500 KAR 13:020. Internal Investigations
TO: KRS 15A.020
AUTHORITY: KRS 15A.160
FUNCTION, AND CONFORMITY: KRS 15A.160 authorizes the Secretary to promulgate
administrative regulations for the proper administration of the Cabinet and its
programs. This administrative regulation establishes the procedures for
investigations by the Internal Investigations Branch, Office of Legal Services.
1. Definitions. (1) "Exonerated" means the incident occurred, but the
accused’s actions were justified or proper.
"Facility" means a group home, day treatment, residential treatment,
youth development center, a detention center, any other entity or location for
juvenile care operated by or contracted with the Department of Juvenile Justice
for the placement of youth, or any entity housing youth placed by or committed
to the Department of Juvenile Justice.
"IIB" means Internal Investigations Branch, Office of Legal Services,
Justice and Public Safety Cabinet.
"Initiation" means any action by the Internal Investigations Branch
intended to ensure the immediate safety of the victim or to obtain evidence or information
relevant to the investigation.
"Not substantiated" means there is insufficient evidence to determine
if an incident occurred or if the accused was involved in the incident.
"Offender" means a person:
Who is employed at, volunteers in, visits, or contracts with a facility; and
Against whom an allegation of a special incident has been made.
"Pending further investigation" means a critical witness or offender cannot
be located or refuses to cooperate with the initial investigation, or there is
other interference with the investigation, beyond the control of IIB, that
prevents IIB from making a final determination for its finding.
"Special incident" means an act in which the health or welfare of a youth
is harmed or threatened with harm by an offender, including if an offender:
Uses inappropriate or excessive force that results in injury;
Uses inappropriate or excessive force that could result in an injury;
Engages in any sexual activity to include any contact or interaction, which
uses or allows, permits or encourages the use of a youth for the sexual
gratification of the offender or another person;
Uses inappropriate consequences as punishment such as exercise, harsh physical
labor, or other physical consequences outside accepted practices in accordance
with 505 KAR Chapters 1 and 2 of the Department for Juvenile Justice Policies
Allows or encourages a youth to:
Use drugs or alcohol;
Engage in other illegal activity;
Does not provide appropriate supervision, medical care, food, clothing,
shelter, or education;
Uses humiliating, demeaning, profane, or racially charged language directed at
Uses verbal threats of harm directed at a youth;
Exhibits a pattern of harassing conduct directed at a youth;
Uses or attempts to use a youth for personal gain;
Accepts a bribe from a youth or indicates a bribe would be accepted;
Enters into any unlawful transaction with a youth as set forth in KRS 530.064,
530.065, or 530.070;
Enters into a business relationship with a youth; or
Extends unearned special privileges to a youth in return for something.
"Substantiated" means that an incident occurred:
By an admission of the person responsible; or
By a preponderance of the evidence.
"Unfounded" means the charges are false or the offender was not
involved in the incident.
"Youth" means a person who is under the custody, control, or
supervision of the Department of Juvenile Justice as a result of a court order
or interstate supervision.
2. Receiving a Report. The Internal Investigations Branch shall accept reports
of special incidents. (1)(a) A toll-free number shall be made available to all
staff and youth to report special incidents. A voice mailbox system shall be
available for reporting special incidents after normal work hours.
The investigator shall attempt to elicit from the person reporting the special
incident as much information about the incident as possible, including:
The nature and extent of the special incident;
The causes of the special incident;
The location of the victim;
Any witnesses to the special incident;
The present danger to the victim;
The offender; and
The reporting person’s identity and relationship to the victim.
Anonymous reports which give sufficient information and allege a special
incident shall be accepted.
Referrals from any other source which give sufficient information and allege a
special incident shall be accepted.
3. Investigation of Reports and Special Incidents. (1) If IIB receives a report
of a special incident as defined by Section 1(8)(a) through (e) of this
administrative regulation, IIB shall:
Conduct an investigation in accordance with Sections 5 and 6 of this
administrative regulation; or
Conduct a preliminary inquiry to determine if further investigation is
If IIB receives a report of a special incident as defined by Section 1(8)(f)
through (n) of this administrative regulation, IIB may conduct an
Any allegation of an alleged special incident not investigated by IIB shall be
referred by IIB management to another appropriate individual or agency for investigation.
If an allegation of a special incident is referred to the Department of
Juvenile Justice pursuant to paragraph (a) of this subsection, IIB shall review
the investigative report and any supporting documentation.
IIB may investigate a report or allegation involving a person who is employed
at, volunteers in, visits, or contracts with a facility that does not meet the
definition of a special incident at the request of the Department of Juvenile
Justice Commissioner or the secretary of the Justice and Public Safety Cabinet.
A report or allegation not investigated by IIB may be referred by IIB management
to another appropriate individual or agency.
4. Time Frames for Investigating Reports of Suspected Special Incidents.
Following the receipt of the report, the IIB-2 Special Incident Reporting Form
shall be completed and the report investigated or referred in accordance with
Section 3 of this administrative regulation. IIB investigations shall be conducted
according to the time frames established in this section.
If the report indicates the youth is in imminent danger, the investigation
shall be initiated within one (1) hour and personal contact made with the
victim within twenty-four (24) hours.
If the report does not indicate imminent danger, the investigation shall be
initiated within twenty-four (24) hours and personal contact made with the
victim within seventy-two (72) hours.
Issues to be considered in determining how soon personal contact is made shall
The nature of the allegation;
How recently the alleged incident occurred; and
The measures taken by the facility to ensure the safety of the youth.
Any deviation from the time frames shall require supervisory approval and be
documented in the investigative file.
If the report indicates that the victim is no longer in a facility, the
investigation shall be initiated within forty-eight (48) hours and every effort
made to have personal contact with the victim within three (3) workdays.
Unsuccessful efforts to make personal contact shall be documented in the
The time frames shall begin when the report is received by IIB staff.
5. Initial Investigation. If investigating an allegation or report, an IIB
Complete the IIB-2 form;
Report any special incidents as required by KRS 620.030 and 620.040;
Notify the Commissioner of the Department of Juvenile Justice or designee of
Interview the victim privately, outside the presence of the offender, with no
more than two (2) persons present in addition to the victim and IIB
Interview the offender;
Interview appropriate witnesses;
Review documentation relevant to the incident; and
Take possession of and preserve appropriate evidence.
6. Determining the Validity of the Report. After the initial investigation the
Complete a written report within thirty (30) days of receipt of the allegation,
unless there are extenuating circumstances which are documented, such as law
enforcement action, court proceedings, or investigator workload issues. The
report shall contain:
The information gathered during the investigation; and
A recommendation regarding the validity of the allegation as substantiated,
unfounded, exonerated, not substantiated, or pending further investigation;
Submit the report through supervisory channels within IIB and legal counsel for
the Justice and Public Safety Cabinet for review and approval;
Forward all completed investigations to the Commissioner of the Department of
Forward all completed investigations of substantiated special incidents that
may involve abuse or neglect of a child, in accordance with KRS 620.030 to the:
Cabinet for Health and Family Services; and
Local county attorney, law enforcement, or the Kentucky State Police with the exception
of all documents and evidence that are protected under Garrity v. New Jersey,
385 U.S. 493 (1967).
7. Incorporation by Reference. (1) "IIB-2, Special Incident Reporting
Form", 5/15, is incorporated by reference.
This material may be inspected, copied, or obtained, subject to applicable
copyright law, at the Justice and Public Safety Cabinet, 125 Holmes Street,
Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. (16
Ky.R. 704; eff. 12-15-1989; Am. 16 Ky.R. 2468; eff. 7-9-1990; 18 Ky.R. 184;
eff. 9-6-1991; 1950; eff. 2-7-1992; 19 Ky.R. 1892; eff. 4-7-1993; 20 Ky.R. 645;
eff. 11-8-1993; 2705; eff. 5-11-1994; 21 Ky.R. 119; eff. 9-12-1994; 2261; eff.
4-20-1995; 22 Ky.R. 1149; 1473; eff. 2-12-1996; 23 Ky.R. 1734; eff. 12-13-1996;
3939; eff. 7-17-1997; 24 Ky.R. 1156; eff. 1-12-1998; 25 Ky.R. 1168; eff.
1-19-1999; 2458; eff. 6-16-1999; 32 Ky.R. 559; 877; eff. 12-2-2005; 33 Ky.R.
531; 1378; 1526; eff. 1-5-2007; 41 Ky.R. 2623; 42 Ky.R. 282; eff. 9-4-2015.)