Specialized Investigations

SOP 7B.8 R. 7/1/06 R. 6/1/08 SPECIALIZED INVESTIGATIONS PROCESS OVERVIEWCOA STANDARDS: ● S10—Child Protective Services • S21.4.01—Service Elements—Discipline TechniquesLEGAL AUTHORITY: ● KRS 620.030 ● KRS 620.040 ● 922 KAR 1:330 ● 922 KAR 1:310 • 922 KAR 2:100 • 922 KAR 2:180INTRODUCTION: 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);  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) 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) 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; (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: (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. 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 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 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.8.1 R. 12/1/04 R. 6/1/08INVESTIGATIONS 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 TechniquesLEGAL AUTHORITY: ● 922 KAR 1:310 ● 922 KAR 1:330PROCEDURE: 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 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 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. 1/23/07INVESTIGATION OF A PRIVATE CHILD PLACING (PCP) FOSTER OR ADOPTIVE RESOURCE HOMECOA STANDARDS: • S10—Child Protective Services • S21.4.01—Service Elements—Discipline TechniquesLEGAL AUTHORITY: ● 922 KAR 1:310 ● 922 KAR 1:330PROCEDURE: 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. 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. 6/1/08INVESTIGATIONS OF LICENSED PRIVATE CHILD CARING FACILITIES (PCC) AND CRISIS STABILIZATION UNITS COA STANDARDS: • S10—Child Protective ServicesLEGAL AUTHORITY: • 922 KAR 1:330PROCEDURE: 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 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. 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. 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. 6/1/08INVESTIGATIONS OF LICENSED CHILD CARE CENTERS DAY CARE FACILITIESCOA STANDARDS: • S10—Child Protective ServicesLEGAL AUTHORITY: • 922 KAR 1:330PROCEDURE: 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 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 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 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 PROVIDERSCOA STANDARDS: • S10—Child Protective ServicesLEGAL AUTHORITY: • 922 KAR 2:100 • 922 KAR 1:330 • 922 KAR 2:180PROCEDURE: 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 (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 (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. 12/15/07INVESTIGATIONS INVOLVING DCBS EMPLOYEESCOA STANDARDS: • N/ALEGAL AUTHORITY: • N/APROCEDURE: 1. The SSW follows procedures for Child Protective Services investigations 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 PERSONNELCOA STANDARDS: • S10—Child Protective ServicesLEGAL AUTHORITY: ● KRS 620.030 ● KRS 620.040 ● 922 KAR 1:330PROCEDURE: 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 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 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. 6/1/08INVESTIGATIONS OF SUPPORTS FOR COMMUNITY LIVING (SCL) AND OR COMMUNITY MENTAL HEALTH/MENTAL RETARDATION CENTERS (CMHC)COA STANDARDS: • S10—Child Protective ServicesLEGAL AUTHORITY: • 922 KAR 1:330PROCEDURE: 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 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 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. 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. 6/1/08INVESTIGATIONS OF PSYCHIATRIC RESIDENTIAL TREATMENT FACILITIES (PRTF), CRISIS STABILIZATION UNITS AND OR PSYCHIATRIC HOSPITALSCOA STANDARDS: • S10—Child Protective ServicesLEGAL AUTHORITY: • 922 KAR 1:330PROCEDURE: 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 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 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)SOP 7B.8.9 R. 6/25/04 R. 6/1/08 ALLEGATIONS OF MALTREATMENT AT DJJ FACILITIESCOA STANDARDS: ● NALEGAL 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); (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 HOSPITALSCOA STANDARDS: ● NALEGAL 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 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.8 R. 7/1/06 SPECIALIZED INVESTIGATIONS PROCESS OVERVIEWCOA STANDARDS: ● S10—Child Protective ServicesLEGAL AUTHORITY: ● 922 KAR 1:330PROCEDURE: 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 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-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 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 (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.

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