or designee may approve regional suspension of referrals to a home.
   Should that occur, the SRA notifies all other service regions of the action.
2.6. If abuse, neglect, or dependency is substantiated in a DCBS foster/adoptive
   resource home, an R&C Resource Home Rreview of the home is completed,
   unless the home is being closed. A Resource Home review may also be
   completed to address any concerns or policy violations identified through the
   course of the investigation, even if the allegations are not substantiated. 6. The

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    decision to close or continue using the DCBS foster/adoptive Resource Home is
    made by the SRA or designee.
 (Link to SOP 3A.6.3 Resource Home Review)
3. Upon staffing the investigation with the SSW, the SRA or designee requests
    approval from the Director of Protection & Permanency if any of the following
    are recommended:
    (a) Suspending DCBS placement referrals to a PCP foster/adoptive placement;
    (b) Terminating an agreement or contract; or
    (c) Substantiation of maltreatment of an individual responsible for the
        management of a program as specified in SOP 7B.8
4.12. The SSW follows procedures outlined in SOP 7B.8 Specialized Investigations
    Process Overview when sending notification of a substantiated or
    unsubstantiated findings\. In addition, notification is provided for to:
    (a)(c)DCBS Resource homes to the Regional Recruitment and Certification (R&C)
      Supervisor; and
    (b)PCP foster/adoptive homes to the:
        (1) Program Director and license holder; and
        (2) OIG, DRCC, Child Caring/Child Placing Branch.
        (Refer to the Distribution Chart for a complete listing.)
1. The SSW contacts the Service Region Administrator (SRA) or designee, who
assigns staff to conduct the investigation. The SSW assigned to investigate the
home is not to have current case responsibility for a child placed in the home.
2.    The SSW may conduct interviews with a random sample of children of
appropriate age who have previously been in the home. If other children are
interviewed as collaterals, the worker may first obtain the parents’ permission. If
the parent is not contacted prior to the interview, the SSW informs the parent as
soon as possible after the interview. It is explained to the parent that his/her child
is not the alleged victim.
3. The SSW assesses the risk to all children in the resource home, and determines
if all children in the legal custody of the Cabinet are to be removed during the
investigation. The decision of whether or not to move children who were not named
in the allegations are to be made in conjunction with the SRA and Regional Staff,
and in consultation with Central Office Specialists as needed, based on the assessed
level of risk.
5. The SSW considers whether conditions or factors were present over a period of
time that would have suggested to the agency administrator that there were
identified problems in a particular foster/adoptive resource home, and whether or
not a plan was instituted to rectify the problems.
9. The SSW notifies the alleged perpetrator subject to an investigation of the
allegations during the initial face-to-face contact with the alleged perpetrator by:
    (a) Verbally informing the alleged perpetrator of the basic allegations, void of
        any specifics that may compromise the investigation;
    (b) Verbally informing the alleged perpetrator that they will be provided
        notification of the findings upon completion of the investigation;
    (c) Providing the alleged perpetrator a copy of the DPP-155, Request for Appeal
        of Child Abuse or Neglect Investigative Finding explaining the alleged
        perpetrators rights to appeal a substantiated finding; and
    (d) Documenting the verbal notification of the allegations in the service recording

                       Division of Protection and Permanency
                                                    Page 30 of 58
       of TWIST.
    If the identity of the alleged perpetrator is unknown at the outset of an
    investigation the aforementioned procedures are conducted during the initial
    face-to-face contact in the child’s home with the adult caretaker(s).
10. The SSW sends a copy of the DPP-115:to the Out-of-Home Care branch via fax
at (502) 564-5995. (Link to Specialized Investigation Fax Coversheet)
11.    The SSW sends copies of the DPP-115, 72-hour law enforcement notification
and any recommendations immediately upon completion to:
(a)    Regional Recruitment and Certification (R&C) Supervisor; and
(b)    SRA or designee.
12.
(a)    The Alleged perpetrator (sent to each perpetrator via Certified, Restricted
Mail and the DPP-155, Request for Appeal of Child Abuse or Neglect Investigative
Finding of the substantiation);
(b)    Parent or guardian;
(d)    All other involved parties.
13.    The SSW follows additional procedures when investigating a Private Child
Placing (PCP) agency as outlined in SOP 7B.8.1(A) Investigation of a PCP Foster or
Adoptive Resource Homes.



                                                                   SOP 7B.8.1(A)
                                                                      R. 1/23/07

   INVESTIGATION OF A PRIVATE CHILD PLACING (PCP) FOSTER OR ADOPTIVE
                            RESOURCE HOME

COA STANDARDS:
•    S10—Child Protective Services
•    S21.4.01—Service Elements—Discipline Techniques

LEGAL AUTHORITY:
●    922 KAR 1:310
●    922 KAR 1:330

PROCEDURE:
1.     The SSW follows procedures outlined in SOP 7B.8.1 Investigation of a Foster
or Adoptive Resource Homes (DCBS and Private Child Placing (PCP) Agencies).
2.     The SSW notifies, via telephone (502) 564-7962, the Cabinet for Health and
Family Services, Office of the Inspector General, Division of Regulated Child Care
(DRCC), Central Office Child Caring/Child Placing Branch, upon receiving an
allegation of abuse or neglect in a PCP foster home to coordinate investigations
(investigations may occur together or separately with information shared between
parties). The SSW also faxes a copy of the DPP 115 to the Central Office Branch
Manager for the Child Caring/Child Placing (CC/CP) Branch at (502) 564-9350 (Link
to Specialized Investigation Fax Coversheet). The CC/CP Branch will assign OIG
staff as applicable to contact the SSW.

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                                                 Page 31 of 58
3.    The SSW sends notification of a substantiated or unsubstantiated finding to
the:
(a)   Agency/facility and license holder with whom they are licensed; and
(b)   OIG, DRCC, Child Caring/Child Placing Branch.
4. The SSW documents the notification in the Continuous Quality Assessment.




                                                                       SOP 7B.8.2
                                                                       R. 1/23/07
                                                                          R. 6/1/08

 INVESTIGATIONS OF LICENSED PRIVATE CHILD CARING FACILITIES (PCC) AND
                      CRISIS STABILIZATION UNITS

COA STANDARDS:
• S10—Child Protective Services

LEGAL AUTHORITY:
• 922 KAR 1:330

PROCEDURE:
In addition to the guidelines specified in SOP 7B.8 Specialized
Investigations, the SSW uses the following procedures in conducting
investigations involving Licensed Private Child Caring Facilities (PCP):

1. Upon accepting a report, tThe SSW provides copies of the DPP-115 to the
   parties listed on the Distribution Chart and:
   (a) the SRA and Notifies the Cabinet for Health and Family Services, Office
       of the Inspector General (OIG), Division of Regulated Child Care
       (DRCC), Child Caring/Child Placing Branch via telephone (502) 564-
       9350 7962; and
   (b) The SSW also faxes Faxes a copy of the DPP-115 to the Central Office
       Branch Manager for the Child Caring/Child Placing (CC/CP) Branch
       Manager at (502) 564-9350 (Link to Specialized Investigation Fax
       Coversheet). The CC/CP Branch will assign OIG staff as applicable to
       contact the SSW. ; and
   (c) The SSW documents the notification in the Continuous Quality Assessment
       (CQA).
   Note: Crisis Stabilization Units are categorized either as licensed under a
   Private Child Caring (PCC) facility or provided through a Community Mental
   Health Center (CMHC). The SSW utilizes the procedures set forth in this SOP for
   all PCC Crisis Stabilization Units and utilizes SOP 7B.8.8 for all CMHC Crisis
   Stabilization Units.
   (Link to Ky Children’s Crisis Stabilization Programs for a complete listing of
   CMHC Crisis Stabilization Units.)
2. 9If the SSW finds at the time of investigation that a child is in imminent danger

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                                                   Page 32 of 58
   or that a child needs to be removed, written notification is provided to
   OIG/DRCC.
3.16. The SSW, when there is a finding of substantiation of child abuse or neglect
   and the alleged perpetrator is an employee of the facility, the provides written
   findings are to be provided to the administrator of the facility within thirty (30)
   working days of receiving the referral/report, unless a necessary an extension is
   granted by the supervisor.
4.18.The SSW follows procedures outlined in SOP 7B.8 Specialized Investigations
   Process Overview when sending notification of a substantiated finding. to sends
   notification of findings In addition, notification is provided to:
   (a)(c) The agency/facility and license holder with whom they are licensed; and
   (b)(d)OIG/DRCC via fax at (502) 564-6546.
   (Refer to the Distribution Chart for a complete listing)
5.20. Upon approval, copies of the DPP-115 and CQA for a private child care facility
   (PCC) and Crisis Stabilization Unit investigations are sent immediately upon
   completion to OIG.
(Link to Tip Sheet for Private Child Care (PCC) Investigations)


2. The SSW and OIG/DRCC share joint responsibility for investigating these
    reports. If possible, an investigation is conducted jointly. DCBS is the lead
    investigative agency on allegations of abuse and neglect in licensed private child
    caring facilities. OIG/DRCC determines if a regulation has been violated. 3.The
    SSW (and OIG/DRCC staff, if available) conduct an entrance interview with the
    facility administrator or designee:
    (a) Outlining the nature of the report of child abuse or neglect without disclosing
        the name of the reporting source;
    (b) Determining if the alleged perpetrator is to be reassigned until the
        investigation is complete; and
    (c) Providing only enough information to the administrator or designee to
        indicate that there has been a report and which children are to be
        interviewed.
4.      The SSW notifies the alleged perpetrator subject to an investigation of the
allegations during the initial face-to-face contact with the alleged perpetrator by:
(a)     Verbally informing the alleged perpetrator of the basic allegations, void of
any specifics that may compromise the investigation;
(b)     Verbally informing the alleged perpetrator that they will be provided
notification of the findings upon completion of the investigation;
(c)     Providing the alleged perpetrator a copy of the DPP-155, Request for Appeal
of Child Abuse or Neglect Investigative Finding explaining the alleged perpetrators
rights to appeal a substantiated finding ;and
(d)     Documenting the verbal notification of the allegations in the service recording
of TWIST.
If the identity of the alleged perpetrator is unknown at the outset of an
investigation the aforementioned procedures are conducted during the initial face-
to-face contact with the facility Director.
5.      The SSW has access to all records to complete an investigation regarding the
child alleged to have been abused or neglected and the alleged perpetrator.

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Records that the SSW may wish to review may include:
(a)    Incident reports;
(b)    Previous citations from OIG/DRCC;
(c)    Staff training manuals and records;
(d)    Internal directives (such as policy, procedure, requirements or
recommendations);
(e)    Previous allegations;
(f)    Personnel records (including criminal records);
(g)    Child assessment information;
(h)    CRP reviews; and
(i)    Exit interviews.
KRS 620.030(3) requires agencies to cooperate such that the Cabinet is able to
conduct CPS investigations. If an agency does not cooperate with the investigation
the SSW, upon consultation with the FSOS, may contact Central Office to address
the issue and seek resolution.
6.The SSW considers who in the line of supervision may have had a role in the
incident that resulted in abuse or neglect to a child. As such, the SSW may request
an organizational chart of the facility to determine lines of authority over each
program area.
7.     As with any other investigation, the SSW conducts interviews of the child and
perpetrator in private.
8.     As with any other investigation, if the SSW interviews other children as
collaterals, the SSW may first obtain the parents’ permission. If the parent is not
contacted prior to the interview, inform the parent as soon as possible after the
interview. It is to be explained to the collateral child’s parent that his/her child is
not the alleged victim.
10.    If alleged physical abuse is a part of the investigation, the SSW assesses safe
physical management techniques used by staff in the PCC by:
(a)    Reviewing all relevant documents, such as incident reports.
(b)    The facility’s policy and procedural manual on safe physical management and
de-escalation techniques.
(c)    The staff’s training record on how to provide safe physical management.
11.    SSW makes the determination for a finding on the current alleged incidents
that occurred and not base the finding on whether or not the facility has taken any
corrective actions.
12.    The SSW may substantiate maltreatment by the license holder of the facility
or Director, if there is a systemic pattern of child abuse or neglect. Some factors or
conditions which may show that there is a systemic pattern include conditions that
show that there is a lack of supervision by management over a period of time or
lack of training which creates a risk of harm to children in care. When the SSW has
a question as to whether there is a systemic problem, the SSW:
(a)    Consults with their FSOS; and
(b)    Contacts the regional attorney for advice prior to substantiating the
investigation against a facility.
When consensus cannot be reached on how to proceed, direction may be requested
from DPP Central Office and the Office of Legal Services (OLS).
13.    SSW may substantiate maltreatment by an individual who is identifiable as a
perpetrator of child abuse, neglect or exploitation.

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14.    The SSW and OIG/DRCC staff discusses their findings privately prior to
conducting an exit interview with the administrator or designee.
15.    In joint investigations, the SSW and OIG/DRCC staff may prepare a final
report. The SSW may comment and make recommendations that may be
incorporated into the joint investigation report. If the OIG/DRCC staff and the SSW
do not agree on issues of concern, collaboration between the two is encouraged.
Findings are justified in the CQA documentation and service recordings connected
to the investigation.
17.    The SSW and OIG/DLCC staff conducts an exit interview with the
administrator or designee to share the preliminary findings and recommendations,
including needed follow-up actions and which agency is assigned to the follow-up.
18.     (a) The alleged perpetrator (sent to each perpetrator via Certified,
Restricted Mail the DPP-155, Request for Appeal of Child Abuse or Neglect
Investigative Finding when the finding is substantiation);
(b)    The Parent or caregiver;
19.    The SSW sends a copy of the DPP-115 to the:
(a)    Out-of-Home Care branch via fax at (502) 564-5995; and
(b)    SRA or designee.

                                                                      SOP 7B.8.3
                                                                       R. 7/1/06
                                                                        R. 6/1/08

              INVESTIGATIONS OF LICENSED CHILD CARE CENTERS
                          DAY CARE FACILITIES

COA STANDARDS:
• S10—Child Protective Services

LEGAL AUTHORITY:
• 922 KAR 1:330

PROCEDURE:
In addition to the guidelines specified in SOP 7B.8 Specialized Investigations, the
SSW uses the following procedures in conducting investigations involving a Licensed
or Certified Family Child Care Home, as defined in KRS 199.894(5), or a Licensed
Child Care Center, as defined in KRS 199.894(3):

1. Upon accepting a report, tThe SSW provides copies of the DPP-115 to the parties
   listed on the Distribution Chart and (c)I immediately notifies the following
   parties of the pending investigation and The SSW documents the notification in
   the Continuous Quality Assessment (CQA):
   (a)(1)If it is a licensed child care center, the Cabinet for Health and Family
       Services, Office of the Inspector General, Division of Regulated Child Care
       (DRCC) Child Caring/Child Placing Branch via telephone (502) 564-9350; The
       SSW refers to the DRCC county listing to determine which DRCC Regional
       Enforcement Branch covers their office.       The SSW then contacts via
       telephone the appropriate DRCC Regional Enforcement Branch for assistance

                      Division of Protection and Permanency
                                                  Page 35 of 58
        and faxes the DPP-115 (Link to Specialized Investigation Fax Coversheet);
        and
    (b)(2)If it is a licensed family child care home, the DCBS Division of Regulated
        Child Care (DRCC) via Telephone at (502) 564-9350; or (502) 564-2524; of
        the pending investigation.
    (c)If it is a registered child care provider, the DPP-115 goes to the Division of
        Child Care at (502)564-3464.
2. The SSW, DRCC staff, and DCC staff, as applicable, share joint responsibility for
    investigating these reports. If possible, an investigation is conducted jointly.
    DCBS is the lead investigative agency on allegations of abuse and neglect in
    certified licensed family child care homes or licensed child care facilities. DRCC
    determine if a regulation has been violated in certified or licensed family child
    care homes or licensed child care facilities.
3. The SSW (and DRCC staff, if available) conducts an entrance interview with the
    certified or licensed family child care home provider or facility administrator/
    designee outlining the nature of the report of child abuse or neglect without
    disclosing the name of the reporting source. The SSW provides only enough
    information to the certified or licensed family child care home provider or facility
    administrator/ designee to indicate that there has been a report and which
    children are to be interviewed.
4.9. If the SSW finds at the time of investigation that a child is in imminent
    danger or that a child needs to be removed, written or verbal notification is
    provided to DRCC as soon as practical.
5.15. The SSW and DRCC staff discuss their findings privately prior to conducting
    an exit interview with the certified or licensed family child care home provider or
    the Llicense holder of the child care facility and the administrator or designee.
6.14. When there is a finding by the SSW of substantiation of child abuse or
    neglect, and the alleged perpetrator is an employee of the facility, the written
    findings are to be provided to the administrator of the facility and license holder
    within thirty (30) working days of the report/referral, unless a necessary an
    extension is granted by the supervisor.
7.18. The SSW follows procedures outlined in SOP 7B.8 Specialized Investigations
    Process Overview when sending notification of a substantiated finding. In
    addition, notification is provided to:
    (a) The alleged perpetrator (sent to each perpetrator via Certified, Restricted
        Mail and the DPP-155, Request for Appeal of Child Abuse or Neglect
        Investigative Finding of the substantiation);
    (b) The Parent or guardian;
    (c) The agency/facility and license holder with whom they are licensed;
    (a)(e)      DCC for a licensed child care facility via fax at (502) 564-3464; or and
    (b)(d)      OIG/DRCC for a licensed family child care home via fax at (502) 564-
        6546.
8.20. Upon approval, copies of the CQA and DPP-115 for licensed daycare child
    care facilities investigations are sent immediately upon completion to:
    (a) OIG/DRCC via fax at (502) 564-6546; and
    (b) DCC via fax at (502) 564-3464.
(Link to Tip Sheet for Day Care Investigations)
1.      The SSW upon receiving an allegation of abuse or neglect that meets criteria

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at a:
(a)    Certified Family Child Care Home, as defined in KRS 199.894(5);or
(b)    Licensed Child Care Facility, as defined in 922 KAR 2:001(7);
4.The SSW has access to all records to complete and investigation regarding the
child alleged to have been abused or neglected and the alleged perpetrator (922
KAR 1:330). KRS 620.030(3) requires agencies to cooperate such that the Cabinet
is able to conduct CPS investigations. If an agency does not cooperate with the
investigation the SSW, upon consultation with the FSOS, may contact Central Office
to address the issue and seek resolution.
5.     The SSW considers who in the line of supervision may have had a role in the
incident that resulted in abuse or neglect to a child. As such, the SSW may request
an organizational chart of the facility to determine lines of authority over each
program area.
6.     As with any other investigation, the SSW conducts interviews of the child and
perpetrator in private.
7.     The SSW notifies the alleged perpetrator subject to an investigation of the
allegations during the initial face-to-face contact with the alleged perpetrator by:
(a)    Verbally informing the alleged perpetrator of the basic allegations, void of
any specifics that may compromise the investigation;
(b)    Verbally informing the alleged perpetrator that they will be provided
notification of the findings upon completion of the investigation;
(c)    Providing the alleged perpetrator a copy of the DPP-155, Request for Appeal
of Child Abuse or Neglect Investigative Finding explaining the alleged perpetrators
rights to appeal a substantiated finding; and
(d)    Documenting the verbal notification of the allegations in the service recording
of TWIST.
If the identity of the alleged perpetrator is unknown at the outset of an
investigation the aforementioned procedures are conducted during the initial face-
to-face contact with the certified family child care home provider or facility Director.
8.     As with any other investigation, if the SSW interviews other children as
collaterals, the SSW may first obtain the parents’ permission. If the parent is not
contacted prior to the interview, inform the parent as soon as possible after the
interview. It is to be explained to the collateral child’s parent that his/her child is
not the alleged victim.
10.    If alleged physical abuse regarding use of child restraint is a part of the
investigation, the SSW assesses safe physical management techniques used by
staff in the certified family child care home or licensed child care facility by
reviewing:
(a)    All relevant documents, such as incident reports.
(b)    The providers/facility’s policy and procedural manual on safe physical
management and de-escalation techniques.
(c)    The staff’s training record on how to provide safe physical management.
11.    SSW makes the determination for a finding on the current alleged incident
that occurred and does not base the finding on whether or not the child care
provider/facility has taken any corrective actions.
12.    The SSW may substantiate maltreatment by the certified family child care
home or license holder of the facility, if there is a systemic pattern of child abuse or
neglect. Some factors or conditions which may show that there is a systemic

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                                                     Page 37 of 58
 pattern includes conditions that show that there is a lack of supervision by
 management over a period of time which creates a risk of harm to children in care.
 If the worker has a question as to whether there is a systemic problem, the worker
 may contact regional or Central Office specialists and an attorney with the Office of
 Legal Services. Before finalizing substantiation against a license-holder, Service
 Region and Central Office staff is consulted.
 13.     SSW may substantiate maltreatment by an individual who is identifiable as a
 perpetrator of child abuse, neglect or exploitation.
16. The SSW and DRCC staff conducts an exit interview with the certified family
     child care home provider or licensed child care administrator/designee to share
     the preliminary findings and recommendations, including needed follow-up
     actions and which agency is assigned to the follow-up.
17. In joint investigations, the SSW and DRCC staff prepares a final report. The SSW
     may comment and make recommendations that may be incorporated into the
     joint investigation report. If the DRCC staff and the SSW do not agree on issues
     of concern, collaboration between the two is encouraged. Findings are justified
     in the CQA documentation.
 19.       The SSW sends a copy of the DPP-115 to the:
     (a) Child Safety branch via fax at (502) 564-3096; and
     (b) SRA or designee.
     (Link to Specialized Investigation Fax Coversheet)



                                                            SOP 7B.8.4
                                                              R. 7/1/06
                                                               R. 6/1/08
 INVESTIGATIONS OF REGISTERED (SUBSIDIZED) FAMILY CHILD CARE PROVIDERS

 COA STANDARDS:
 • S10—Child Protective Services

 LEGAL   AUTHORITY:
 • 922   KAR 2:100
 • 922   KAR 1:330
 • 922   KAR 2:180

 PROCEDURE:
 In addition to the guidelines specified in SOP 7B.8 Specialized Investigations, the
 SSW uses the following procedures in conducting investigations involving a
 Registered (Subsidized) Family Child Care Provider as described in 922 KAR 2:180:

 1. Upon accepting a report, tThe SSW provides copies of the DPP-115 to the
 parties listed on the Distribution Chart and:
 1.The SSW upon receiving an allegation of abuse or neglect that meets criteria at a
 registered (subsidized) Family Child Care Provider as defined in 922 KAR 2:180
    (a) Director, DCBS Division of Child Care via fax at (502) 564-3464;
    (b) Iimmediately notifies the DCBS Division of Child Care (DCC) via telephone at

                        Division of Protection and Permanency
                                                    Page 38 of 58
       (502) 564-2524 of the pending investigation; and
   (c) The SSW documents the notification in the Continuous Quality Assessment
       (CQA).
2. The SSW conducts an entrance interview with the registered family child care
   provider outlining the nature of the report of child abuse or neglect without
   disclosing the name of the reporting source.
3. The SSW provides only enough information to the registered family child care
   provider to indicate that there has been a report and which children are to be
   interviewed.
4.8. If the SSW finds at the time of investigation that a child is in imminent
   danger or that a child needs to be removed, written notification is provided to
   the DCBS Division of Child Care, as soon as practical.
5.12. When there is a finding of substantiation of child abuse or neglect by the
   SSW, and the alleged perpetrator is an employee, substitute, or assistant of the
   registered family child care home provider, the SSW provides the written
   findings are to be provided to the family child care provider within thirty (30)
   working days of receiving the referral/report, unless an necessary extension is
   granted by the supervisor (922 KAR 1:330).
6.13. The SSW has an exit interview with the certified or registered provider to
   share the preliminary findings and recommendations, including needed follow-up
   actions.
7.16. Upon approval, the SSW sends, immediately upon completion, a copy of the
   CQA of the completed investigation for a registered (subsidized) Child Care
   home to the Director, DCBS Division of Child Care via fax at (502) 564-3464.
8.15. The SSW follows procedures outlined in SOP 7B.8 Specialized Investigations
   Process Overview when sending notification of a substantiated or
   unsubstantiated finding. In addition, notification is provided to the:
   (a) Alleged perpetrator, (sent to each perpetrator via Certified, Restricted Mail,
       along with the DPP-155, Request for Appeal of Child Abuse or Neglect
       Investigative Finding when the finding is substantiated);
   (b) Parent or guardian;
   (a)(c)    Registered child care provider if the provider is not the alleged
       perpetrator; and
   (b)(d)    Director, DCBS Division of Child Care via fax at (502) 564-3464.

4.The SSW has access to all records to complete and investigation regarding the
child alleged to have been abused or neglected and the alleged perpetrator (922
KAR 1:330. KRS 620.030(3) also requires agencies to cooperate such that the
Cabinet is able to conduct CPS investigations.
5.The SSW notifies the alleged perpetrator subject to an investigation of the
allegations during the initial face-to-face contact with the alleged perpetrator by:
(a)    Verbally informing the alleged perpetrator of the basic allegations, void of
any specifics that may compromise the investigation;
(b)    Verbally informing the alleged perpetrator that they will be provided
notification of the findings upon completion of the investigation;
(c)    Providing the alleged perpetrator a copy of the DPP-155, Request for Appeal
of Child Abuse or Neglect Investigative Finding explaining the alleged perpetrators
rights to appeal a substantiated finding; and

                       Division of Protection and Permanency
                                                   Page 39 of 58
(d)     Documenting the verbal notification of the allegations in the service recording
of TWIST.
        If the identity of the alleged perpetrator is unknown at the outset of an
investigation the aforementioned procedures are conducted during the initial face-
to-face contact with the registered family child care provider.
6.      The SSW conducts interviews of the child and alleged perpetrator in private.
7.      The SSW may interview other children and staff as collateral contacts. If the
SSW interviews other children as collaterals, the worker may first obtain the
parents’ permission. If the parent is not contacted prior to the interview, inform the
parent as soon as possible after the interview. It is explained to the collateral child’s
parent that his/her child is not the alleged victim.
9.      The SSW makes the determination for a finding on the current alleged
incidents that occurred and not base the finding on whether or not the registered
family child care provider has taken any corrective actions.
10.     The SSW may substantiate against the registered, if there is a systemic
pattern of child abuse or neglect. Some factors or conditions which may show that
there is a systemic pattern include, but are not limited to:
(a)     Conditions that show that there is a lack of supervision by the provider over
a period of time which creates a risk of harm to children in care.
(b)     If the worker has a question as to whether there is a systemic problem, the
worker may contact regional or Central Office specialists and an attorney with the
Office of Legal Services.
11.     The SSW may substantiate maltreatment against an individual who is
identifiable as a perpetrator of child abuse, neglect or exploitation.
14.     The SSW sends copies of the DPP-115 immediately to the:
    (a) Director, DCBS Division of Child Care via fax at (502) 564-3464;
    (b) Service Region Administrator or designee; and
    (c) DPP, Child Safety branch via fax at (502) 564-3096.
    (Link to Specialized Investigation Fax Coversheet)




                                                                           SOP 7B.8.5
                                                                            R. 12/15/07

               INVESTIGATIONS INVOLVING DCBS EMPLOYEES

COA STANDARDS:
 N/A

LEGAL AUTHORITY:
 N/A

PROCEDURE:
1. The SSW follows procedures for Child Protective Services investigations

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                                                      Page 40 of 58
   involving a DCBS employee located in SOP 1A.11 Investigations Involving DCBS
   Employees.

                                                                           SOP 7B.8.6
                                                                           R. 12/1/04
                                                                              R. 6/1/08
                     INVESTIGATIONS OF SCHOOL PERSONNEL

COA STANDARDS:
• S10—Child Protective Services

LEGAL AUTHORITY:
● KRS 620.030
● KRS 620.040
● 922 KAR 1:330

PROCEDURE:
In addition to the guidelines specified in SOP 7B.8 Specialized
Investigations, the SSW uses the following procedures in conducting
investigations involving School Personnel:

1. 14. If the alleged abuse or neglect occurred when school personnel did not
   have custodial care, care/custody or control, law enforcement is notified and the
   SSW does not conduct an investigation.
2. Upon accepting a report, tThe SSW provides copies of the DPP-115 to the parties
   listed on the Distribution Chart.
3.13. If the alleged perpetrator is a school employee who is not assigned to the
   school building (such as a bus driver or maintenance personnel), or is the
   principal, the school superintendent or appropriate supervisor is notified of the
   report. If the alleged perpetrator is the superintendent, the Board of Education
   for the county is notified of the report.
4. The SSW conducts interviews away from school grounds, when possible. When
   a SSW intends to interview a child at school, the SSW:
   (a) Informs the appropriate school personnel of their need to interview the child
        regarding a report;
   (b) Provides necessary information concerning the allegation and investigation
        only to school personnel with a legitimate interest in the case;
   (c) Indicates which child(ren) and collaterals (where appropriate) need to be
        interviewed; and
   (d) Provides their identification card.
5. The SSW notifies the parent(s) that there has been a referral report involving
   their child and of the SSW's intention to interview the child. The SSW and FSOS
   in conjunction with the parent(s) determine an appropriate place to interview
   the child.
6. A private interview of the child is desirable; however, there may be occasions
   when the child may request the presence of a teacher, counselor or other school
   personnel. School personnel are allowed to be present at the SSW’s discretion if
   it is determined that it is in the best interest of the child. If such a determination

                        Division of Protection and Permanency
                                                      Page 41 of 58
    is made, the SSW:
    (a) Makes the school personnel aware that they are subject to subpoena to court
        for any disclosure statements that the child may make; and
    (b) Instructs the school personnel to remain:
        (1) Silent during the interview; and
        (2) Out of the line of sight of the child.
7. The SSW may review and copy school records pertaining to the child without
    parental permission. (Link to KRS 620.030(3))
8.9. The SSW follows procedures outlined in SOP 7B.8 Specialized Investigations
    Process Overview when sending notification of substantiated or unsubstantiated
    findings according to the Distribution Chart.:
9.12. The SSW also sends notification:
    (a) If substantiated, using the DPP-152B and information regarding the request
          for appeal of a child abuse or neglect investigative finding process using the
          DPP-155 to the:
          (1) Appropriate supervisor (e.g., principal);
          (2) School superintendent; and
          (3) Education Professional Standards Board (100 Airport Rd. 3rd Floor,
                Frankfort, KY 40601).
10.The SSW copies and pastes part two (2) of the ―Conclusion Summary‖ section of
    the CQA into the ―factual basis for the finding of substantiated abuse or neglect‖
    section of the DPP-152B. If unsubstantiated, the SSW provides a copy of using
    the DPP-152A to the appropriate supervisor (e.g., principal). (Link to CPS CQA
    Tip Sheet)
11.15. When there is indication of systemic neglect within the school, the SSW
    informs the FSOS, who then informs the SRA or designee. The SRA or designee,
    upon review and affirmation of suspected systemic neglect informs the
    Commissioner in writing, outlining what efforts have been made to address the
    concerns with the school system. Approval by the Commissioner is required
    prior to pursuing systemic neglect against the a school administrator.
(Link to Tip Sheet for Referrals on Schools)

1. The SSW conducts interviews (away from school grounds, when possible.) of
    the:
    (a) Child;
    (b) Parent or legal custodian;
    (c) Alleged perpetrator; and
    (d) Other collateral sources (if any).
2.      The SSW notifies the alleged perpetrator subject to an investigation of the
allegations during the initial face-to-face contact with the alleged perpetrator by:
(a)     Verbally informing the alleged perpetrator of the basic allegations, void of
any specifics that may compromise the investigation;
(b)     Verbally informing the alleged perpetrator that they will be provided
notification of the findings upon completion of the investigation;
(c)     Providing the alleged perpetrator a copy of the DPP-155, Request for Appeal
of Child Abuse or Neglect Investigative Finding explaining the alleged perpetrators
rights to appeal a substantiated finding; and
(d)     Documenting the verbal notification of the allegations in the service recording

                       Division of Protection and Permanency
                                                     Page 42 of 58
of TWIST.
       If the identity of the alleged perpetrator is unknown at the outset of an
investigation the aforementioned procedures are conducted during the initial face-
to-face contact with the appropriate supervisor (e.g., principal).
3.     The SSW may interview other children and staff as collateral contacts. If the
SSW interviews other children as collaterals, they first obtain the parents’
permission. If the parent is not contacted prior to the interview, the SSW informs
the parent(s) as soon as possible after the interview and explains that his/her child
is not the alleged victim.
8.     The SSW completes the non-familial CQA.
9.(a) Alleged perpetrator (sent to each perpetrator via Certified, Restricted Mail,
along with the DPP-155, Request for Appeal of Child Abuse or Neglect Investigative
Finding when the finding is substantiation); and
(b)    Parent or guardian.
10.    The SSW sends substantiated findings to the perpetrator through certified,
restricted mail.
11.     The SSW sends a copy of the DPP-115 to the:
(a)    Child Safety branch via fax at (502) 564-3096; and
(b)    SRA or designee.
(Link to Specialized Investigation Fax Coversheet)




                                                                       SOP 7B.8.7
                                                                       R. 12/1/04
                                                                          R. 6/1/08

 INVESTIGATIONS OF SUPPORTS FOR COMMUNITY LIVING (SCL) AND OR
 COMMUNITY MENTAL HEALTH/MENTAL RETARDATION CENTERS (CMHC)

COA STANDARDS:
• S10—Child Protective Services

LEGAL AUTHORITY:
• 922 KAR 1:330

PROCEDURE:
In addition to the guidelines specified in SOP 7B.8 Specialized Investigations, the
SSW uses the following procedures in conducting investigations involving
1. Upon receipt of an allegation of abuse, neglect or dependency in a Certified
Supports for Community Living (SCL) provider or Community Mental Health/Mental
Retardation Center (CMHC) of a
• Child under eighteen (18) years of age; or
• Youth age eighteen (18) up to twenty-one (21) years of age and older on
   extended commitment in the custody of the Cabinet;:

1.   Upon accepting a report, tThe SSW provides copies of the DPP-115 to the

                       Division of Protection and Permanency
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    parties listed on the Distribution Chart and:
    The SSW immediately notifies the Department for Mental Health/Mental
    Retardation (DMHMR), Division of Mental Retardation (DMR), Incident Manager
    at 100 Fair Oaks 4E-B, Frankfort, KY. :(a) Immediately via:
    (a)Via fax at (502) 564-8917.; or
    (b)(1)Via Ttelephone at (502) 564-7702. When the allegation was made by
        telephone, the DPP-115 is faxed within twenty-four (24) hours (exclusive of
        weekends and holidays). /; or
(Link to Specialized Investigation Fax Coversheet)
2.4.The SSW and DMR staff shares joint responsibility for investigating these
    reports and if possible, an investigation is conducted jointly.
3.5. When a joint investigation cannot be conducted the SSW proceeds with the
    investigation, following procedures and timeframes outlined in SOP 7B.1 –
    Process Overview: Investigations/FINSA.
4.6.The SSW and DMR staff, (to the extent possible) conduct an entrance interview
    with the facility administrator or designee outlining the nature of the report of
    child abuse or neglect without disclosing the name of the reporting source. The
    SSW provides only enough information to the administrator or designee to
    indicate that there has been a report and which child(ren)/youth’s and adult
    wards are to be interviewed.
5.11.If the SSW finds at the time of investigation that a child/youth is in imminent
    danger or that a child/youth needs to be removed, written or verbal notification
    is provided to DMR as soon as practical.
6.16.When there is a finding by the SSW of substantiation of child/youth abuse or
    neglect, and the alleged perpetrator is an employee of the facility, the written
    findings are to be provided to the administrator of the facility and license holder
    within thirty (30) working days of receiving the referral/report, unless an
    necessary extension is granted by the supervisor.
7.17..The SSW and DMR staff confers on the investigation to the extent possible
    prior to issuing any notification of findings.
8.18.Upon approval, copies of the CQA for SCL provider agencies and CMHC
    facilities investigations are sent immediately upon completion to:
    (a) DMR; and
    (b) SRA or designee.
9.19.The SSW and DMR may staff may discuss their findings privately prior to
    conducting an exit interview with the license holder and the administrator or
    designee.
10.20.The SSW (with DMR staff to the extent possible) conducts an exit interview
    no later than ten (10) working days after the CQA has been completed and
    approved with the facility/agency administrator or designee regardless of the
    finding.
11.21.In joint investigations, the SSW and DMR staff collaborates and prepares a
    final report. The SSW incorporates comments and recommendations based on
    findings justified in the CQA documentation that may be incorporated into the
    joint investigation report. If upon collaboration, DMR staff and the SSW do not
    agree on issues of concern, the report would reflect the findings of each with the
    points of contention addressed accordingly in a professional manner.
12.22.The SSW follows procedures outlined in SOP 7B.8 Specialized Investigations

                       Division of Protection and Permanency
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    Process Overview when sending notification of a substantiated or
    unsubstantiated finding.s to the In addition, notification is provided to
(a)    Alleged perpetrator (sent to each perpetrator via Certified, Restricted Mail
and the DPP-155, Request for Appeal of Child Abuse or Neglect Investigative
Finding when the finding is substantiation);
(b)    Parent or guardian; and
(c) the agency/facility and license holder with whom they are licensed.
(Link to: MHMR DCBS SCL MOA)
(Refer to the Distribution Chart for a complete listing.)
 (Link to SOP 4B.10 Investigations in Assisted Living Facilities, Registered Boarding
Homes, and Supports For Community Living)

(2)Facsimile. by faxing the DPP-115; and
(b)    In writing by faxing the DPP-115 within twenty-four (24) hours (exclusive of
weekends and holidays) documenting the allegation when immediate notification
was made by telephone.
2.     The SSW notifies the alleged perpetrator subject to an investigation of the
allegations during the initial face-to-face contact with the alleged perpetrator by:
(a)    Verbally informing the alleged perpetrator of the basic allegations, void of
any specifics that may compromise the investigation;
(b)    Verbally informing the alleged perpetrator that they will be provided
notification of the findings upon completion of the investigation;
(c)    Providing the alleged perpetrator a copy of the DPP-155, Request for Appeal
of Child Abuse or Neglect Investigative Finding explaining the alleged perpetrators
rights to appeal a substantiated finding; and
(d)    Documenting the verbal notification of the allegations in the service recording
of TWIST.
       If the identity of the alleged perpetrator is unknown at the outset of an
investigation the aforementioned procedures are conducted during the initial face-
to-face contact with the facility Director.
3.     Within seventy-two (72) hours (exclusive of weekends and holidays), the
SSW sends the DPP-115 to the:
(a)    Division of Mental Retardation (DMR) Incident Manager notifying them of the
action that has been taken on any investigation involving SCL or CMHC
agency/facility via fax at (502) 564-5478;
(b)    DPP, Out-of-Home Care branch via fax at (502) 564-5995; and
(c)    SRA or designee.
(Link to Specialized Investigation Fax Coversheet)
7.     The SSW has access to all records to complete an investigation regarding the
child/youth alleged to have been abused or neglected and the alleged perpetrator.
KRS 620.030(3) requires agencies to cooperate such that the Cabinet is able to
conduct CPS investigations. If an agency does not cooperate with the investigation
the SSW, upon consultation with the FSOS, may contact Central Office to address
the issue and seek resolution.
8.     The SSW considers who in the line of supervision may have had a role in the
incident that resulted in abuse or neglect to a child/youth. As such, the SSW may
request an organizational chart of the facility to determine lines of authority over
each program area.

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9.     As with any other investigation, the SSW conducts interviews of the
child/youth and perpetrator in private.
10.    As with any other investigation, if the SSW interviews other children or adult
wards of the facility as collaterals, the SSW may first obtain the parents’ or
guardians’ permission. If the parent or guardian is not contacted prior to the
interview, inform the parent or guardian as soon as possible after the interview. It
is to be explained to the collateral parent or guardian that his/her child or adult
ward is not the alleged victim.
12.    If alleged physical abuse is a part of the investigation, the SSW assesses safe
physical management techniques used by staff in the facility by reviewing:
(a)    All relevant documents, such as incident reports;
(b)    The facility’s policy and procedural manual on safe physical management and
de-escalation techniques; and
(c)    The staff’s training record on how to provide safe physical management.
13.    SSW makes the determination for a finding on the current alleged incident
that occurred and does not base the finding on whether or not the facility has taken
any corrective actions.
14.    The SSW may substantiate maltreatment by the license holder of the facility
or Director, if there is a systemic pattern of child abuse or neglect. Some factors or
conditions which may show that there is a systemic pattern include conditions that
show that there is a lack of supervision by management over a period of time or
lack of training which creates a risk of harm to children in care. When the SSW has
a question as to whether there is a systemic problem, the SSW:
(a)    Consults with their FSOS; and
(b)    Contacts the regional attorney for advice prior to substantiating the
investigation against a facility.
When consensus cannot be reached on how to proceed, direction may be requested
from DPP Central Office and the Office of Legal Services (OLS).
15.    SSW may substantiate maltreatment by an individual who is identifiable as a
perpetrator of child abuse, neglect or exploitation.




                                                                        SOP 7B.8.8
                                                                        R. 12/1/04
                                                                           R. 6/1/08

INVESTIGATIONS OF PSYCHIATRIC RESIDENTIAL TREATMENT FACILITIES (PRTF),
       CRISIS STABILIZATION UNITS AND OR PSYCHIATRIC HOSPITALS

COA STANDARDS:
• S10—Child Protective Services

LEGAL AUTHORITY:
• 922 KAR 1:330

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PROCEDURE:
In addition to the guidelines specified in SOP 7B.8 Specialized Investigations the
SSW uses the following procedures in conducting investigations involving
psychiatric residential treatment facilities (PRTF), crisis stabilization units and
psychiatric hospitals:

1. Upon accepting a report, Tthe SSW notifies the SRA and the Cabinet for Health
    and Family Services, Office of the Inspector General (OIG), Division of Health
    Care Facilities and Services (DHCFS) Regional Office and documents the contact.
    (Link to DHCFS Regional Offices and the Counties Served)
    Note: Crisis Stabilization Units are categorized either as licensed under a
    Private Child Caring (PCC) facility or provided through a Community Mental
    Health Center (CMHC). The SSW utilizes the procedures set forth in this SOP for
    all CMHC Crisis Stabilization Units and utilizes SOP 7B.8.2 for all PCC Crisis
    Stabilization Units.
    (Link to Ky Children’s Crisis Stabilization Programs for a complete listing of
    CMHC Crisis Stabilization Units.)
2.9. If the SSW finds at the time of investigation that a child is in imminent
    danger or that a child needs to be removed OIG/DHCFS Regional Office is
    notified, as soon as possible, but no later than the next business day via:
(a)     Telephone; and
(b)     Faxed written notification fax.
   (Link to DHCFS Regional Offices and the Counties Served)
3.16. The SSW, when there is a finding of substantiation of child abuse or neglect
    and the alleged perpetrator is an employee of the facility, the written findings
    are to be provides the written findings d to the administrator of the facility
    within thirty (30) working days of receiving the referral/report, unless an
    necessary extension is granted by the supervisor.
4.17. The SSW and OIG/DHCFS staff conducts an exit interview with the
    administrator or designee to share the preliminary findings and
    recommendations, including needed follow-up actions and which agency is
    assigned to the follow-up.
5.18. The SSW follows procedures outlined in SOP 7B.8 Specialized Investigations
    Process Overview when sending notification of a substantiated or
    unsubstantiated finding. In addition, notification is provided to:
(a)     The alleged perpetrator (sent to each perpetrator via Certified, Restricted
Mail, along with the DPP-155, Request for Appeal of Child Abuse or Neglect
Investigative Finding when the finding is substantiated);
(b)     The parent or guardian;
    (a)(c)     The agency/facility and or license holder with whom they are licensed;
        and
    (b)(d)     OIG/DHCFS Regional Office via fax. (Link to DHCFS Regional Offices
        and the Counties Served and Specialized Investigations Coversheet)
    (Refer to the Distribution Chart for a complete listing.)
6.20. Upon approval, copies of the DPP-115 and CQA for a Psychiatric Residential
    Treatment Facility (PRTF) and Psychiatric Hospital investigations are sent
    immediately upon completion to OIG/DHCFS Regional Office via fax. (Link to

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   Specialized Investigation Fax Coversheet)

2.     The SSW and OIG/DHCFS share joint responsibility for investigating these
reports. If possible, an investigation is conducted jointly. DCBS is the lead
investigative agency on allegations of abuse and neglect in PRTFs and Psychiatric
Hospitals. OIG/DHCFS determines if a regulation has been violated.
3.     The SSW (and OIG/DHCFS staff, if available) conducts an entrance interview
with the facility administrator or designee:
(a)    Outlining the nature of the report of child abuse or neglect without disclosing
the name of the reporting source;
(b)    Determining if the alleged perpetrator is to be reassigned until the
investigation is complete; and
(c)    Providing only enough information to the administrator or designee to
indicate that there has been a report and which children are to be interviewed.
4.     The SSW notifies the alleged perpetrator subject to an investigation of the
allegations during the initial face-to-face contact with the alleged perpetrator by:
(a)    Verbally informing the alleged perpetrator of the basic allegations, void of
any specifics that may compromise the investigation;
(b)    Verbally informing the alleged perpetrator that they will be provided
notification of the findings upon completion of the investigation;
(c)    Providing the alleged perpetrator a copy of the DPP-155, Request for Appeal
of Child Abuse or Neglect Investigative Finding explaining the alleged perpetrators
rights to appeal a substantiated finding; and
(d)    Documenting the verbal notification of the allegations in the service recording
of TWIST.
If the identity of the alleged perpetrator is unknown at the outset of an
investigation the aforementioned procedures are conducted during the initial face-
to-face contact with the facility Director.
5.     The SSW has access to all records to complete an investigation regarding the
child alleged to have been abused or neglected and the alleged perpetrator.
Records that the SSW may wish to review may include:
(a)    Incident reports;
(b)    Previous citations from OIG/DHCFS;
(c)    Staff training manuals and records;
(d)    Internal directives (such as policy, procedure, requirements or
recommendations);
(e)    Previous allegations;
(f)    Personnel records (including criminal records);
(g)    Child assessment information;
(h)    CRP reviews; and
(i)    Exit interviews.
KRS 620.030(3) requires agencies to cooperate such that the Cabinet is able to
conduct CPS investigations. If an agency does not cooperate with the investigation
the SSW, upon consultation with the FSOS, may contact Central Office to address
the issue and seek resolution.
6.     The SSW considers who in the line of supervision may have had a role in the
incident that resulted in abuse or neglect to a child. As such, the SSW may request
an organizational chart of the facility to determine lines of authority over each

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program area.
7.     As with any other investigation, the SSW conducts interviews of the child and
perpetrator in private.
8.     As with any other investigation, if the SSW interviews other children as
collaterals, the SSW may first obtain the parents’ permission. If the parent is not
contacted prior to the interview, inform the parent as soon as possible after the
interview. It is to be explained to the collateral child’s parent that his/her child is
not the alleged victim.
10.    If alleged physical abuse is a part of the investigation, the SSW assesses safe
physical management techniques used by staff in the PRTF or Psychiatric Hospital
by:
(a)    Reviewing all relevant documents, such as incident reports.
(b)    The facility’s policy and procedural manual on safe physical management and
de-escalation techniques.
(c)    The staff’s training record on how to provide safe physical management.
11.    SSW makes the determination for a finding on the current alleged incidents
that occurred and not base the finding on whether or not the facility has taken any
corrective actions.
12.    The SSW may substantiate maltreatment by the license holder of the facility
or Director, if there is a systemic pattern of child abuse or neglect. Some factors or
conditions which may show that there is a systemic pattern include conditions that
show that there is a lack of supervision by management over a period of time or
lack of training which creates a risk of harm to children in care. When the SSW has
a question as to whether there is a systemic problem, the SSW:
(a)    Consults with their FSOS; and
(b)    Contacts the regional attorney for advice prior to substantiating the
investigation against a facility.
When consensus cannot be reached on how to proceed, direction may be requested
from DPP Central Office and the Office of Legal Services (OLS).
13.    SSW may substantiate maltreatment by an individual who is identifiable as a
perpetrator of child abuse, neglect or exploitation.
14.    The SSW and OIG/DHCFS staff discusses their findings privately prior to
conducting an exit interview with the administrator or designee.
15.    In joint investigations, the SSW and OIG/DHCFS staff may prepare a final
report. The SSW may comment and make recommendations that may be
incorporated into the joint investigation report. If the OIG/DHCFS staff and the
SSW do not agree on issues of concern, collaboration between the two is
encouraged. Findings are justified in the CQA documentation and service recordings
connected to the investigation.
19.    The SSW sends a copy of the DPP-115 to the:
(a)    Out-of-Home Care branch via fax at (502) 564-5995; and
(b)    SRA or designee.
(Link to Specialized Investigation Fax Coversheet)
    (Link to DHCFS Regional Offices and the Counties Served)




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                                                                      SOP 7B.8.9
                                                                       R. 6/25/04
                                                                          R. 6/1/08
               ALLEGATIONS OF MALTREATMENT AT DJJ FACILITIES

COA STANDARDS:
● NA

LEGAL AUTHORITY:
● NA

PROCEDURE:
1. Allegations involving Juvenile Justice facilities (see below) such as Youth
   Development/Treatment Centers, DJJ-operated/contracted group homes, and
   DJJ-operated detention centers, are investigated by the Internal Investigations
   Unit, Office of the Secretary of the Justice Cabinet. Allegations are immediately
   referred by telephoning the Internal Investigations Unit of the Justice Cabinet at
   (502) 564-6688. A 24-hour hotline at 1-800-890-6854 is available, and voice
   mail is checked regularly on nights and weekends.
2. The SSW completes the DPP-115 and distributes it to:
   (a) DJJ (via fax at 502-564-0250);
   (b) The local law enforcement agency or Kentucky State Police;
   (c) The county or commonwealth attorney in the county where the incident is
       alleged to have occurred; and
   (d) Child Safety branch via fax at (502) 564-3096.
   (Link to Specialized Investigation Fax Coversheet)
3. DJJ Youth Development Centers/Treatment Centers currently include:
   (a)(m) Adair County Youth Development Center (Columbia);
   (b)Rice Audubon Youth Development Center (Louisville);
   (c)(k)Bluegrass Youth Development Assessment Center (Lexington);
   (d)(l)Cadet Leadership Education Program (CLEAP), in Jackson;
   (e)(b)Green River Youth Development Center (Cromwell);
   (f)(d)Lake Cumberland Youth Development Center (Monticello)
   (g)(e)Lincoln Village Youth Development Center (Elizabethtown);
   (h)(f)Mayfield Youth Development Center (Mayfield);
   (i)(g)Morehead Youth Development Center (Morehead);
   (j)(h)Northern Kentucky Youth Development Center (Crittenden);
   (k)(i)Owensboro Treatment Center (Owensboro); and
   (l)(j)Woodsbend Youth Development Center (West Liberty).
   (a) Cardinal Treatment Center (Louisville)
4. DJJ operated/contracted group homes currently include:
   (a) Ashland Group Home (Ashland);
   (b) Bowling Green Group Home (Bowling Green);
   (c) Burnside Group Home (Burnside);

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    (d) Frankfort Group Home (Frankfort);
    (e) Frenchburg Group Home (Frenchburg);
    (f)Glasgow Group Home (Glasgow)
    (f)(g)Hopkinsville Group Home (Hopkinsville);
    (g)(h)London Group Home (London);
    (h)(i)Mayfield Group Home (Mayfield);
    (i)(j)Middlesboro Group Home (Middlesboro); and
    (j)(k)Westport Group Home (Louisville).
    (l)Bardstown Group Home (Louisville)
    (m)Crescent Group Home (Louisville)
    (n)Kennedy Group Home (Louisville)
    (k)(o)Lexington Group Home (Lexington); and
    (l)(p)Winter Group Home (Louisville).
5. DJJ operated detention centers currently include:
    (a)Boyd Regional Juvenile Detention Center (Ashland);
    (b)(a)Breathitt County Regional Juvenile Detention Center (Jackson);
    (c)(b)Campbell County Regional Juvenile Detention Center (Newport); and
    (d)Fayette Regional Juvenile Detention Center (Lexington);
    (e)Laurel Regional Juvenile Detention Center (London);
    (f)(c)McCracken County Regional Juvenile Detention Center (Paducah).; and
    (g)Warren Regional Juvenile Detention Center.
(Link to Department of Juvenile Justice listing)

                                                                      SOP 7B.8.10
                                                                      R. 6/25/04
                                                                         R. 6/1/08
                ALLEGATIONS OF MALTREATMENT AT HOSPITALS

COA STANDARDS:
● NA

LEGAL AUTHORITY:
● KRS 600.020(29)

PROCEDURE:
1. The Cabinet for Health and Family Services, Office of Inspector General (OIG)
   investigates reports of abuse and neglect that are alleged to have occurred in a
   hospital setting (non-psychiatric) by staff.
2. Cabinet staff who receives such a report immediately telephones the report to
   the complaint coordinator of the appropriate OIG office. (Link to OIG Regional
   Map) Office of the Inspector General.
3. The SSW faxes mails the original completed DPP-115 to Office of the Inspector
   General OIG following the phone call. The four regional offices are:
   (a) OIG Southern Enforcement Branch (London)
       Phone: (606)330-2030
       Fax: (606)330-2054;
   (b) OIG Western Enforcement Branch (Hopkinsville)
       Phone: (270)889-6052 ext. 1102

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       Fax: (270)889-6089;
   (c) OIG Eastern Enforcement Branch (Lexington)
       Phone: (859) 246-2301, ext 236
       Fax: (859)246-2307;
   (d) OIG Northern Enforcement Branch (Louisville)
       Phone: (502)595-4598
       Fax: (502)595-4540.
   (a)85 State Police Rd., London, KY 40741, (606) 878-7827;
   (b)627 W. 4th St, Lexington, KY 40508, (859) 246-2301;
   (c)Western State Hospital, Hopkinsville, KY 42240; and
   (d)908 W. Broadway – 2E, Louisville, KY 40203, (502) 595-4079.
4. A copy of the DPP-115 is sent to:
   (a) Law enforcement;
   (b) The county or commonwealth attorney in the county in which the incident is
       alleged to have occurred; and
   (c) The Child Safety branch via fax at (502) 564-3096.
   (Link to Specialized Investigation Fax Coversheet)




                                                      SOP 7B.9
                                                      R. 2/15/05
          DETERMINATION OF FINDINGS OF INVESTIGATION OR FINSA

COA STANDARDS:
● NA

LEGAL AUTHORITY:
 42 U.S.C. 5106a
 922 KAR 1:330
PROCEDURE:
1. The SSW (with supervisory consultation) makes a determination of a finding on
   all reports, based upon assessment of credible information and supportive
   documentation gained in the investigation or FINSA and the CQA process.
   Credible information consists of:
   (a) Personal observations of home, child(ren), neighborhood and family
       interaction;
   (b) Interviews with caretakers, alleged victims, alleged perpetrators and
       collateral sources of information (e.g., witnesses, teachers, neighbors or
       other sources of information regarding family functioning);
   (c) Written statements from caretakers, alleged victims, alleged perpetrators
       and collateral sources;
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     (d) Pictures of injuries and/or detrimental living conditions; and
     (e) Expert opinions or statements from medical or other professionals who are
         able to make statements diagnosing a specific condition; or
     (f) An adjudication of same by the court.
2.   Substantiated means:
     (a) An admission of abuse or neglect by the person responsible;
     (b) An adjudication of the same by the court; or
     (c) There is a preponderance of evidence exists that abuse or neglect was
         committed (or dependency occurred) by the person alleged to be
         responsible. Preponderance of evidence means in order to support a finding
         that a particular person has committed child abuse or neglect, the
         documented evidence is to be sufficient to allow a reasonable person to
         conclude that it is more likely than not that the child in question was abused
         or neglected, and that it is more likely than not that the alleged perpetrator
         committed the act of commission or omission as governed by KRS
         600.020(1).
3.   In determining whether or not to substantiate physical abuse, the worker
     considers that:
     (a) The alleged perpetrator must have inflicted injury upon a child by non-
         accidental means;
     (b) ―Non-accidental‖ (see Definitions) does not mean it has to be non-
         intentional, and that the lack of reasonable judgment in the use of that force
         that caused a child’s injury should be considered;
     (c) Risk of physical abuse may be substantiated if a resource parent(s) utilized
         corporal punishment as their primary discipline technique; and
     (d) Kentucky allows corporal punishment even with instruments as long as injury
         does not occur. (However, risk of physical abuse may be substantiated if a
         parent or caretaker utilizes unusually violent corporal punishment as their
         primary discipline technique)
4.   In determining whether or not to substantiate neglect, the worker considers
     that:
     (a) A number of factors such as environment, medical care, diet and supervision
         contribute to the well being of the child;
     (b) Neglect factors are relative to the health and safety needs of the individual
         child.
     (c) Neglect may be substantiated if the parent does nothing to protect the child
         in cases where the parent knows that the child is exposed to risk of sexual
         harm or risk of physical harm.
5.   In determining whether or not to substantiate emotional injury, the SSW makes
     a determination, in consultation with their FSOS, as to whether or not
     emotionally abusive behaviors have occurred as outlined in SOP 7B.6 Child
     Emotional Injury Investigations/FINSA. If the SSW, upon consultation with the
     FSOS, does not find any evidence to support that emotionally abusive behaviors
     are     occurring     to   the    child,   the    Investigation/FINSA    may    be
     unsubstantiated/found not in need of services, without an assessment from a
     Qualified Mental Health Professional (QMHP). The Community Mental Health
     Center (CMHC) determines if an emotional injury has occurred. The CMHC
     gatekeeper assigns the Emotional Injury Assessment to a Qualified Mental

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   Health Professional (QMHP) with experience in emotional abuse assessments for
   a determination as to whether or not the individual has suffered an emotional
   injury as a result of the abusive behaviors. This must occur for the SSW to
   substantiate emotional injury. If the QMHP finds the child to be at risk of an
   emotional injury, rather than an injury, risk of harm (neglect) may be based on
   KRS 600.020(1)(a)(b). If Court action is necessary, a neglect petition is filed.
6. In determining whether or not to substantiate sexual abuse, the worker
   considers that:
   (a) Sexual abuse involves the parent or caretaker using a child or allowing a
       child to be used for the purpose of sexual gratification or exploitation;
   (b) A substantiation of sexual abuse may be based on the statements of victims,
       witnesses, siblings, alleged perpetrators and other caretakers, along with any
       behavioral indicators shown by the child and any physical or medical
       evidence; and
   (c) Particular attention should be paid to the child’s ability to describe the details
       of the molestation in a consistent manner.
7. Found and Substantiated means that SSW finds physical abuse, sexual abuse,
   neglect or dependency substantiated that was not originally reported by the
   referral source. The SSW may find and substantiate abuse, neglect or
   dependency at any point:
   (a) During an investigation;
   (b) FINSA; or
   (c) Prior to case closure and aftercare planning as outlined in SOP 7G.
8. Pursuant to 42 U.S.C. 5106a(b)(2)(xxi), if the SSW determines an investigation
   of abuse or neglect is substantiated on a child under three (3) years of age a
   referral for early intervention services is made:
   (a) To the regional service provider, First Steps Contact (link to contact
       information) for early intervention services using established regional
       protocol/procedures (link to child development information); and
   (b) Documents the referral in the CQA.
9. If the SSW determines an investigation is substantiated and the alleged
   perpetrator of abuse, neglect or dependency is a child (age twelve (12) up until
   his/her eighteenth (18th) birthday) who was in a caretaking role, that
   child/adolescent is identified as the alleged perpetrator. The name of the alleged
   perpetrator is not be released except by court order pursuant to KRS 620.050.
10.If the SSW determines an investigation to be substantiated, but the case will be
   closed, an Aftercare Plan is completed and the case is closed. (Used for both
   Substantiated and, Found and Substantiated)
11.If the SSW determines an investigation to be substantiated, and the case will be
   opened, a Prevention Plan is completed.
12.Unsubstantiated means that sufficient evidence, indicators, or justification does
   not exist for the substantiation of abuse, neglect, or dependency.
13.If the SSW determines an unsubstantiated finding and there are no further
   issues, the referral is closed without an Aftercare or Prevention Plan.
14.If the SSW determines an unsubstantiated finding and there are concerns, an
   Aftercare Plan is completed and the referral is closed.
15.The finding Unable to locate may be used after the SSW makes reasonable
   efforts to locate the child and family, and documents those efforts in TWIST. The

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   SSW may contact the landlord, post office, neighbors, extended family
   members, school, family resource center, family support, and any other viable
   resources to attempt to locate the family.
16.The SSW does not make a determination of Unable to Locate until reasonable
   effort have been made, presented to the supervisor, and approved.
17.The SSW does not make a determination of Unable to Locate if the victim and
   caretaker have been located and interviewed. Attempts to locate parent’s
   alleged perpetrators, or other individuals should be documented and an
   assessment should be made on the information available to the SSW.
18.The following terms refer to the results of a Family in Need of Services
   Assessment:
   (a) Family needs services – the SSW finds a need for services to assist the family
       that indicate low risk protection issues; or
   (b) Family doesn't need services – the SSW determines that the family does not
       meet criteria for low risk protection issues based on the completed CQA.
19.The SSW consults with the FSOS when a family is found in need of services, but
   refuses ongoing preventative services. The FSOS must assess the situation using
   all available information. If the overall assessment rating shows moderate (7-
   13.9), significant (14-19.9) to high (20-28) risk the FSOS may move the case to
   Track 4 (Investigation) due to the family refusing to cooperate. If the issue or
   concern identified by the Cabinet falls below the level that would trigger a
   protection case being opened and the FINSA overall Assessment rating is in the
   low risk (0-6.9) category, the Assessment may be closed and an Aftercare plan
   is developed with the family that links them to community resources to prevent
   the reoccurrence of the reported incident.
20.In specialized investigations, the investigative worker may substantiate against
   an individual who has been identified as a perpetrator of child abuse or neglect,
   the license holder for the setting where the incident is believed to have
   occurred, or both the individual and the license holder. When there is a systemic
   pattern of abuse or neglect, the investigative worker may substantiate against
   the license holder of a facility or private child placing agency foster home. The
   investigative worker, SRA or designee, identified DPP staff, and Office of Legal
   Services are involved in decisions that are made with regard to substantiation of
   a systemic problem. Several factors or conditions may show that there is a
   systemic pattern of abuse or neglect, including:
   (a) Management that fails to rectify the lack of supervision that creates a risk of
       harm to children in care;
   (b) A pattern of misuse of any type of child restraint, such as a therapeutic
       holding technique; and
   (c) Children have suffered serious injuries.
21.If after an investigation the Cabinet finds that a child is dependent, abused or
   neglected, but the court does not concur based on the evidence presented, the
   FSOS changes the finding of the investigation to agree with the court’s finding.
22.The FSOS changes the finding of the investigation when the final order from a
   CAPTA Fair Hearing process as outlined in SOP 1A.9 CAPTA Appeals overturns
   the Cabinet’s substantiated finding that a child has been dependent, neglected
   or abused.
23.The FSOS only changes the finding of the investigation and documents in the

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   case record:
   (a) The reason why the finding is being changed;
   (b) Files a hard copy of the court order or the final CAPTA order in the case
       record; and
   (c) Leaves the CQA as well as any other part of the case record as is, except the
       finding.
24.After an adjudicatory finding, if the SSW believes that there is enough
   evidence to support the original investigative finding and the FSOS agrees:
   (a) The SSW within forty-eight (48) hours contacts the OLS Regional Attorney
       for consultation;
   (b) After consultation with OLS the SSW and FSOS decide whether to proceed
       with contesting the court’s adjudicatory finding on appeal; and
   (c) If the decision is to proceed the OLS Regional Attorney has:
       (1) Ten (10) days to file a motion to alter, amend or vacate the order; or
       (2) Thirty (30) days to file an appeal.




                      Division of Protection and Permanency
                                                   Page 56 of 58
                                                                                                                              Distribution Chart
                                                               Notification Letter, 115, 155, and CQA Distribution
Type of Setting




                             Commonwealth or County Attorney




                                                                                                                                                                                              Division of Health Care Facilities and
                                                                  Local Law Enforcement or Kentucky




                                                                                                                                                                                                                                                                                                                      Facility Director and License Holder
                                                                                                                                                                                                                                                                               School Supervisor (i.e., Principal),




                                                                                                                                                                                                                                                                                                                                                                                                                     R&C Supervisor and Foster Care
                                                                                                                                                           Division of Regulated Child Care




                                                                                                                                                                                                                                                                                                                                                             Out-of-Home Care (OOHC) DPP
                                                                                                                                                                                                                                       DCBS Division of Child Care
                                                                                                                                                               (DRCC)/PCC-PCP Branch




                                                                                                                                                                                                                                                                                                                                                                                           Child Safety Branch DPP
                                                                                                                                                                                                                                                                                   Superintendent, & EPSB
                                                                                                      Parent or Caregiver *
V = DPP-155




                                                                                                                               Alleged Perpetrator




                                                                                                                                                                                                        Services (DHCFS)
W =152B




                                                                             State Police




                                                                                                                                                                      CHFS OIG/



                                                                                                                                                                                                           CHFS OIG/
X = Notification




                                                                                                                                                                                                                                                                                                                                                                                                                              Specialist
                                                                                                                                                                                                            DMH/MR




                                                                                                                                                                                                                                                                     DJJ ***
   Letter




                                                                                                                                                     SRA
   (DPP-152,
   152A, 153, 153A)
Y =115
Z =CQA




Familial                                     Y                            Y                                          X          V
                                                                                                                                X
DCBS Resource Home                           Y                            Y                              X**                    V                    Y                                                                                                                                                                                                          Y                                                       XY
                                                                                                                                X
 Private Child Placing                       Y                            Y                              X**                    V                    Y            XY                                                                                                                                                            X                               Y
(PCP) Resource Home                                                                                                             X
Private   Child   Care                       Y                            Y                              X**                    V                    Y         XYZ                                                                                                                                                              X                               Y
(PCC) Facility                                                                                                                  X


Certified or    Licensed                     Y                            Y                                          X          V                    Y         XYZ                                                                     XYZ                                                                                      X                                                               Y
Child Care                                                                                                                      X
Registered         Family                    Y                            Y                                          X          V                    Y                                                                                 XYZ                                                                                      X                                                               Y
Child Care                                                                                                                      X
School                                       Y                            Y                                           X         V                    Y                                                                                                                                  WV
                                                                                                                                                                                                                                                                                                                                                                                                Y
                                                                                                                                X
DJJ Facility                                 Y                            Y                                          X                                               X                                                                                               Y                                                                                                                          Y
Hospitals                                    Y                            Y                                          X                                               Y                                                                                                                                                                                                                          Y

Crisis       Stabilization                   Y                            Y                              X**                    V                    Y         XYZ                                                                                                                                                              X                               Y
Unit                                                                                                                            X
Supports               for                   Y                            Y                                X**                  V                    Y                                                                     Y                                                                                                    X                               Y
Community          Living                                                                                                       X
(SCL) and
Community         Mental
Health/Mental
Retardation       Center
(CMHC)

Psychiatric Residential                      Y                            Y                                X**                  V                    Y                                         XYZ                                                                                                                              X                               Y
Treatment       Facility                                                                                                        X
(PRTF)

Psychiatric Hospital                         Y                            Y                              X**                    V                    Y                                         XYZ                                                                                                                              X                               Y
                                                                                                                                X
Camps. Etc.                                  Y                            Y                                           X         V                    Y                                                                                                                                                                          X                                                               Y
                                                                                                                                X
Day Treatment Facility                       Y                            Y                                          X          V                    Y                                                                                                                                                                          X                                                               Y
                                                                                                                                X

  *      This includes non-custodial when divorced parents have joint custody.

  **       On these specialized investigations the notification letter is only sent to the parent and/or

                                                                Division of Protection and Permanency
                                                                                                                                                                                                              Page 57 of 58
    caregiver if the investigation/FINSA is substantiated.

*** A letter is to be sent to the DJJ worker when DJJ has custody or joint custody of a child in any

    type of setting listed in the chart.




                         Division of Protection and Permanency
                                                             Page 58 of 58

								
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