920 KAR 2:020. Domestic violence offender treatment certification standards.

920 KAR 2:020. Domestic violence offender treatment certification standards.

RELATES TO: KRS Chapter 13B, 202A.011(12)(d), 202A.400, 209.030, 222.005, 309.130-309.1399, Chapters 311, 319, 335.080, 335.100, 335.300-335.399, 335.500-335.599, 403.715-403.785, 421.570, Chapters 506, 507, 508, 509, 510, 511.020-511.040, 512.020, Chapter 515, 517.050, 529.020-529.050, 530.020, 530.060, 530.064, 530.065, 530.070, 531.030, 531.040, 531.300-531.370, 620.030

STATUTORY AUTHORITY: KRS 403.7505, EO 2004-726

NECESSITY, FUNCTION, AND CONFORMITY: EO 2004-726, effective July 9, 2004, created the Cabinet for Health and Family Services and placed the Department for Mental Health and Mental Retardation within the cabinet. KRS 403.7505 requires the Cabinet for Health and Family Services to promulgate administrative regulations establishing certification standards for mental health professionals providing court-ordered treatment services for domestic violence offenders. This administrative regulation establishes provider certification requirements, standards for services, and imposes reporting requirements on providers.

Section 1. Definitions. (1) "Appellant" means an applicant or a provider who requests:

(a) An informal resolution meeting in accordance with Section 13 of this administrative regulation; or

(b) An administrative hearing in accordance with Section 14 of this administrative regulation.

(2) "Application" means the Application for Certification as a Provider for Court-Ordered Domestic Violence Offender Treatment and required attachments.

(3) "Assessment" means the evaluation of an offender’s:

(a) Characteristics;

(b) History of abusive behavior;

(d) Capacity to benefit from treatment.

(4) "Associate provider" means an individual certified by the cabinet to provide services, in accordance with Sections 5 through 12 of this administrative regulation, only under the direct supervision of an autonomous provider.

(5) "Autonomous provider" means a professional certified by the cabinet in accordance with Section 2(1)(b) of this administrative regulation for unsupervised clinical practice in a domestic violence program.

(6) "Cabinet" means the Cabinet for Health and Family Services or its designee.

(7) "Client" means an offender who has been admitted to a program.

(8) "Court" means a district, family, or circuit court of the Commonwealth of Kentucky.

(9) "Court-ordered" means subject to an order entered by a district, family, or circuit court judge for an offender to be assessed by a provider to determine the offender’s eligibility for admission to a program, or to participate in a program.

(10) "Department" means the Department for Mental Health and Mental Retardation Services or its designee.

(11) "Domestic violence" is defined by KRS 403.720(1).

(12) "Offender" means an individual who:

(a) Has been charged with or convicted of a criminal offense related to domestic violence; or

(b) Is a respondent in a protective order issued by a court pursuant to KRS 403.740, 403.750(1), or 508.155(4).

(13) "Program" means the services provided in accordance with Sections 5 through 12 of this administrative regulation to offenders who have been referred by a court for assessment or treatment related to domestic violence.

(14) "Provider" means an associate provider or an autonomous provider.

(15) "Sanction" means a compulsory or restrictive action, such as:

(a) A prohibition, requirement, limitation, or other condition affecting the freedom of a person;

(b) Withholding of relief;

(d) Destruction, seizure, or withholding of property;

(e) Assessment of damages, reimbursement, restitution, compensation, costs, charges, or fees; or

(f) Revocation or suspension of a license.

(16) "Screening" means the action taken by a provider to determine an offender’s eligibility for admission to the program.

(17) "Treatment" means individual and group counseling and education based upon a core curriculum that focuses on cessation of domestic violence.

(18) "Victim advocate" is defined by KRS 421.570.

Section 2. Certification Procedures. (1) If an applicant is not subject to denial or revocation for a reason established in Section 3 of this administrative regulation, the cabinet shall certify the applicant as:

(a) An associate provider, if the applicant meets the qualifications specified in Section 4(1) of this administrative regulation; or

(b) An autonomous provider, if the applicant meets the qualifications specified in Section 4(2) of this administrative regulation.

(2) An individual may apply to be certified as an associate provider or an autonomous provider by submitting a completed application to the Sexual and Domestic Violence Program Administrator, Department for Mental Health and Mental Retardation Services, Division of Mental Health.

(3) The cabinet shall notify an applicant in writing if certification is granted or denied no later than sixty (60) days after receiving an application or after receiving additional documentation, if the department retains the application in accordance with Section 3(2) of this administrative regulation. The notice shall:

(a) Specify the effective date of certification, if applicable;

(b) Specify the basis of the denial of the application, if applicable;

(c) Specify additional documentation that is required if the department retains the application in accordance with Section 3(2) of this administrative regulation; and

(d) Inform the applicant of the right to appeal a denial in accordance with the informal resolution process established in Section 13 of this administrative regulation, and the administrative hearing process established in Section 14 of this administrative regulation.

(4) Certification shall be effective for two (2) years.

(5) The cabinet shall renew the certification of a provider upon request if the provider submits verifiable documentation of completion of at least sixteen (16) hours per year of continuing education related to domestic violence, pursuant to Section 6(9) of this administrative regulation, unless certification has been revoked in accordance with Section 3 of this administrative regulation.

(6) The cabinet may solicit recommendations from individuals outside the cabinet regarding the certification of providers.

Section 3. Denial or Revocation of Certification. (1) The cabinet shall deny certification to a provider if it determines that:

(a) The application is incomplete;

(b) The documentation of qualifications is insufficient to demonstrate that the applicant meets the applicable requirements in Section 4 of this administrative regulation;

(c) The department cannot verify the authenticity of the documentation of qualifications submitted in the application; or

(d) The core curriculum submitted fails to meet the requirements specified in Section 10(7) of this administrative regulation.

(2) The department may retain the application and permit the applicant to submit additional documentation in accordance with a notice provided pursuant to Section 2(3)(c) of this administrative regulation, if the department denies certification in accordance with subsection (1)(a) of this section.

(3) The cabinet shall deny certification to an applicant and shall revoke the certification of a provider upon its determination that the applicant or provider:

(a) Has been convicted of or pled guilty to:

1. Criminal homicide pursuant to KRS Chapter 507;

2. Assault or a related offense pursuant to KRS Chapter 508;

3. Kidnapping or a related offense pursuant to KRS Chapter 509;

4. A sexual offense pursuant to KRS Chapter 510;

5. Burglary or a related offense pursuant to KRS 511.020 through 511.040;

6. Criminal damage to property pursuant to KRS 512.020;

7. Robbery pursuant to KRS Chapter 515;

8. Falsifying business records as defined in KRS 517.050 if the conviction was in relation to the applicant’s clinical practice;

9. Incest as defined in KRS 530.020;

10. Endangering the welfare of a minor as defined in KRS 530.060;

11. Unlawful transaction with a minor as defined in KRS 530.064, 530.065, or 530.070;

12. Sexual exploitation of a minor pursuant to KRS 531.300 to 531.370;

13. Criminal attempt as defined in KRS 506.010, to commit an offense identified in this paragraph;

14. Distribution of obscene materials involving a minor pursuant to KRS 531.030 or 531.040; or

15. Promoting prostitution pursuant to KRS 529.030, 529.040 or 529.050;

(b) Has been the subject of a domestic violence protective order within the five (5) years prior to the date of the application or anytime after the effective date of certification;

(c) Has had an alcohol or other drug abuse problem as defined in KRS 222.005(12) within the two (2) years prior to the date of the application, or engages in alcohol or drug abuse as defined in KRS 222.005(12) anytime after the effective date of certification;

(d) Is subject to a current court order restraining or enjoining the applicant from providing a service authorized by licensure or certification; or

(e) Has been convicted of an offense described in KRS Chapter 529 within the five (5) years prior to the date of the application or anytime after being certified.

(4) Depending on the severity or recency of the infraction the department may deny an application or revoke the certification of a provider who:

(a) Has had a sanction applied against or a revocation of a professional license or certification held by the applicant or provider at any time in the two (2) years prior to the date of an application or any time after being certified;

(b) Currently has a sanction applied against a professional license or certification;

(c) Has provided domestic violence offender assessment or treatment services in violation of Section 5(1) or (2) of this administrative regulation;

(d) Has failed to implement a corrective action plan in accordance with Section 12(4)(a) or (b) of this administrative regulation;

(e) Has failed to follow the curriculum submitted in the application or submitted and approved in accordance with Section 10(9) of this administrative regulation;

(f) Has failed to meet a requirement established in Sections 2 through 11 of this administrative regulation;

(g) Has provided information that the department:

1. Is unable to verify; or

2. Has determined to be incorrect; or

(h) Has failed to meet the data submission requirements as specified in Section 6(10) of this administrative regulation.

(5) The department shall revoke the certification of a provider that fails to meet the maintenance requirement specified in Section 6(9) of this administrative regulation.

(6) The department shall notify a provider in writing if certification is revoked. The notice shall:

(a) Specify the effective date that certification shall be revoked;

(b) Specify the basis of the determination to revoke a certification; and

(c) Inform the provider of the right to appeal the revocation in accordance with the informal resolution process established in Section 13 of this administrative regulation, and the administrative hearing process established in Section 14 of this administrative regulation.

(7) A provider whose certification is revoked in accordance with subsection (3)(b) of this section shall be ineligible for certification until the fifth anniversary of the effective date of the revocation.

(8) A provider whose certification is revoked in accordance with subsection (3)(c) of this section shall be ineligible for certification until the second anniversary of the effective date of the revocation.

(9) A provider whose certification is revoked in accordance with subsection (3)(e) of this section shall be ineligible for certification until the fifth anniversary of the effective date of the revocation.

(10) The department shall renew the certification of a provider whose certification has been revoked in accordance with Section 6(9) of this administrative regulation upon the department’s receipt of documentation that the provider has met the requirement of Section 2(5) of this administrative regulation.

Section 4. Qualifications of Certified Providers. (1) The qualifications of an associate provider shall be:

(a) A bachelors degree from an accredited university or college;

(b) Completion of twenty-four (24) clock hours of specialty training in domestic violence including:

1. Characteristics and dynamics of domestic violence;

2. Clinical profiling of domestic violence offenders;

3. Risk assessment and lethality of domestic violence offenders;

4. Treatment of offenders;

5. Effective services for victims and child witnesses of domestic violence;

6. Safety planning for victims; and

7. Criminal sanctions for domestic violence and legal remedies for victims;

(c) Four (4) years of full-time postbachelors degree work experience totaling at least 8000 hours that shall include general clinical experience or direct case experience related to domestic violence;

(d) A written agreement to receive supervision, which shall include:

1. Case discussion;

2. Review of reading assignments;

3. Skill building; and

4. Review of an audio or video recording of assessment and treatment performed by the associate provider; and

(e) Written recommendations for certification from two (2) victim advocates, at least one (1) of whom works in an agency separate from the applicant.

(2) The qualifications of an autonomous provider shall be:

(a) At least a master's degree from an accredited university or college;

(b) Possession of a certificate or license to practice under the laws of the Commonwealth of Kentucky in one (1) of the following disciplines:

1. Psychology in accordance with KRS Chapter 319;

2. Social work in accordance with KRS 335.080 or 335.100;

3. Medicine in accordance with KRS Chapter 311 if board eligible in psychiatry and neurology;

4. Psychiatric nursing in accordance with KRS 202A.011(12)(d);

5. Marriage and family therapy in accordance with KRS 335.300 to 335.399;

6. Professional counseling in accordance with KRS 335.500 to 335.599; or

7. Art therapy in accordance with KRS 309.130 to 309.1399;

(c) 150 hours of clinical experience providing domestic violence services under the direct supervision of a professional who is licensed or certified in accordance with paragraph (b) of this subsection of which 120 hours of the time shall have been with offenders and thirty (30) hours with victims;

(d) Completion of the training specified in subsection (1)(b) of this section;

(e) A written recommendation for certification from the professional that provided the supervision required by paragraph (c) of this subsection; and

(f) Written recommendations for certification from two (2) victim advocates, at least one (1) of whom works in an agency separate from the applicant.

Section 5. Scope of Practice and Supervision Requirements. (1) an associate provider may, under the supervision of an autonomous provider:

(a) Screen, assess, plan, and provide treatment;

(b) Consult with a court, prosecutor, law enforcement official, mental health provider, and others regarding the assessment and treatment of a client; or

(2) An associate provider who provides a service in accordance with subsection (1) of this section shall participate in at least one (1) hour per week of face-to-face supervision pursuant to the written agreement established in Section 4(1)(d) of this administrative regulation.

(3) A certified autonomous provider may provide screening, assessment, treatment, and consultation independently and supervise an associate provider if an autonomous provider has:

(a) Participated in a three (3) hour training program in clinical supervision that has been approved by a professional licensing board specified in Section 4(2)(b) of this administrative regulation, or by the cabinet; and

(b) Practiced domestic violence offender treatment for a period of at least one (1) year.

(4) A certified autonomous provider who supervises an associate provider shall:

(a) Provide the supervision required by subsection (2) of this section; and

(b) Assure that an associate provider performs a service in accordance with Sections 4, 5(1), 6, 7, 8, 9, 10, and 11 of this administrative regulation.

(5) A supervisor shall not supervise more than six (6) associate providers concurrently.

Section 6. General Service Standards. (1) A court-ordered service shall be based on the following premises:

(a) Domestic violence constitutes a health hazard to a victim who may experience short and long-term effects from the abuse. Immediate and long-term cessation of the domestic violence is the priority purpose for treatment.

(b) Domestic violence in any form is criminal behavior.

(c) Treatment shall be designed to enhance and promote the safety of a victim including a spouse, a live-in partner, a child, or other family member.

(d) A victim is not responsible for the violent behavior of an offender and a provider shall not promote the concept of mutual responsibility in explaining domestic violence.

(e) The offender is accountable for domestic violence, which is the product of individual choice and learned traits. The offender’s psychopathology, substance abuse, other disorder, or cultural background is not an explanatory cause of domestic violence but can influence the offender’s behavior.

(f) Cooperation and service coordination between the criminal justice system, the Department for Community-Based Services, a victim's advocate, a spouse abuse center, and a chemical dependency or mental health professional may be required to assure effective treatment and the safety of a victim or a potential victim.

(2) A provider shall give each offender and client a written document that explains the complaint process of the program.

(3) A provider shall treat an offender and a client with respect and dignity at all times and shall not discriminate against an offender based on race, ethnicity, gender, age, religion, or disability.

(4) An offender and a client shall have the right to complain verbally or in writing to the provider, the referring court, or the cabinet. A provider shall not take adverse action against an offender or a client who makes a complaint.

(5) A provider shall:

(a) Comply with federal and state law pertaining to research with a human subject; and

(b) Protect the privacy of a client who gives consent to participate in provider sponsored research.

(6) A provider shall:

(a) Provide a clean and comfortable facility which shall be accessible to the handicapped; and

(b) Meet the requirements of 815 KAR 10:060, relating to standards of fire safety.

(7) The provider shall comply with federal and state law applicable to the confidentiality of a client record.

(8) The provider shall establish an individual record for each offender who receives a court-ordered service. The record shall:

(a) Document each service provided to the offender; and

(b) Demonstrate that the services meet the requirements of Sections 6 through 11 of this administrative regulation.

(9) A provider shall accrue a minimum of sixteen (16) hours of continuing education related to domestic violence during the two (2) year period for renewal.

(10) Providers certified pursuant to Section 2 of this administrative regulation shall collect and submit information on a quarterly basis to the department or its designee for the purpose of tracking, monitoring, and evaluating the quality of services for court-ordered domestic violence offenders. A provider shall:

(a) Collect information required by KRS 403.7505; and

(b) Submit information required by KRS 403.7505.

Section 7. Contact with a Victim. (1) If an offender consents to a victim’s participation in his assessment or treatment a provider shall:

(a) Attempt to contact the victim within five (5) days of the offender’s admission to the program;

(b) Offer the victim an opportunity to participate in the assessment or treatment of the offender by disclosing information about the offender and the circumstances of the domestic violence;

(d) Provide the victim information about the program, its possible benefits, the limitations of treatment, and the degree to which the offender’s participation may or may not result in increased safety for the victim; and

(e) Educate the victim about community support available to assist in meeting a need for current or future protection of the victim or a family member.

(2) A provider shall document each effort to contact a victim.

(3) An interview of a victim shall not be conducted in the presence of the offender.

(4) A provider shall not attempt to coerce or persuade the victim to participate if a victim does not consent to participate, withdraws consent to participate, or refuses to participate or provide information about an offender or a client.

Section 8. Screening Procedures. (1) A provider shall establish:

(a) Eligibility criteria for participation in a program which:

1. Requires that an offender sign an authorization to disclose to a victim the offender's failure to participate in or discharge from the program;

2. May include an offender’s admission of responsibility for a domestic violence related offense; and

3. May not be based solely on an offender’s inability to pay for services;

(b) A procedure to accept a referral from a court following a charge of a domestic violence related offense or as a condition of a protective order issued pursuant to KRS 403.740, 403.750(1), or 508.155(4); and

1. Specify the reason an offender is determined to be ineligible in accordance with the eligibility criteria established by the provider pursuant to paragraph (a) of this subsection;

2. Specify each referral made in accordance with Section 9(3) and (4) of this administrative regulation, if any;

3. Be made no later than five (5) days after the determination is made;

4. Recommend a service more likely to benefit the offender, in the provider’s professional opinion; and

5. Recommend that the court notify a victim pursuant to KRS 403.7505(3)(e) that the offender is ineligible for the program.

(2) A provider shall inform an offender of the following information prior to the offender receiving an assessment or treatment:

(a) The requirement for confidentiality of information and the limit on confidentiality including:

1. The duty of a provider to warn and protect an intended victim of a threat to harm, as required by KRS 202A.400;

2. The requirement to report abuse in accordance with KRS 209.030 and 620.030; and

3. The fact that information disclosed to the provider or to another client may be used against him in a civil or criminal proceeding;

(b) The requirement of a court order, a statute, or an administrative regulation which imposes a duty upon the provider to disclose information or make a report pertaining to the offender or client to:

1. A court;

2. A prosecutor;

3. A probation or parole officer;

4. A law enforcement agent,

5. The victim; or

6. Another person or organization that may be involved in the assessment of the offender or treatment of the client;

1. The name of the person if known, or the title of the agency or organization to whom information shall be disclosed or to whom a report shall be made;

2. The basis of the duty to disclose information or to make a report; and

3. The condition under which information shall be disclosed or a report made;

(d) The offender’s responsibility to pay for an assessment or treatment in accordance with KRS 403.7505(3)(g), the cost to the offender, and the provider's policy regarding failure to pay;

(e) The expected length of treatment and the procedure for voluntary and involuntary discharge from the program;

(f) An explanation of the provisions in Section 6 of this administrative regulation;

(g) A description of the assessment and treatment that will be provided to the offender including the requirements for participation;

(h) Notification that, at the discretion of the court, failure to comply with the program may result in a citation for contempt of court; and

(i) An explanation of the procedures for a victim to participate in the program in accordance with Sections 7 and 10(13) of this administrative regulation.

Section 9. Assessment and Admission Procedures. (1) An assessment of the offender’s treatment needs shall be performed if an offender is determined to be eligible for domestic violence treatment based on the eligibility criteria established in accordance with Section 8(1)(a) of this administrative regulation. The assessment shall include consideration of the offender’s:

(a) History of abusive behavior including degree of harm and type of violent conduct;

(b) Criminal history;

(d) Medical history;

(e) History of mental or emotional disorder;

(f) Current mental status;

(g) Presence of a mental illness, or a substance abuse disorder;

(h) Ability to benefit from the approved program curriculum; and

(i) Relevant public records, including a police report and other information about the offender.

(2) A provider may interview a victim in accordance with the provisions of Section 7 of this administrative regulation and may consider information provided by a victim in the assessment, if an offender consents for a victim to participate in an assessment.

(3) A provider shall refer an offender to a service which, in his or her professional opinion, is more likely to benefit the offender, if the provider determines, based on the assessment required by subsection (1) of this section, that the offender is unlikely to benefit from the program.

(4) A provider may require an offender to participate in mental health or substance abuse treatment as a prerequisite for admission to or completion of the domestic violence program.

(5) A provider shall notify the referring court whether the offender is admitted to the program or is referred to another program or service:

(a) No later than five (5) days after making the assessment required by subsection (1) of this section; and

(b) Within twenty-four (24) hours, if the provider chooses not to admit an offender to a program based on the offender's lethality or another factor related to the safety of the victim.

(6) An offender shall be admitted to a program if the offender:

(a) Meets Section 8(1)(a) of this administrative regulation;

(b) Signs a written consent for treatment;

(d) Signs a written authorization for a provider to disclose information to a party identified in Section 8(2)(b) of this administrative regulation.

Section 10. Treatment Procedures. (1) A provider shall make individual and group treatment services available to a client at least once weekly.

(2) If a provider offers a group treatment program, the program shall provide separate groups for male and for female offenders.

(3) A group treatment service shall include:

(a) Between two (2) and twelve (12) clients, unless two (2) providers are present; and

(b) No more than fifteen (15) clients if two (2) providers are present.

(4) A group treatment session shall require a client to attend for ninety (90) minutes or longer.

(5) A client shall participate in the program for at least twenty (20) weeks.

(6) A person not referred by a court may participate in a group services provided for court-referred clients.

(7) A provider shall establish and follow a core curriculum for group participation that includes:

(a) The definition of domestic violence, including physical, sexual, psychological, and environmental abuse;

(b) Exploration of the effect of domestic violence on a victim and a witness to domestic violence;

(d) Description of the cycle of violence and other dynamics of domestic violence;

(e) Instruction of a client about personal responsibility for domestic violence;

(f) Confrontation of the client’s use of power, control, and coercion in an intimate relationship;

(g) Confrontation of rigid sex role stereotyping;

(h) Challenge of the client’s pattern of aggression in a conflict with a victim;

(i) Exploration of the actual and perceived role of alcohol and drug abuse in the domestic violence;

(j) Exploration of a constructive and nonviolent method for expressing anger and resolving conflict in a relationship, including:

1. A period of time-out;

2. Stress management;

3. Anger reduction; and

4. Constructive verbalization;

(k) Development of a relapse prevention technique; and

(l) Promotion of aftercare if indicated.

(8) If group treatment is provided to a female client, the core curriculum required by subsection (7) of this section shall be implemented in a manner that relates to female gender specific issues.

(9) A provider may amend a core curriculum with the prior written approval of the department. The provider shall submit to the Sexual and Domestic Violence Program Administrator:

(a) A written request for approval of an amended core curriculum;

(b) An explanation of the purpose for the amendment; and

(10) The department shall notify the provider in writing if an amended curriculum is approved or disapproved no later than thirty (30) days after the date that the department receives the request. The notice shall:

(a) Specify the effective date of the approval, if granted;

(b) Specify which of the requirements of subsection (7) or (8) of this section that the amended curriculum does not meet, if it is disapproved; and

(c) Acknowledge the right to dispute a disapproval in accordance with Sections 13 and 14 of this administrative regulation.

(11) A provider shall comply with the warning requirements of KRS 202A.400 if an intended victim has been threatened by a client of the program.

(12) A provider shall notify a victim if a client who has signed an authorization to disclose information to a victim in accordance with Section 8(2)(b) of this administrative regulation is discharged from the program.

(13) A provider shall document each effort to notify a victim.

(14) A provider shall not offer or provide marital counseling or family therapy to a client or a victim unless the client:

(a) Has successfully completed the program; and

(b) Has not demonstrated violence in his relationship with a victim for at least six (6) months after successful completion of the program.

(15) A provider shall not offer or provide marital counseling or family therapy to a client or victim if:

(a) There is a foreseeable risk of harm to the victim which may result from the marital services; or

(b) The provider believes that the victim may agree to participate because of coercion or threat from the client.

Section 11. Involuntary Discharge from a Program. (1) A provider shall involuntarily discharge a client who:

(a) Fails to attend more than ten (10) percent of scheduled appointments;

(b) Fails to actively participate in services or to complete assignments;

(d) After admission to the program, perpetrates domestic violence or other behavior which, in the provider's professional judgment, is associated with increased risk of harm to the victim.

(2) A provider may involuntarily discharge a client who fails to pay for assessment or treatment:

(a) As agreed; or

(b) As ordered by a court.

(3) A provider shall notify the referring court in writing upon his determination that a client shall be discharged in accordance with subsection (1) or (2) of this section. The notice shall:

(a) Specify the reason for the discharge;

(b) Be made no later than five (5) days after the determination; or

(c) No later than twenty-four (24) hours if the determination is made in accordance with subsection (1)(d) of this section.

(4) A provider shall immediately notify the victim in accordance with Section 10(12) of this administrative regulation if the discharge is pursuant to subsection (1)(d) of this section.

(5) The provider shall document each effort to notify a victim.

Section 12. Monitoring. (1) The cabinet shall investigate a signed written complaint which alleges that a provider has failed to adhere to the requirements in Sections 2 through 11 of this administrative regulation or whose practice may endanger a client or domestic violence victim unless the cabinet determines that an investigation would endanger a client or domestic violence victim.

(2) The cabinet may investigate a verbal complaint which alleges that a provider has failed to adhere to the requirements in Sections 2 through 11 of this administrative regulation or whose practice may endanger a client or domestic violence victim.

(3) The cabinet may conduct periodic provider reviews to determine if a provider is in compliance with the requirements established in the requirements in Sections 2 through 11 of this administrative regulation and to evaluate overall quality of services provided.

(4) A provider review or an investigation shall consist of one (1) or more of the following:

(a) An interview with a certified provider or other employee of the agency;

(b) A review of administrative records;

(d) Off-site monitoring by cabinet staff using data submitted quarterly in accordance with Section 6(10) of this administrative regulation;

(e) Observation of an assessment, or treatment service, unless an offender objects to being observed;

(f) Interviews with one (1) or more of the following:

1. An offender who consents to an interview;

2. A victim who consents to an interview;

3. A judge or other personnel of the referring court or agency;

4. A probation or parole officer;

5. A case worker for the Cabinet for Families and Children; or

6. Personnel from any other agency that may make a referral for court-order domestic violence offender treatment services or who interacts with a provider or who has knowledge about the provider’s practice;

(g) Physical inspection of a provider’s facility(ies); or

(h) The review of other materials necessary to determine compliance with Sections 2 through 11 of this administrative regulation and KRS 403.7505.

(5) The cabinet shall refer an allegation that includes information which indicates that a provider may have violated a requirement of a professional licensure or certification board to a board which has jurisdiction to regulate the provider.

(6) The cabinet may determine that a program does or does not meet the requirements of Sections 2 through 11 of this administrative regulation and that a program is endangering a client or domestic violence victim based on the information obtained in accordance with subsection (1), (2) or (3) of this section.

(7) If the cabinet determines that a certified provider has failed to meet the requirements of Sections 2 through 11 of this administrative regulation or is endangering a client or domestic violence victim the cabinet shall notify the provider in writing of its determination. Based upon findings of an investigation or provider review, the cabinet may:

(a) Require the provider to submit a corrective action plan;

(b) Impose a corrective action plan upon the provider; or

(8) The cabinet shall notify an autonomous provider who supervises an associate provider if it determines that the associate provider has failed to meet a requirement specified in Section 5(4)(b) of this administrative regulation. The autonomous provider shall be responsible to assure that corrective action is taken.

Section 13. Informal Resolution of Disputes Prior to Hearing. (1) An applicant or provider may request an informal resolution meeting if the applicant or provider wishes to appeal:

(a) The denial of an application;

(b) The revocation of certification;

(d) A determination, which is specified in a notice, provided in accordance with Section 10(10)(b) of this administrative regulation.

(2) A request for an informal resolution meeting shall:

(a) Identify the disputed determination or action;

(b) State the basis on which the department’s action is believed to be unwarranted or erroneous;

(d) Provide the name, address, and telephone number of each individual who is expected to attend an informal resolution meeting on the appellant's behalf, if a meeting is held; and

(e) Include documentary evidence that the appellant wishes the department to consider in relation to the dispute.

(3) A request for an informal resolution meeting shall not be considered a request for an administrative hearing.

(4) The department shall, within thirty (30) days of receipt of a request made in accordance with subsection (1) of this section, notify the appellant in writing of the following:

(a) The time and place at which the informal resolution meeting shall be held;

(b) The name and title of the department’s representative who is expected to attend the meeting;

(d) The provisions of Section 14(1) of this administrative regulation.

(5) The informal resolution meeting shall be scheduled for a date no later than sixty (60) days after receipt of a request submitted in accordance with subsection (1) of this section.

(6) Prior to an informal resolution meeting, the department may rescind the disputed action or determination based on the contents of the request.

(7) The department may cancel an informal resolution meeting if:

(a) It rescinds the disputed action or determination in accordance with subsection (6) of this section;

(b) It informs the appellant of the decision to rescind the disputed determination or action at least three (3) business days prior to the scheduled date of the meeting; and

(8) The department shall document the actions taken in accordance with subsection (7) of this section.

(9) If an informal resolution meeting is held, the department shall notify the appellant in writing no later than thirty (30) days after the meeting if it shall rescind, modify, or enforce the disputed action, and the facts upon which its decision is based.

(10) An appellant may request an administrative hearing in accordance with Section 14(1) of this administrative regulation at any time during the informal resolution process established in this section.

Section 14. Administrative Hearing Process. (1) A written request for an administrative hearing shall be received by the department no later than thirty (30) calendar days after the date of notice of a determination or a resolution decision, whichever is later. The request shall be sent to the Sexual and Domestic Violence Program Administrator, Department for Mental Health and Mental Retardation Services, Cabinet for Health and Family Services, 100 Fair Oaks Lane, 4th Floor, Frankfort, Kentucky 40621.

(2) An administrative hearing shall be conducted by a hearing officer who is knowledgeable of cabinet policy. The secretary of the cabinet, in accordance with KRS 13B.030, shall appoint the hearing officer.

(3) The department shall forward to the hearing officer an administrative record, which shall include:

(a) A copy of the notice of action taken;

(b) A copy of the request for an informal resolution meeting, if applicable;

(d) A copy of the notice provided by the department in accordance with Section 13(9) of this administrative regulation; and

(e) Documentary evidence provided by the appellant to the department.

(4) The hearing officer shall provide notice of a hearing in accordance with KRS 13B.050.

(5) A prehearing conference may be held at least seven (7) calendar days in advance of the hearing date. Conduct of the prehearing conference shall comply with KRS 13B.070. Each party shall disclose the evidence that the party intends to introduce at the hearing, including documentary evidence and identification of witnesses.

(6) A request for a hearing shall be considered to be abandoned, if the appellant does not appear at the hearing on the scheduled date and the hearing has not been previously rescheduled. A hearing request shall be withdrawn only under the following circumstances:

(a) The hearing officer receives a written statement from the appellant stating that the request is withdrawn; or

(b) The appellant states on the record at the hearing that the request is withdrawn.

(7) Documentary evidence to be used at the hearing shall be made available in accordance with KRS 13B.090.

(8) The hearing officer shall conduct the hearing in accordance with KRS 13B.080.

(9) The hearing officer shall consider the facts as presented at the hearing, including supplementary material, if requested, and prepare a recommendation in accordance with KRS 13B.110.

(10) The hearing officer's recommendation shall be submitted to the secretary of the cabinet and to the department. The department and the appellant shall have fifteen (15) calendar days within which to file with the secretary exceptions to the hearing officer's recommendation in accordance with KRS 13B.110(4). The secretary shall make the final decision of the cabinet pursuant to KRS 13B.120, supported by findings of fact and conclusions of law.

(11) In the correspondence transmitting the decision, clear reference shall be made to the availability of judicial review pursuant to KRS 13B.140 and 13B.150.

(12) The department shall maintain an official record of the hearing in compliance with KRS 13B.130.

Section 15. Incorporation by Reference. (1) "Application for Certification as a Provider for Court-Ordered Domestic Violence Offender Treatment, November 15, 2002" is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Department for Mental Health and Mental Retardation Services, 100 Fair Oaks Lane, Frankfort, Kentucky 40621, Monday through Friday, 8 a.m. to 4:30 p.m. (25 Ky.R. 734; Am. 1082; 1393; eff. 11-18-98; 26 Ky.R. 233; 620; eff. 9-15-99; 27 Ky.R. 867; 1265; eff. 11-17-2000; 29 Ky.R. 1899, 2291; eff. 3-19-03; Recodified from 908 KAR 2:210, 4-4-07.)