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Effective: 10/19/2022

2.22 Making a Finding, Notifications, and Court Involvement

Legal Authority

Introduction

​​​​​​​​​​​​​​​​​​​​​​​Following any child protective services (CPS) assessment, a finding is made, and federal data is reported to the National Child Abuse and Neglect Data System (NCANDS). NCANDS is a federally sponsored effort that annually collects and analyzes data on child abuse and neglect known to CPS agencies in the United States. Any finding related to child abuse, neglect, or dependency is recorded on the Child Abuse/Neglect (CAN) Registry. A substantiated finding will stay on the registry for a minimum of seven (7) years. Any individual with a substantiated finding on the CA/N registry may be prohibited from employment or care of any vulnerable person and could pose difficulty with becoming an approved foster parent/fictive kin placement option. ​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​

Practice Guidance

When considering the finding of maltreatment, the SSW and FSOS will decide, through consultation, if the child was found to be an abused or neglected child  per KRS 600.020. The assessment of maltreatment should support the legal rational in the narrative of the Assessment and Documentation Tool (ADT).

KRS 600.020
  1. An abused or neglected child, as defined in KRS 600.020, is a child whose health or welfare is harmed or threatened with harm when;
    1. His or her parent, guardian, person in a position of authority or special trust, as defined in KRS 532.045, or other person exercising custodial control or supervision of the child:
      1. Inflicts or allows to be inflicted upon the child physical or emotional injury as defined in this section by other than accidental means;
      2. Creates or allows to be created a risk of physical or emotional injury as defined in this section to the child by other than accidental means;
      3. Engages in a pattern of conduct that renders the parent incapable of caring for the immediate and ongoing needs of the child including, but not limited to parental incapacity due to alcohol and other drug abuse as defined in KRS 222.005;
      4. Continuously or repeatedly fails or refuses to provide essential parental care and protection for the child, considering the age of the child;
      5. Commits or allows to be committed an act of sexual abuse, sexual exploitation, or prostitution upon the child;
      6. Creates or allows to be created a risk that an act of sexual abuse, sexual exploitation, or prostitution will be committed upon the child;
      7. Abandons or exploits the child;
      8. Does not provide the child with adequate care, supervision, food, clothing, shelter, and education or medical care necessary for the child's well-being when financially able to do so or offered financial or other means to do so. A parent or other person exercising custodial control or supervision of the child legitimately practicing the person's religious beliefs shall not be considered a negligent parent solely because of failure to provide specified medical treatment for a child for that reason alone. This exception shall not preclude a court from ordering necessary medical services for a child;
      9. Fails to make sufficient progress toward identified goals as set forth in the court-approved case plan to allow for the safe return of the child to the parent that results in the child remaining committed to the cabinet and remaining in foster care for fifteen (15) cumulative months out of forty-eight (48) months; or 
      10. Commits or allows female genital mutilation as defined in KRS 508.125 to be committed; or
    2. A person twenty-one (21) years of age or older commits or allows to be committed an act of sexual abuse, sexual exploitation, or prostitution upon a child less than sixteen (16) years of age.


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Procedure

Making a finding

After obtaining all information needed to complete the assessment, the SSW and FSOS, through consultation, determine whether the report’s finding is:
  • Unsubstantiated;
  • Services Needed;
  • Substantiated;
  • No finding; or
  • Unable to locate.
Unsubstantiated Finding

The SSW:
  • Completes the assessment and documents if the child was found safe and if  there are low to no risk factors present. Low risk factors can be addressed in an aftercare plan;
  • Can/may make the appropriate community referral(s) and close the case as unsubstantiated if no maltreatment is found during a child protection intervention but low to moderate risk factors are present;
  • Completes an aftercare plan if there are issues that need to be clarified to assist in preventing future abuse or neglect;
  • Documents the legal rationale in the assessment conclusion; and
  • Closes the assessment without an aftercare plan if there are no further issues; 
    • An Assessment Conclusion will include the following information: 
      • Justification of findings specific to the case;
      • Specific notation of Kentucky Revised Statutes and/or Kentucky Administrative Regulation;
      • The notification of findings provided to the appropriate individuals; and
      • Consultation information that occurred throughout the investigation. 
Services Needed Finding

The SSW assesses the situation using all available information and:

  • If the overall assessment indicates the child was found to be safe during the child protection intervention, however, the family has high risk factors; the SSW considers a services needed voluntary in-home services case to assist in reducing the risk factors. The SSW will open a case and work with the family to develop necessary case planning goals and objectives;
  • Only makes a services needed finding when the family agrees to work with the Department for Community Based Service (Department/DCBS) and signs theDCBS-1B Application for Services form;
  • Consults with the FSOS when a family is found in need of services but refuses ongoing preventive services; 
  • If risk factors are identified that fall below the level needed to open a protection  case and the parent is refusing services, closes the assessment as unsubstantiated, and develops an aftercare plan with the family that links them to community resources to address identified risk factors.
  • Does not make a finding of services needed on a case that is being closed without ongoing services. 

Substantiated Finding

Prior to substantiation, the SSW affirms that:
  • A caretaker was responsible. Caretaker is defined in statute (KRS 600.020 (1)(a)); 
  • Injury or risk of injury met a threshold recognized by statute; injury is defined in statute (KRS 600.020);
  • Injury or risk of injury was inflicted, or that the basic needs of the child are not met; or 
  • The injury, risk, or omission of care was inflicted non-accidentally; intentional is defined in statute (KRS 600.020).
The SSW:
  1. Considers completing, based on identified safety threats and risk factors and the caregivers' high-risk behaviors:
    1. An aftercare plan if the case will be closed; or
    2. A safety plan or prevention plan if the case will be opened (Please refer to SOP 7.2 CPS Safety Planning or SOP 7.4 CPS Prevention Planning);
  2. Takes age into consideration as follows:
    1. If an investigation of abuse or neglect is substantiated on a child under age three (3) or younger, pursuant to 42 U.S.C. 5106a(b)(2)(xxi), the SSW makes a referral for early intervention services to the regional service provider for early intervention services using established regional protocol/procedures, and documents the referral in the ADT as appropriate (Refer to First Steps​ for more information and Point of Entry document for regional contacts);
    2. If the alleged perpetrator of abuse, neglect, or dependency is a child aged twelve (12) to age eighteen (18), and the child/youth was in a caretaking role:
      1. That child/youth is identified as the alleged perpetrator if the investigation/assessment is determined to be substantiated;
      2. The name of the alleged perpetrator will not be released except by court order pursuant to KRS 620.050.
  3. When it is determined that a case will be opened, the SSW ensures that the DCBS-1B Application for Services​ is completed by all appropriate family members.

Unable to locate:

The SSW does not make a determination of unable to locate until efforts have been made, presented to the FSOS, and approved. The SSW does not make a determination of unable to locate if either the victim or caretaker have been located and/or interviewed. 

Efforts can include but are not limited to the following:
  • TWIST history;
    • Request assistance from Family Support;
    • Supplemental Nutritional Assistance Program (SNAP) benefits;
    • Wage records; 
    • Vehicle registration;
    • Kentucky Transitional Assistance Program (KTAP) benefits; or 
    • Medicaid/medical benefits.
  • Birth index (check for all names, connect leads);
  • Mother or father of parent (found in birth index);
  • Local school district information;
  • Does the family receive Social Security benefits;
  • Request assistance from the Property Valuation Office (PVA). The  PVA can give you the landlord's name;
  • Post office;
  • Child support records;
  • White pages (internet- reverse lookup by phone and address);
  • Detention center (www.jailtracker.com); 
  • LexisNexis; or 
  • Social media search.
No Finding: 

If information is discovered resulting in the report no longer meeting acceptance criteria, the SSW can request to discontinue the investigation with a no finding determination within ten (10) working days of receipt of report.  

A no finding determination can only be used in familial investigations when there are no safety threats and/or risk factors:
    1. Identified in the report;
    2. Found during interviews with the child(ren) and/or caregivers; or
    3. During worker observations of the family and environment. 3

A no finding determination cannot be used:
    1. For reports received prior to June 28, 2019;
    2. With reports designated as specialized investigations, including fatality or near fatality reports, as defined in SOP 2.15; 4 or
    3. If multiple interviews have been conducted.

The service region administrator (SRA) or designee must approve the no finding determination within ten (10) working days of receipt of the report. If necessary, consultation regarding the appropriate use of the no finding determination can be requested through the Child Protection Branch by emailing: DCBSChildProtection@ky.gov​.  

Notification of Findings
The SSW, upon FSOS approval of the assessment, sends within ten (10) working days:
  1. Notification of a substantiated finding using the DPP-152-Substantiated Investigation Notification Letter to the:
    1. Perpetrator, along with the DPP-155-Request for Appeal of Child Abuse or Neglect Investigative Finding by;
      1. Certified mail to the last known address of the perpetrator;
    2. Victim’s parent/caretaker by;
      1. Certified mail; or
      2. Hand delivery, with the parent/caretaker and a witness signing a written confirmation that the parent/caretaker received the notice;
  2. All other notification of the findings to the alleged perpetrator and the victim’s parent or guardian via the:
    1. DPP-152A-Unsubstantiated Investigation Notification Letter; or
    2. DPP-153-Family in Need of Services Notification Letter
    3. DPP-152C Child Protective Services (CPS) No Finding Notification Letter
  3. 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; or
    3. DPP-153-Family in Need of Services Notification Letter
  4. Notification of the finding to only the victim’s parents or guardian when an investigation has been substantiated and involves one (1) of the following:
    1. DCBS and private child-placing (PCP) agency foster/adoptive resource homes;
    2. Private child-caring (PCC) facilities;
    3. Crisis stabilization units;
    4. Supports for community living (SCL) /community mental health center (CMHC) facilities;
    5. Psychiatric residential treatment facilities (PRTF); or
    6. Psychiatric hospitals;
  5. The appropriate notification of the finding to the alleged victim’s parents or guardian when the investigation involves a:
    1. Registered family child care home or licensed child care facility;
    2. Registered (subsidized) family child care provider;
    3. School employee;
    4. Department for Juvenile Justice (DJJ) facility;
    5. Camp; or
    6. Day treatment facility using the:
      1. DPP-152A-Unsubstantiated Investigation Notification Letter; or
      2. DPP-153-Family In Need of Services Notification Letter;
  6. Notification of the finding of an investigation involving a DCBS foster, adoptive, or respite care home to the regional recruitment and certification (R&C) supervisor;
  7. Notification of the finding to the provider or program director of the facility if there is a substantiated finding and the alleged perpetrator is an employee of a licensed PCC facility, PCP agency, or licensed childcare center;
  8. The SSW does not send notification of findings to the victim’s parent(s) or guardian if the investigation (for DCBS and PCP agency foster/adoptive resource homes only) in one (1) of the aforementioned settings is unsubstantiated.
  9. Non-caretaker perpetrators in human trafficking cases and female genital mutilations cases do not receive a notification of findings letter.
Court involvement

The SSW:
  1. Determines whether the local judge wants the SSW to tender any Administrative Office of the Court (AOC) form partially or fully completed with the relevant information pertaining to that child for the judge's signature;
  2. Contacts, within forty-eight (48) hours after an adjudicatory finding, the Office of Legal Services (OLS) regional attorney for consultation if the court makes a finding that conflicts with the Cabinet for Health and Family Services (CHFS/Cabinet)’s finding if the FSOS believes that there is enough evidence to support the original investigative finding;
  3. Decides, after consultation with the FSOS and OLS, whether to proceed with contesting the court’s adjudicatory finding on appeal. 1
The FSOS:
  1. Changes the DCBS finding to match the courts, following any hearing where the court hears evidence on the petition and makes a finding on the allegations presented in the petition;
  2. Does not change the DCBS finding when the  petitions are dismissed without a hearing or if informal adjustments/stipulations are accepted without DCBS knowledge or agreement; 
  3. Refers the individual(s) to the Child Abuse Prevention and Treatment ACT (CAPTA) fair hearing process;
  4. Only changes the finding. The rationale for the initial finding documented within the assessment's conclusion should not change;
  5. Documents in TWIST, on the amend results tab, (please refer to Amend Results Tip Sheet, for step-by-step instruction on this process) the reason the finding is being changed;
  6. Files a hard copy of the court order;
  7. Following a CAPTA, files a copy of the final CAPTA order in the case record; and 2
  8. Sends a notification of findings letter to the caretaker(s) and alleged perpetrator(s) if the finding was overturned via CAPTA process.

Related Information
Office of the Ombudsman
(502) 564-5497
Toll-Free 1-800-372-2973
TTY (for hearing impaired) 1-800-627-4702


Footnotes

  1. If the decision is to proceed, the OLS regional attorney has ten (10) calendar days to file a motion to alter, amend, or vacate the order; or thirty (30) calendar days to file an appeal.
  2. If the final order from a CAPTA fair hearing process overturns the Cabinet's substantiated finding that a child has been dependent, neglected, or abused, the commissioner's office staff changes the finding and notes the reason for the change in the assessment conclusion section of the ADT. Although the finding is changed, no changes are made to the case record or the assessment.
  3. Similar to the unable to locate determination, the ADT does not populate with a no finding determination. SSW includes a statement in the assessment conclusion documenting:
  4. That the report no longer meets the acceptance criteria;
  5. There are no other risk factors or indicators of maltreatment identified or observed to continue the investigation; and
  6. The no finding determination was agreed upon and approved by the SRA or designee within ten (10) working days of receipt of report.
  7. Examples of additional risk factors include, but are not limited to:
  8. The family’s high risk patterns of behavior;
  9. History or current indicators of substance misuse;
  10. Family violence;
  11. Mental health issues;
  12. Agency history;
  13. AOC results;
  14. Worker observations of injuries;
  15. Unsafe environment; and/or
  16. Indicators of maltreatment; etc.


Notification of Findings

The SSW, upon FSOS approval of the assessment, sends within ten (10) working days:

  1. Notification of a substantiated finding using the DPP-152-Substantiated Investigation Notification Letter to the:
    1. Perpetrator, along with the DPP-155-Request for Appeal of Child Abuse or Neglect Investigative Finding by;
      1. Certified mail to the last known address of the perpetrator;
    2. Victim’s parent/caretaker by;
      1. Certified mail; or
      2. Hand delivery, with the parent/caretaker and a witness signing a written confirmation that the parent/caretaker received the notice;
  2. All other notification of the findings to the alleged perpetrator and the victim’s parent or guardian via the:
    1. DPP-152A-Unsubstantiated Investigation Notification Letter; or
    2. DPP-153-Family In Need of Services Notification Letter
    3. DPP-152C Child Protective Services (CPS) No Finding Notification Letter
  3. 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; or
    3. DPP-153-Family In Need of Services Notification Letter
  4. Notification of the finding to only the victim’s parents or guardian when an investigation has been substantiated and involves one (1) of the following:
    1. Department for Community Based Services (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; or
    6. Psychiatric hospitals;
  5. The appropriate notification of the finding to the alleged victim’s parents or guardian when the investigation involves a:
    1. Registered family child care home or licensed child care facility,
    2. ​Registered (subsidized) family child care provider,
    3. School employee,
    4. DJJ facility;
    5. Camp; or
    6. Day treatment facility using the:
      1. DPP-152A-Unsubstantiated Investigation Notification Letter; or
      2. DPP-153-Family In Need of Services Notification Letter;
  6. Notification of the finding of an investigation involving a DCBS foster, adoptive, or respite care  home to the regional recruitment and certification (R&C) supervisor;
  7. Notification of the finding to the provider or program director 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;
  8. The SSW does not send notification of findings to the victim’s parents or guardian if the investigation (for DCBS and PCP agency foster/adoptive resource homes only) in one (1) of the aforementioned settings is unsubstantiated.

Related Information

Office of the Ombudsman
(502) 564-5497
Toll-Free 1-800-372-2973
TTY (for hearing impaired) 1-800-627-4702

Documents

Revisions